CHAPTER 194 Human Resources

194.010. Cabinet for Human Resources — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 1; 1992, ch. 13, § 8) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.020. Secretary as chief officer. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 2) was repealed by Acts 1992, ch. 13, § 13, effective July 14, 1992.

194.025. Power and authority of secretary. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 30; 1992, ch. 13, § 9, effective July 14, 1992) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.030. Major organizational units of cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 3; 1978, ch. 155, § 117, effective June 17, 1979; 1978, ch. 283, § 1, effective July 15, 1982; 1984, ch. 404, § 19, effective July 13, 1984; 1986, ch. 218, § 1, effective July 15, 1986; 1986, ch. 222, § 1, effective July 15, 1986; 1986, ch. 234, § 1, effective July 15, 1986; 1988, ch. 210, § 1, effective July 15, 1988; 1992, ch. 141, § 1, effective July 14, 1992; 1992, ch. 447, § 7, effective July 14, 1992; 1994, ch. 405, § 43, effective July 15, 1994; 1994, ch. 512, § 87, effective July 15, 1994; 1996, ch. 271, § 11, effective July 15, 1996; 1996, ch. 371, § 61, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 426 prevails over its amendment in 1998 Ky. Acts ch. 203.

194.040. Internal organization of offices and bureaus. [Repealed].

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 4; 1976, ch. 299, § 35; 1982, ch. 247, § 2, effective July 15, 1982) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.050. Execution of policies, plans, and programs — Administrative regulations — Fees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 5; 1982, ch. 247, § 3, effective July 15, 1982; 1984, ch. 108, § 1, effective July 13, 1984; 1990, ch. 373, § 2, effective July 13, 1990; 1990, ch. 470, § 66, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.060. Confidentiality of records and reports. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 6) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.070. Utilizing community resources for delivery of services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 7) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.080. Cost allocation plan. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 8) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.090. Citizen advisory bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 9; 1978, ch. 155, § 118, effective June 17, 1978; 1980, ch. 295, § 44, effective July 15, 1980; 1984, ch. 108, § 2, effective July 13, 1984; 1990, ch. 373, § 1, effective July 13, 1990; 1990, ch. 470, § 60, effective July 1, 1990; 1990, ch. 499, § 15, effective July 13, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.100. Annual joint conference of citizen advisory bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 10; 1984, ch. 108, § 3, effective July 13, 1984; 1990, ch. 373, § 3, effective July 13, 1990; 1990, ch. 470, § 67, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.110. Bodies attached for administrative and support purposes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 11; 1976, ch. 229, § 36; 1980, ch. 118, § 3, effective July 15, 1980; 1982, ch. 339, § 8, effective July 15, 1982; 1988, ch. 210, § 2, effective July 15, 1988) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.120. Bodies attached to cabinet with statutory authority to issue administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 13; 1976, ch. 299, § 37; 1982, ch. 399, § 9, effective July 15, 1982; 1988, ch. 210, § 3, effective July 15, 1988; 1994, ch. 384, § 1, effective July 15, 1994; 1994, ch. 405, § 44, effective July 15, 1994; 1994, ch. 512, § 88, effective July 15, 1994) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.130. Limitation on administrative processes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 14) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.135. Developmental Disabilities Planning Council — Members — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 447, § 1, effective April 11, 1986; 1992, ch. 337, § 1, effective July 14, 1992) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.140. Special subcommittees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 15; 1984, ch. 108, § 4, effective July 13, 1984; 1990, ch. 373, § 4, effective July 13, 1990; 1990, ch. 470, § 68, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.150. State officials as voting members of citizens’ councils. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 16; 1982, ch. 396, § 48, effective July 15, 1982; 1992, ch. 27, § 11, effective March 2, 1992; 1992, ch. 105, § 64, effective July 14, 1992; 1997 (1st Ex. Sess.), ch. 1, § 144, effective May 30, 1997) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.160. Alternates or representatives for boards, councils, committees, and similar bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 17) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.170. Secretary’s authority to create special task forces, advisory committees, and citizens’ panels. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 18) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.180. Rules and regulations of various bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 19; 1976, ch. 299, § 38; 1980, ch. 118, § 4, effective July 15, 1980; 1984, ch. 108, § 5, effective July 13, 1984; 1990, ch. 373, § 5, effective July 13, 1990; 1990, ch. 470, § 69, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.190. Gifts and grants. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 20; 1976, ch. 299, § 39; 1980, ch. 118, § 5, effective July 15, 1980; 1982, ch. 399, § 10, effective July 15, 1982; 1984, ch. 108, § 6, effective July 13, 1984; 1990, ch. 373, § 6, effective July 13, 1990; 1990, ch. 470, § 70, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.200. Compensation and expenses of members of councils. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 21; 1980, ch. 118, § 6, effective July 15, 1980; 1984, ch. 108, § 7, effective July 13, 1984; 1990, ch. 373, § 7, effective July 13, 1990; 1990, ch. 470, § 71, effective July 1, 1990) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.210. Transfer of functions of councils and committees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 74, Art. VI, § 22; 1976, ch. 299, § 40; 1980, ch. 118, § 7, effective July 15, 1980; 1982, ch. 399, § 11, effective July 15, 1982; 1984, ch. 108, § 8, effective July 13, 1984; 1990, ch. 373, § 8, effective July 13, 1990; 1990, ch. 470, § 61, effective July 1, 1990; 1994, ch. 405, § 45, effective July 15, 1994; 2012, ch. 146, § 17, effective July 12, 2012) was repealed by Acts 2012, ch. 158, § 80, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). Under KRS 446.260 , the repeal of this statute in 2012 Ky. Acts ch. 158 prevails over its amendment in 2012 Ky. Acts ch. 146.

194.220. Transfer of other agencies’ functions to cabinet.

Except as otherwise provided in 1974 Acts ch. 74, all authorities, functions, activities, programs, powers, and duties vested in the Department of Child Welfare, the Department of Economic Security, the Department of Health, the Department of Mental Health, the Commission on Aging, the Commission on Children and Youth, the Commission for Handicapped Children, the Office of Economic Opportunity, the Division of Disability Determination of the Department of Education, and the Employment Agency Licensure Program of the Department of Labor are hereby transferred to the cabinet and shall be vested in its organizational structure as directed by the secretary.

History. Enact. Acts 1974, ch. 74, Art. VI, § 23; 1980, ch. 118, § 8, effective July 15, 1980.

194.225. Transfer of veterans’ affairs functions to Center for Veterans’ Affairs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 118, § 14, effective July 15, 1980) was repealed by Acts 2000, ch. 147, § 9, effective July 14, 2000. For present law, see KRS 40.300 et seq.

194.230. Retention of rules, regulations, and contracts until modified or repealed by secretary.

Except as otherwise provided in 1974 Acts ch. 74, all rules, regulations, contracts, acts, agreements, determinations, and decisions of the Department of Child Welfare, the Department of Economic Security, the Department of Health, the Department of Mental Health, the Commission on Aging, the Commission on Children and Youth, the Commission for Handicapped Children, the Office of Economic Opportunity, the Division of Disability Determination of the Department of Education, and the Employment Agency Licensure Program of the Department of Labor shall remain in effect within the cabinet until duly modified or repealed by the secretary.

History. Enact. Acts 1974, ch. 74, Art. VI, § 24; 1980, ch. 118, § 9, effective July 15, 1980.

194.240. Funds, assets, obligations, and resources transferred to cabinet.

All funds, credits, assets, appropriations, outstanding obligations, personnel, equipment, wards, any and all resources or other tangible property, and any business or other matter undertaken or vested in the Department of Child Welfare, the Department of Economic Security, the Department of Health, the Department of Mental Health, the Commission on Aging, the Commission on Children and Youth, the Commission for Handicapped Children, the Office of Economic Opportunity, the Division of Disability Determination of the Department of Education, and the Employment Agency Licensure Program of the Department of Labor are hereby transferred to and vested in the cabinet.

History. Enact. Acts 1974, ch. 74, Art. VI, § 25; 1980, ch. 118, § 10, effective July 15, 1980.

194.245. Construction and operation of new facilities, beginning August 1, 1990 — Transfer of ownership and administration. [Repealed]

History. Enact. Acts 1990, ch. 482, § 29, effective July 13, 1990; 2000, ch. 330, § 1, effective July 14, 2000; 2005, ch. 99, § 149, effective June 20, 2005; 2012, ch. 146, § 18, effective July 12, 2012; 2012, ch. 158, § 12, effective July 12, 2012; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

194.250. Protection of records, files, and information.

All reports, documents, surveys, books, records, files, papers, or other writing in the possession of the Department of Child Welfare, the Department of Economic Security, the Department of Health, the Department of Mental Health, the Commission on Aging, the Commission on Children and Youth, the Commission for Handicapped Children, the Office of Economic Opportunity, the Division of Disability Determination of the Department of Education, and the Employment Agency Licensure Program of the Department of Labor and in the possession of all instrumentalities within or attached thereto shall remain in the custody of the cabinet. All confidential records, files, or information maintained in accordance with state or federal law or regulations or rules of court shall be retained in accordance with present law, regulations, or rules of court until modified or repealed or until the secretary establishes appropriate regulations to protect these records, files, and information.

History. Enact. Acts 1974, ch. 74, Art. VI, § 26; 1980, ch. 118, § 11, effective July 15, 1980.

194.260. Pending business or other matters to be completed by cabinet.

Any business, litigation, or other matters undertaken or commenced by or against the Kidney Disease Advisory Council, the Family Planning Committee, the Tuberculosis Commission, the Kentucky Manpower Commission, the Kentucky Advisory Committee on Day Care, the Kentucky Children’s Advisory Council, the State Advisory Committee for Public Assistance, the Kentucky Commission on Employment of the Handicapped, the Advisory Committee to the Kentucky Commission on Employment of the Handicapped, the Advisory Council on Individuals with an Intellectual Disability, the Developmental Disabilities Act Advisory Council, the Kentucky Commission on Alcoholism and Drug Problems, the Commission on Aging, the Advisory Committee on Aging, the Commission on Handicapped Children, the Commission on Children and Youth, the State Board of Health, the Radiation Operators’ Advisory Committee, the Advisory Council for Medical Assistance, the Comprehensive Health Planning Council, and the Kentucky Certificate of Need and Licensure Board and still pending on June 21, 1974, shall be completed and conducted by the cabinet.

History. Enact. Acts 1974, ch. 74, Art. VI, § 27; 1976, ch. 299, § 41; 1980, ch. 118, § 12, effective July 15, 1980; 1982, ch. 399, § 12, effective July 15, 1982; 2012, ch. 146, § 19, effective July 12, 2012.

194.270. Corporate bodies or instrumentalities to be attached to cabinet.

All corporate bodies or instrumentalities of the Commonwealth, advisory committees, commissions, councils, interstate compacts, or other statutory or executive order bodies attached to the functions in whole or in part of the Department of Child Welfare, the Department of Economic Security, the Department of Health, the Department of Mental Health, the Commission on Aging, the Commission on Children and Youth, the Commission for Handicapped Children, the Office of Economic Opportunity, the Division of Disability Determination of the Department of Education, and the Employment Agency Licensure Program of the Department of Labor shall be attached to the cabinet.

History. Enact. Acts 1974, ch. 74, Art. VI, § 28; 1980, ch. 118, § 13, effective July 15, 1980.

194.280. Abolishment of certain departments, boards, and commissions.

Except as otherwise provided in 1974 Acts ch. 74, the following departments, boards, commissions, committees, and other statutory bodies and their subcommittees, task forces, advisory committees, bureaus, divisions, offices and other suborganizational units are abolished and terminated in their entirety: the Department of Economic Security, the Department of Health, the Department of Mental Health, the Department of Child Welfare, the Office of Economic Opportunity, the Bureau of Veterans Affairs, the Commission on Aging, the Commission for Handicapped Children, the Commission on Children and Youth, the Office of Youth Affairs, the State Board of Health, the Family Planning Committee, the Kidney Disease Advisory Committee, the Tuberculosis Commission, the Kentucky Manpower Council, the Kentucky Advisory Committee on Day Care, the Kentucky Children’s Advisory Council, the State Advisory Committee on Public Assistance, the Kentucky Commission on Employment of the Handicapped, the Advisory Council on Individuals with an Intellectual Disability, the Advisory Council on Mental Health, the Developmental Disabilities Services Act Advisory Council, the Kentucky Commission on Alcohol and Drug Problems, the Radiation Operators’ Advisory Committee, the Advisory Council for Health Facilities, the Human Resources Coordinating Commission, the Human Resources Coordinating Council, the Health Planning Commission, the Citizens’ Commission for Barkley State Boys’ Camp, the Citizens’ Commission for Woodsbend Boys’ Camp, the Citizens’ Commission for the State Reception Center at Lyndon.

History. Enact. Acts 1974, ch. 74, Art. VI, § 29; 2012, ch. 146, § 20, effective July 12, 2012.

194.290. Office of geriatrics-gerontology — Administrator — Cooperation with educational institutions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 292, § 1(1) to (3)) was repealed by Acts 1978, ch. 155, § 165, effective June 17, 1978.

194.350. Liability insurance for physicians, hospital administrators, and directors employed by cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 280, § 1, effective June 17, 1978) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.360. Annual report on committed children — Contents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 423, § 182, effective July 1, 1987; 1988, ch. 350, § 138, effective April 10, 1988; 1992, ch. 71, § 2, effective July 14, 1992) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.370. In-service training for social workers on child sexual abuse. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 351, § 5, effective July 14, 1992) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Assistance Program Frauds

194.500. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 1, effective February 10, 1979) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.505. Prohibited activities — Commencement of proceedings for enforcement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 2, effective February 10, 1979; 1982, ch. 325, § 1, effective July 15, 1982) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.510. Defense in prosecution. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 12, effective February 10, 1979) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.515. Access to criminal records by cabinet’s agents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 3, effective February 10, 1979; 1994, ch. 96, § 20, effective July 15, 1994; 1994, ch. 316, § 20, effective July 15, 1994) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Training Programs Concerning Domestic Violence

194.530. Training and continuing education courses for Department for Social Services staff. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 54, § 2, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.535. Training requirements for staff of agencies providing shelter services for victims. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 54, § 3, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.540. Training courses for mental health professionals and health care providers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 54, § 4, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Alzheimer’s Disease and Related Disorders

194.550. Definitions for KRS 194.550 to KRS 194.559. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 128, § 1, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.552. Office on Alzheimer’s Disease and Related Disorders — Director — Report — Purposes and duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 128, § 2, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.555. Alzheimer’s Disease and Related Disorders Council — Members — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 128, § 3, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

194.559. Authority to promulgate administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 128, § 4, effective July 15, 1996) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Penalties

194.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 5, effective February 10, 1979; 1982, ch. 325, § 2, effective July 15, 1982) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

CHAPTER 194A Cabinet for Health and Family Services

194A.001. Use of Kentucky Public Health Improvement Plan.

  1. Public health stakeholders can be expected to use the Kentucky Public Health Improvement Plan in the following ways:
    1. As a guide for public health and local public health departments to plan their activities and budget their resources.
    2. As a guide for public health to educate the public about the activities and goals of the Department, its resource needs, and the progress it has made in achieving public health goals.
    3. As a guide for health-planning purposed by public and private health providers, such as hospitals, nursing homes, by provider associations, such as hospital associations, professional associations; and by health and social service organizations, including funding sources, and nonprofit human services agencies.
    4. As a guide for local groups and coalitions of health and health-related providers, and by local human services and other agencies, as for example, public schools, in the development of innovative efforts to provide community assessment, policy development, and assurance.
    5. As a resource for health policy analysts and academicians to devise and evaluate innovative health programs and services.
  2. The Kentucky Public Health Improvement Plan will be considered in health budget decisions.
  3. The Kentucky Public Health Improvement Plan will be used as a measure of the adequacy of funding available for public health purposes.

History. Enact. Acts 1998, ch. 344, § 1-3, effective July 15, 1998.

194A.005. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Cabinet” means the Cabinet for Health and Family Services; and
  2. “Secretary” means the secretary for health and family services.

History. Enact. Acts 1998, ch. 426, § 1, effective July 15, 1998; 2005, ch. 99, § 150, effective June 20, 2005.

194A.010. Cabinet for Health and Family Services — Functions.

  1. The cabinet is the primary state agency for operating the public health, Medicaid, certificate of need and licensure, and mental health and intellectual disability programs in the Commonwealth. The function of the cabinet is to improve the health of all Kentuckians, including the delivery of population, preventive, reparative, and containment health services in a safe and effective fashion, and to improve the functional capabilities and opportunities of Kentuckians with disabilities. The cabinet is to accomplish its function through direct and contract services for planning and through the state health plan and departmental plans for program operations, for program monitoring and standard setting, and for program evaluation and resource management.
  2. The cabinet is the primary state agency responsible for leadership in protecting and promoting the well-being of Kentuckians through the delivery of quality human services. Recognizing that children are the Commonwealth’s greatest natural resource and that individuals and their families are the most critical component of a strong society, the cabinet shall deliver social services to promote the safety and security of Kentuckians and preserve their dignity. The cabinet shall administer child welfare programs that promote collaboration and accountability among local, public, and private programs to improve the lives of families and children, including collaboration with the Council on Accreditation for Children and Family Services or its equivalent in developing strategies consistent with best practice standards for delivery of services. The cabinet also shall administer income-supplement programs that protect, develop, preserve, and maintain individuals, families, and children in the Commonwealth.

History. Enact. Acts 1998, ch. 426, § 2, effective July 15, 1998; 2005, ch. 99, § 24, effective June 20, 2005; 2010, ch. 141, § 9, effective July 15, 2010; 2012, ch. 158, § 13, effective July 12, 2012.

194A.025. Power and authority of secretary.

  1. The secretary for health and family services and the secretary’s designated representatives in the discharge of the duties of the secretary may administer oaths and affirmations, take depositions, certify official acts, and issue subpoenas to compel the attendance of witnesses and production of books, papers, correspondence, memoranda, and other records considered necessary and relevant as evidence at hearings held in connection with the administration of the cabinet.
  2. The secretary may delegate any duties of the office of secretary to employees of the cabinet as the secretary deems necessary and appropriate, unless otherwise prohibited by statutes.
  3. The secretary may enter into any contracts and agreements with individuals, colleges, universities, associations, corporations, municipalities, and other units of government as may be deemed necessary to carry out the general intent and purposes of the cabinet.

History. Enact. Acts 1998, ch. 426, § 3, effective July 15, 1998; 2005, ch. 99, § 151, effective June 20, 2005.

194A.030. Major organizational units of cabinet.

The cabinet consists of the following major organizational units, which are hereby created:

  1. Office of the Secretary.  Within the Office of the Secretary, there shall be an Office of the Ombudsman and Administrative Review, an Office of Legal Services, an Office of Inspector General, an Office of Public Affairs, an Office of Human Resource Management, an Office of Finance and Budget, an Office of Legislative and Regulatory Affairs, an Office of Administrative Services, and an Office of Application Technology Services, as follows:
    1. The Office of the Ombudsman and Administrative Review shall be headed by an executive director who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 and shall:
      1. Investigate, upon complaint or on its own initiative, any administrative act of an organizational unit, employee, or contractor of the cabinet, without regard to the finality of the administrative act. Organizational units, employees, or contractors of the cabinet shall not willfully obstruct an investigation, restrict access to records or personnel, or retaliate against a complainant or cabinet employee;
      2. Make recommendations that resolve citizen complaints and improve governmental performance and may require corrective action when policy violations are identified;
      3. Provide evaluation and information analysis of cabinet performance and compliance with state and federal law;
      4. Place an emphasis on research and best practices, program accountability, quality service delivery, and improved governmental performance;
      5. Provide information on how to contact the office for public posting at all offices where Department for Community Based Services employees or contractors work, at any facility where a child in the custody of the cabinet resides, and to all cabinet or contracted foster parents;
      6. Report to the Office of Inspector General any charge or case against an employee of the Cabinet for Health and Family Services where it has cause to believe the employee has engaged in dishonest, unethical, or illegal conduct or practices related to his or her job duties; or any violation of state law or administrative regulation by any organization or individual regulated by, or contracted with the cabinet;
      7. Compile a report of all citizen complaints about programs or services of the cabinet and a summary of resolution of the complaints and submit the report upon request to the Child Welfare Oversight and Advisory Committee established in KRS 6.943 and the Interim Joint Committee on Health and Welfare and Family Services; and
      8. Include oversight of administrative hearings;
    2. The Office of Legal Services shall provide legal advice and assistance to all units of the cabinet in any legal action in which it may be involved. The Office of Legal Services shall employ all attorneys of the cabinet who serve the cabinet in the capacity of attorney, giving legal advice and opinions concerning the operation of all programs in the cabinet. The Office of Legal Services shall be headed by a general counsel who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 and 12.210 . The general counsel shall be the chief legal advisor to the secretary and shall be directly responsible to the secretary. The Attorney General, on the request of the secretary, may designate the general counsel as an assistant attorney general under the provisions of KRS 15.105 ;
    3. The Office of Inspector General shall be headed by an inspector general who shall be appointed by the secretary with the approval of the Governor. The inspector general shall be directly responsible to the secretary. The Office of Inspector General shall be responsible for:
      1. The conduct of audits and investigations for detecting the perpetration of fraud or abuse of any program by any client, or by any vendor of services with whom the cabinet has contracted; and the conduct of special investigations requested by the secretary, commissioners, or office heads of the cabinet into matters related to the cabinet or its programs;
      2. Licensing and regulatory functions as the secretary may delegate;
      3. Review of health facilities participating in transplant programs, as determined by the secretary, for the purpose of determining any violations of KRS 311.1911 to 311.1959 , 311.1961 , and 311.1963 ;
      4. The duties, responsibilities, and authority pertaining to the certificate of need functions and the licensure appeals functions, pursuant to KRS Chapter 216B; and
      5. The notification and forwarding of any information relevant to possible criminal violations to the appropriate prosecuting authority;
    4. The Office of Public Affairs shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide information to the public and news media about the programs, services, and initiatives of the cabinet;
    5. The Office of Human Resource Management shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall coordinate, oversee, and execute all personnel, training, and management functions of the cabinet. The office shall focus on the oversight, development, and implementation of quality improvement services; curriculum development and delivery of instruction to staff; the administration, management, and oversight of training operations; health, safety, and compliance training; and equal employment opportunity compliance functions;
    6. The Office of Finance and Budget shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of budget, contract, and cabinet finances. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
    7. The Office of Legislative and Regulatory Affairs shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of legislation, policy, and administrative regulations. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
    8. The Office of Administrative Services shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of procurement, general accounting including grant monitoring, and facility management. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary; and
    9. The Office of Application Technology Services shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance withKRS 12.050. The office shall provide application technology services including central review and oversight. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
  2. Department for Medicaid Services.  The Department for Medicaid Services shall serve as the single state agency in the Commonwealth to administer Title XIX of the Federal Social Security Act. The Department for Medicaid Services shall be headed by a commissioner for Medicaid services, who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for Medicaid services shall be a person who by experience and training in administration and management is qualified to perform the duties of this office. The commissioner for Medicaid services shall exercise authority over the Department for Medicaid Services under the direction of the secretary and shall only fulfill those responsibilities as delegated by the secretary;
  3. Department for Public Health.  The Department for Public Health shall develop and operate all programs of the cabinet that provide health services and all programs for assessing the health status of the population for the promotion of health and the prevention of disease, injury, disability, and premature death. This shall include but not be limited to oversight of the Division of Women’s Health. The Department for Public Health shall be headed by a commissioner for public health who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for public health shall be a duly licensed physician who by experience and training in administration and management is qualified to perform the duties of this office. The commissioner shall advise the head of each major organizational unit enumerated in this section on policies, plans, and programs relating to all matters of public health, including any actions necessary to safeguard the health of the citizens of the Commonwealth. The commissioner shall serve as chief medical officer of the Commonwealth. The commissioner for public health shall exercise authority over the Department for Public Health under the direction of the secretary and shall only fulfill those responsibilities as delegated by the secretary;
  4. Department for Behavioral Health, Developmental and Intellectual Disabilities.  The Department for Behavioral Health, Developmental and Intellectual Disabilities shall develop and administer programs for the prevention of mental illness, intellectual disabilities, brain injury, developmental disabilities, and substance abuse disorders and shall develop and administer an array of services and support for the treatment, habilitation, and rehabilitation of persons who have a mental illness or emotional disability, or who have an intellectual disability, brain injury, developmental disability, or a substance abuse disorder. The Department for Behavioral Health, Developmental and Intellectual Disabilities shall be headed by a commissioner for behavioral health, developmental and intellectual disabilities who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for behavioral health, developmental and intellectual disabilities shall be by training and experience in administration and management qualified to perform the duties of the office. The commissioner for behavioral health, developmental and intellectual disabilities shall exercise authority over the department under the direction of the secretary, and shall only fulfill those responsibilities as delegated by the secretary;
  5. Office for Children with Special Health Care Needs.  The duties, responsibilities, and authority set out in KRS 200.460 to 200.490 shall be performed by the office. The office shall advocate the rights of children with disabilities and, to the extent that funds are available, shall ensure the administration of services for children with disabilities as are deemed appropriate by this office pursuant to Title V of the Social Security Act. The office may promulgate administrative regulations under KRS Chapter 13A as may be necessary to implement and administer its responsibilities. The duties, responsibilities, and authority of the Office for Children with Special Health Care Needs shall be performed through the office of the executive director. The executive director shall be appointed by the secretary with the approval of the Governor under KRS 12.050 ;
  6. Department for Family Resource Centers and Volunteer Services.  The Department for Family Resource Centers and Volunteer Services shall streamline the various responsibilities associated with the human services programs for which the cabinet is responsible. This shall include, but not be limited to, oversight of the Division of Family Resource and Youth Services Centers and Serve Kentucky. The Department for Family Resource Centers and Volunteer Services shall be headed by a commissioner who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for family resource centers and volunteer services shall be by training and experience in administration and management qualified to perform the duties of the office, shall exercise authority over the department under the direction of the secretary, and shall only fulfill those responsibilities as delegated by the secretary;
  7. The Office of Health Data and Analytics shall identify and innovate strategic initiatives to inform public policy initiatives and provide opportunities for improved health outcomes for all Kentuckians through data analytics. The office shall provide leadership in the redesign of the health care delivery system using electronic information technology as a means to improve patient care and reduce medical errors and duplicative services. The office shall facilitate the purchase of individual and small business health insurance coverage for Kentuckians. The office shall be headed by an executive director appointed by the secretary with the approval of the Governor underKRS 12.050 ;
  8. Department for Community Based Services.  The Department for Community Based Services shall administer and be responsible for child and adult protection, violence prevention resources, foster care and adoption, permanency, and services to enhance family self-sufficiency, including child care, social services, public assistance, and family support. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ;
  9. Department for Income Support.  The Department for Income Support shall be responsible for child support enforcement and disability determination. The department shall serve as the state unit as required by Title II and Title XVI of the Social Security Act, and shall have responsibility for determining eligibility for disability for those citizens of the Commonwealth who file applications for disability with the Social Security Administration. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ; and
  10. Department for Aging and Independent Living.  The Department for Aging and Independent Living shall serve as the state unit as designated by the Administration on Aging Services under the Older Americans Act and shall have responsibility for administration of the federal community support services, in-home services, meals, family and caregiver support services, elder rights and legal assistance, senior community services employment program, the state health insurance assistance program, state home and community based services including home care, Alzheimer’s respite services and the personal care attendant program, certifications of assisted living facilities, the state Council on Alzheimer’s Disease and other related disorders, and guardianship services. The department shall also administer the Long-Term Care Ombudsman Program and the Medicaid Home and Community Based Waivers Participant Directed Services Option (PDS) Program. The department shall serve as the information and assistance center for aging and disability services and administer multiple federal grants and other state initiatives. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 .

History. Enact. Acts 1998, ch. 426, § 4, effective July 15, 1998; 2000, ch. 6, § 2, effective July 14, 2000; 2003, ch. 40, § 2, effective June 24, 2003; 2005, ch. 99, § 25, effective June 20, 2005; 2006, ch. 172, § 5, effective July 12, 2006; 2006, ch. 181, § 3, effective July 12, 2006; 2007, ch. 24, § 1, effective June 26, 2007; 2010, ch. 161, § 28, effective July 15, 2010; 2012, ch. 146, § 21, effective July 12, 2012; 2012, ch. 158, § 14, effective July 12, 2012; 2017 ch. 80, § 28, effective June 29, 2017; 2017 ch. 92, § 2, effective June 29, 2017; 2018 ch. 114, § 3, effective July 14, 2018; 2018 ch. 159, § 2, effective July 14, 2018; 2019 ch. 90, § 6, effective June 27, 2019; 2020 ch. 9, § 2, effective July 15, 2020.

Compiler’s Notes.

Title XIX of the federal Social Security Act, referred to in subsection (2), is compiled as 42 USCS § 1396 et seq.

Titles II and XVI of the federal Social Security Act, referred to in subsection (12), are compiled as 42 USCS §§ 409 et seq. and 42 USCS §§ 1381 et seq., respectively.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 146, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(4/19/2007). A manifest clerical or typographical error has been corrected by the Reviser of Statutes in the second full sentence of subsection (2) of this section pursuant to KRS 7.136(1)(h).

Opinions of Attorney General.

The position of executive director of the Office of the Ombudsman of the Cabinet for Health and Family Services is a “state office,” and one who holds that position is a “state officer,” such that one cannot hold that position and lawfully remain a member of the Lexington-Fayette Urban County Council. OAG 2006-02 .

194A.030. Major organizational units of cabinet.

The cabinet consists of the following major organizational units, which are hereby created:

  1. Office of the Secretary. Within the Office of the Secretary, there shall be an Office of the Ombudsman and Administrative Review, an Office of Legal Services, an Office of Inspector General, an Office of Public Affairs, an Office of Human Resource Management, an Office of Finance and Budget, an Office of Legislative and Regulatory Affairs, an Office of Administrative Services, and an Office of Application Technology Services, as follows:
    1. The Office of the Ombudsman and Administrative Review shall be headed by an executive director who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 and shall:
      1. Investigate, upon complaint or on its own initiative, any administrative act of an organizational unit, employee, or contractor of the cabinet, without regard to the finality of the administrative act. Organizational units, employees, or contractors of the cabinet shall not willfully obstruct an investigation, restrict access to records or personnel, or retaliate against a complainant or cabinet employee;
      2. Make recommendations that resolve citizen complaints and improve governmental performance and may require corrective action when policy violations are identified;
      3. Provide evaluation and information analysis of cabinet performance and compliance with state and federal law;
      4. Place an emphasis on research and best practices, program accountability, quality service delivery, and improved governmental performance;
      5. Provide information on how to contact the office for public posting at all offices where Department for Community Based Services employees or contractors work, at any facility where a child in the custody of the cabinet resides, and to all cabinet or contracted foster parents;
      6. Report to the Office of Inspector General for review and investigation any charge or case against an employee of the Cabinet for Health and Family Services where it has cause to believe the employee has engaged in dishonest, unethical, or illegal conduct or practices related to his or her job duties; or any violation of state law or administrative regulation by any organization or individual regulated by, or contracted with the cabinet;
      7. Compile a report of all citizen complaints about programs or services of the cabinet and a summary of resolution of the complaints and submit the report upon request to the Child Welfare Oversight and Advisory Committee established in KRS 6.943 , and the Interim Joint Committee on Health and Welfare and Family Services;
      8. Include oversight of administrative hearings; and
      9. Provide information to the Office of the Attorney General, when requested, related to substantiated violations of state law against an employee, a contractor of the cabinet, or a foster or adoptive parent;
    2. The Office of Legal Services shall provide legal advice and assistance to all units of the cabinet in any legal action in which it may be involved. The Office of Legal Services shall employ all attorneys of the cabinet who serve the cabinet in the capacity of attorney, giving legal advice and opinions concerning the operation of all programs in the cabinet. The Office of Legal Services shall be headed by a general counsel who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 and 12.210 . The general counsel shall be the chief legal advisor to the secretary and shall be directly responsible to the secretary. The Attorney General, on the request of the secretary, may designate the general counsel as an assistant attorney general under the provisions of KRS 15.105 ;
    3. The Office of Inspector General shall be headed by an inspector general who shall be appointed by the secretary with the approval of the Governor. The inspector general shall be directly responsible to the secretary. The Office of Inspector General shall be responsible for:
      1. The conduct of audits and investigations for detecting the perpetration of fraud or abuse of any program by any client, or by any vendor of services with whom the cabinet has contracted; and the conduct of special investigations requested by the secretary, commissioners, or office heads of the cabinet into matters related to the cabinet or its programs;
      2. Licensing and regulatory functions as the secretary may delegate;
      3. Review of health facilities participating in transplant programs, as determined by the secretary, for the purpose of determining any violations of KRS 311.1911 to 311.1959 , 311.1961 , and 311.1963 ;
      4. The duties, responsibilities, and authority pertaining to the certificate of need functions and the licensure appeals functions, pursuant to KRS Chapter 216B; and
      5. The notification and forwarding of any information relevant to possible criminal violations to the appropriate prosecuting authority;
    4. The Office of Public Affairs shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide information to the public and news media about the programs, services, and initiatives of the cabinet;
    5. The Office of Human Resource Management shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall coordinate, oversee, and execute all personnel, training, and management functions of the cabinet. The office shall focus on the oversight, development, and implementation of quality improvement services; curriculum development and delivery of instruction to staff; the administration, management, and oversight of training operations; health, safety, and compliance training; and equal employment opportunity compliance functions;
    6. The Office of Finance and Budget shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of budget, contract, and cabinet finances. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
    7. The Office of Legislative and Regulatory Affairs shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of legislation, policy, and administrative regulations. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
    8. The Office of Administrative Services shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide central review and oversight of procurement, general accounting including grant monitoring, and facility management. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary; and
    9. The Office of Application Technology Services shall be headed by an executive director appointed by the secretary with the approval of the Governor in accordance with KRS 12.050. The office shall provide application technology services including central review and oversight. The office shall provide coordination, assistance, and support to program departments and independent review and analysis on behalf of the secretary;
  2. Department for Medicaid Services. The Department for Medicaid Services shall serve as the single state agency in the Commonwealth to administer Title XIX of the Federal Social Security Act. The Department for Medicaid Services shall be headed by a commissioner for Medicaid services, who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for Medicaid services shall be a person who by experience and training in administration and management is qualified to perform the duties of this office. The commissioner for Medicaid services shall exercise authority over the Department for Medicaid Services under the direction of the secretary and shall only fulfill those responsibilities as delegated by the secretary;
  3. Department for Public Health. The Department for Public Health shall develop and operate all programs of the cabinet that provide health services and all programs for assessing the health status of the population for the promotion of health and the prevention of disease, injury, disability, and premature death. This shall include but not be limited to oversight of the Division of Women’s Health. The Department for Public Health shall be headed by a commissioner for public health who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for public health shall be a duly licensed physician who by experience and training in administration and management is qualified to perform the duties of this office. The commissioner shall advise the head of each major organizational unit enumerated in this section on policies, plans, and programs relating to all matters of public health, including any actions necessary to safeguard the health of the citizens of the Commonwealth. The commissioner shall serve as chief medical officer of the Commonwealth. The commissioner for public health shall exercise authority over the Department for Public Health under the direction of the secretary and shall only fulfill those responsibilities as delegated by the secretary;
  4. Department for Behavioral Health, Developmental and Intellectual Disabilities. The Department for Behavioral Health, Developmental and Intellectual Disabilities shall develop and administer programs for the prevention of mental illness, intellectual disabilities, brain injury, developmental disabilities, and substance abuse disorders and shall develop and administer an array of services and support for the treatment, habilitation, and rehabilitation of persons who have a mental illness or emotional disability, or who have an intellectual disability, brain injury, developmental disability, or a substance abuse disorder. The Department for Behavioral Health, Developmental and Intellectual Disabilities shall be headed by a commissioner for behavioral health, developmental and intellectual disabilities who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for behavioral health, developmental and intellectual disabilities shall be by training and experience in administration and management qualified to perform the duties of the office. The commissioner for behavioral health, developmental and intellectual disabilities shall exercise authority over the department under the direction of the secretary, and shall only fulfill those responsibilities as delegated by the secretary;
  5. Office for Children with Special Health Care Needs. The duties, responsibilities, and authority set out in KRS 200.460 to 200.490 shall be performed by the office. The office shall advocate the rights of children with disabilities and, to the extent that funds are available, shall ensure the administration of services for children with disabilities as are deemed appropriate by this office pursuant to Title V of the Social Security Act. The office may promulgate administrative regulations under KRS Chapter 13A as may be necessary to implement and administer its responsibilities. The duties, responsibilities, and authority of the Office for Children with Special Health Care Needs shall be performed through the office of the executive director. The executive director shall be appointed by the secretary with the approval of the Governor under KRS 12.050 ;
  6. Department for Family Resource Centers and Volunteer Services. The Department for Family Resource Centers and Volunteer Services shall streamline the various responsibilities associated with the human services programs for which the cabinet is responsible. This shall include, but not be limited to, oversight of the Division of Family Resource and Youth Services Centers and Serve Kentucky. The Department for Family Resource Centers and Volunteer Services shall be headed by a commissioner who shall be appointed by the secretary with the approval of the Governor under KRS 12.050 . The commissioner for family resource centers and volunteer services shall be by training and experience in administration and management qualified to perform the duties of the office, shall exercise authority over the department under the direction of the secretary, and shall only fulfill those responsibilities as delegated by the secretary;
  7. The Office of Health Data and Analytics shall identify and innovate strategic initiatives to inform public policy initiatives and provide opportunities for improved health outcomes for all Kentuckians through data analytics. The office shall provide leadership in the redesign of the health care delivery system using electronic information technology as a means to improve patient care and reduce medical errors and duplicative services. The office shall facilitate the purchase of individual and small business health insurance coverage for Kentuckians. The office shall be headed by an executive director appointed by the secretary with the approval of the Governor under KRS 12.050 ;
  8. Department for Community Based Services. The Department for Community Based Services shall administer and be responsible for child and adult protection, violence prevention resources, foster care and adoption, permanency, and services to enhance family self-sufficiency, including child care, social services, public assistance, and family support. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ;
  9. Department for Income Support. The Department for Income Support shall be responsible for child support enforcement and disability determination. The department shall serve as the state unit as required by Title II and Title XVI of the Social Security Act, and shall have responsibility for determining eligibility for disability for those citizens of the Commonwealth who file applications for disability with the Social Security Administration. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 ; and
  10. Department for Aging and Independent Living. The Department for Aging and Independent Living shall serve as the state unit as designated by the Administration on Aging Services under the Older Americans Act and shall have responsibility for administration of the federal community support services, in-home services, meals, family and caregiver support services, elder rights and legal assistance, senior community services employment program, the state health insurance assistance program, state home and community based services including home care, Alzheimer’s respite services and the personal care attendant program, certifications of assisted living facilities, the state Council on Alzheimer’s Disease and other related disorders, and guardianship services. The department shall also administer the Long-Term Care Ombudsman Program and the Medicaid Home and Community Based Waivers Participant Directed Services Option (PDS) Program. The department shall serve as the information and assistance center for aging and disability services and administer multiple federal grants and other state initiatives. The department shall be headed by a commissioner appointed by the secretary with the approval of the Governor in accordance with KRS 12.050 .

HISTORY: Enact. Acts 1998, ch. 426, § 4, effective July 15, 1998; 2000, ch. 6, § 2, effective July 14, 2000; 2003, ch. 40, § 2, effective June 24, 2003; 2005, ch. 99, § 25, effective June 20, 2005; 2006, ch. 172, § 5, effective July 12, 2006; 2006, ch. 181, § 3, effective July 12, 2006; 2007, ch. 24, § 1, effective June 26, 2007; 2010, ch. 161, § 28, effective July 15, 2010; 2012, ch. 146, § 21, effective July 12, 2012; 2012, ch. 158, § 14, effective July 12, 2012; 2017 ch. 80, § 28, effective June 29, 2017; 2017 ch. 92, § 2, effective June 29, 2017; 2018 ch. 114, § 3, effective July 14, 2018; 2018 ch. 159, § 2, effective July 14, 2018; 2019 ch. 90, § 6, effective June 27, 2019; 2020 ch. 9, § 2, effective July 15, 2020; 2021 ch. 180, § 5.

194A.040. Internal organization of offices and departments — Secretary’s power to create positions — Election of coverage under unemployment insurance.

  1. The secretary shall, subject to the provisions of KRS Chapter 12, establish the internal organization of the offices and departments not established in 1974 Ky. Acts ch. 74, Art. VI, or 1998 Ky. Acts ch. 426, and shall organize the cabinet into offices, divisions, regions, districts, and other administrative units as the secretary deems necessary to perform the functions, exercise the powers, and fulfill the duties of the cabinet.
  2. The secretary shall have any and all necessary powers and authority subject to appropriate provisions of the statutes to create positions that enable the cabinet to fulfill all functions assigned to it. The secretary shall designate a person to act as deputy to exercise the duties of the office in case of absence.
  3. The secretary shall, with the approval of the Governor, elect coverage for employees of the cabinet under the unemployment insurance law when required by federal law.

History. Enact. Acts 1998, ch. 426, § 5, effective July 15, 1998.

194A.050. Execution of policies, plans, and programs — Administrative regulations — Fees.

  1. The secretary shall formulate, promote, establish, and execute policies, plans, and comprehensive programs and shall adopt, administer, and enforce throughout the Commonwealth all applicable state laws and all administrative regulations necessary under applicable state laws to protect, develop, and maintain the health, personal dignity, integrity, and sufficiency of the individual citizens of the Commonwealth and necessary to operate the programs and fulfill the responsibilities vested in the cabinet. The secretary shall promulgate, administer, and enforce those administrative regulations necessary to implement programs mandated by federal law, or to qualify for the receipt of federal funds and necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its programs.
    1. Except as otherwise provided by law, the secretary shall have authority to establish by administrative regulation a schedule of reasonable fees. The total fees for permitting and inspection: (2) (a) Except as otherwise provided by law, the secretary shall have authority to establish by administrative regulation a schedule of reasonable fees. The total fees for permitting and inspection:
      1. Shall be the total of the operational and administrative costs of the programs to the cabinet and to agencies as defined in KRS 211.185 ;
      2. Beginning on March 17, 2020 until December 31, 2020, shall not increase more than twenty-five percent (25%) of the fee amount on March 17, 2020; and
      3. Beginning on or after January 1, 2021, shall not increase more than five percent (5%) for each year thereafter.
    2. The fees shall cover the costs of annual inspections of efforts regarding compliance with program standards administered by the cabinet.
    3. All fees collected for inspections shall be deposited in the State Treasury and credited to a revolving fund account to be used for administration of those programs of the cabinet. The balance of the account shall lapse to the general fund at the end of each biennium. Fees shall not be charged for investigation of complaints.

History. Enact. Acts 1998, ch. 426, § 6, effective July 15, 1998; 2000, ch. 406, § 25, effective July 14, 2000; 2005, ch. 99, § 26, effective June 20, 2005; 2017 ch. 80, § 17, effective June 29, 2017; 2018 ch. 136, § 1, effective July 1, 2019; 2020 ch. 21, § 4, effective March 17, 2020; 2020 ch. 36, § 7, effective July 15, 2020.

Legislative Research Commission Notes.

(7/15/2020). This statute was amended by 2020 Ky. Acts chs. 21 and 36, which do not appear to be in conflict and have been codified together.

NOTES TO DECISIONS

1.Pattern of Overcharging.

It was not arbitrary for a health department agency to find a pattern of overcharging, based on three (3) occurrences, and to suspend a vendor for three (3) years from a federal nutrition program for children. K & P Grocery, Inc. v. Commonwealth, 103 S.W.3d 701, 2002 Ky. App. LEXIS 2327 (Ky. Ct. App. 2002).

194A.055. Kentucky Health Care Improvement Fund — Purpose — Source of moneys — Strategic plan for fund distribution — Annual report and audit.

There is established in the State Treasury a fund to be known as the “Kentucky Health Care Improvement Fund.” This fund shall exist for the purpose of receipt and expenditure of moneys to improve health care and access to health insurance residents of the Commonwealth. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasury upon the warrant of the secretary of the Cabinet for Health and Family Services. Beginning July 1, 2000, twenty-five percent (25%) of the proceeds from the tobacco settlement agreement fund shall be deposited in this fund as provided under KRS 248.654 . All investment income earned from moneys deposited in the fund shall accrue to the fund. The moneys in the fund shall not lapse at the close of any fiscal year but shall be carried forward in the next fiscal year for the purpose of the fund. The board shall develop and oversee the implementation of a strategic plan. The strategic plan shall identify both short-term and long-term goals and the appropriate oversights to measure progress toward achievement of those goals, and it shall be updated every two (2) years. The board shall submit an annual report to the Governor and the Legislative Research Commission by September 1 of each year for the preceding fiscal year, outlining its activities and expenditures. The Auditor of Public Accounts, on an annual basis, shall conduct a thorough review of all expenditures from the fund and, if necessary in the opinion of the Auditor, an audit of the operations of the fund. No money in the fund shall be allocated until the board has adopted a strategic plan.

History. Enact. Acts 2000, ch. 546, § 4, effective April 26, 2000; 2005, ch. 99, § 152, effective June 20, 2005.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, D, 4 at 940.

194A.060. Confidentiality of record and reports.

  1. The secretary shall develop and promulgate administrative regulations that protect the confidential nature of all records and reports of the cabinet that directly or indirectly identify a client or patient or former client or patient of the cabinet and that insure that these records are not disclosed to or by any person except as, and insofar as:
    1. The person identified or the guardian, if any, shall give consent; or
    2. Disclosure may be permitted under state or federal law.
  2. The cabinet shall share pertinent information from within the agency’s records on clients, current and former clients, recipients, and patients as may be permitted by federal and state confidentiality statutes and regulations governing release of data with other public, quasi-public, and private agencies involved in providing services to current or former clients or patients subject to confidentiality agreements as permitted by federal and state law if those agencies demonstrate a direct, tangible, and legitimate interest in the records. In all instances, the individual’s right to privacy is to be respected.

History. Enact. Acts 1998, ch. 426, § 7, effective July 15, 1998.

Opinions of Attorney General.

The Office of the Inspector General and Adult Protective Services Branch of the Cabinet for Health and Family Services did not violate the Kentucky Open Records Act in denying identical requests submitted by an attorney on behalf of a hospital for copies of complaints made related to the treatment of a deceased patient while admitted at the hospital. The Cabinet, a hybrid entity under the Health Insurance Portability and Accountability Act of 1996, fully complied with state and federal law in responding to the requests. The OIG properly denied the attorney’s request on the basis of 45 CFR § 164.512 (c) in conjunction with KRS 61.878(1)(a), (k) and ( l ), and KRS 194A.060(1). In addition, the APS properly conditioned release of the requested APS records upon completion of the Cabinet’s HIPAA compliant form or receipt of a court order in accordance with 45 CFR § 164.512 (c) and § 164.508(6)(c)(1). OAG 05-ORD-54.

194A.062. Criminal background investigation required for cabinet’s employees with access to or use of federal tax information and front-line staff.

  1. Each employee of the cabinet, including contract staff, with access to or use of federal tax information shall submit to a criminal background investigation by means of a fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation.
  2. Front-line staff, as defined in KRS 194A.065 , shall submit to national and state fingerprint-supported criminal background checks by the Department of Kentucky State Police and the Federal Bureau of Investigation.
  3. The results of the national and state criminal background checks shall be sent to the cabinet.
  4. The cabinet may register employees, contract staff, or front-line staff in the rap back system.
  5. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.

HISTORY: 2017 ch. 97, § 1, effective March 21, 2017; 2020 ch. 53, § 1, effective July 15, 2020.

194A.065. Recording of data elements for centralized criminal history record information system — Definition of front-line staff.

  1. For the purposes of this section, “front-line staff” means an employee of the Division of Service Regions of the Department for Community Based Services or the immediate supervisor of an employee whose professional duties include ongoing adult or child protective services, protective services investigations or assessments, or regularly conducting interviews, visits, contacts, or providing transportation services or other services in the homes of family members involved in adult or child protective services.
  2. The Cabinet for Health and Family Services, the Department of Juvenile Justice, the Department of Corrections, the Administrative Office of the Courts, and the Department of Kentucky State Police shall be responsible for the recording of those data elements that are needed for the development of the centralized criminal history record information system.
  3. The database shall at a minimum contain the information required in KRS 27A.310 to 27A.440 .
  4. The Cabinet for Health and Family Services shall provide access to the Department of Kentucky State Police, the Department of Corrections, the Department of Juvenile Justice, and the Administrative Office of the Courts to its database.
  5. The cabinet secretary and the secretary of the Justice and Public Safety Cabinet shall establish communications, policies, and procedures to enable designated cabinet staff of the Department for Community Based Services who are working on a protective services investigation or an ongoing protective services case to request a state criminal background check, and within a reasonable time frame, but no later than one (1) hour after receipt of a request, to have the state criminal background check sent to designated cabinet staff. Designated cabinet staff may request a state criminal background check at any time for a protective services investigation and may use the state criminal background check to assess staff safety concerns.
  6. The Cabinet for Health and Family Services shall prioritize the safety needs of the front-line staff of the Department for Community Based Services and provide improvements in accordance with this section and KRS 194A.562 , 194A.564 , and 605.170 .

History. Enact. Acts 1998, ch. 606, § 18, effective July 15, 1998; 2005, ch. 99, § 153, effective June 20, 2005; 2007, ch. 140, § 2, effective April 5, 2007; 2007, ch. 85, § 217, effective June 26, 2007.

Legislative Research Commission Notes.

(6/26/2007). This section was amended by 2007 Ky. Acts chs. 85 and 140, which do not appear to be in conflict and have been codified together.

(6/26/2007). The numbering of subsections in this section has been altered from the numbering of 2007 Ky. Acts ch. 140, sec. 2, by the Reviser of Statutes under the authority of KRS 7.136 .

(6/26/2007). 2007 Ky. Acts ch. 85, relating to the creation and organization of the Justice and Public Safety Cabinet, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in that Act. Such a correction has been made in this section.

Research References and Practice Aids

Cross-References.

Administrative Office of the Courts, KRS 27A.050 .

Department of Corrections, KRS Chapter 196.

Department of Juvenile Justice, KRS 15A.065 .

Kentucky State Police, KRS Chapter 16.

194A.070. Utilizing community resources for delivery of services.

The cabinet is authorized to utilize and promote available or potential community resources for the delivery of services and shall, when it deems appropriate, contract for services with local, community, and private agencies when services would not otherwise be available without cost. The cabinet and local, community, and private agencies operating on contract with the cabinet may charge for services rendered when this would be in accordance with applicable state law.

History. Enact. Acts 1998, ch. 426, § 8, effective July 15, 1998.

194A.080. Cost-allocation plan.

The secretary shall arrange for the development of a cost allocation plan by the cabinet. The cost allocation shall be developed in accordance with generally recognized accounting practices and shall make provisions for the distribution of operational and administrative costs of all organizational units of the cabinet to all programs operated by the cabinet that receive services or are otherwise benefited by the operations of those organizational units.

History. Enact. Acts 1998, ch. 426, § 9, effective July 15, 1998.

194A.085. Governor’s Office of Wellness and Physical Activity — Duties, rights, and responsibilities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 172, § 4, effective July 12, 2006; 2007, ch. 24, § 4, effective June 26, 2007; 2009, ch. 11, § 60, effective June 25, 2009) was repealed by Acts 2012, ch. 158, § 80, effective July 12, 2012.

194A.090. Citizen advisory bodies — Public Health Services Advisory Council — Institute for Aging. [Repealed]

HISTORY: Enact. Acts 1998, ch. 426, § 10, effective July 15, 1998; 2000, ch. 6, § 7, effective July 14, 2000; 2005, ch. 99, § 27, effective June 20, 2005; 2017 ch. 80, § 18, effective June 29, 2017; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

194A.092. Division of Child Abuse and Domestic Violence Services. [Repealed.]

Compiler’s Notes.

This section (Repealed, reenact. and amend., Acts 2005, ch. 99, § 12, effective June 20, 2005; 2007, ch. 85, § 218, effective June 26, 2007) was repealed by Acts 2012, ch. 158, § 80, effective July 12, 2012.

194A.095. Division of Women’s Health — Receipt of gifts, grants, and bequests.

  1. There is created in the Cabinet for Health and Family Services a Division of Women’s Health for the purpose of:
    1. Serving as a repository for data and information affecting women’s physical and mental health issues;
    2. Analyzing and communicating trends in women’s health issues and mental health;
    3. Recommending to the Cabinet for Health and Family Services data elements affecting women’s physical and mental health. The division shall advise and direct which data elements should be collected, analyzed, and reported in a timely manner under KRS 216.2920 to 216.2929 ;
    4. Cooperating and collaborating with the Cabinet for Health and Family Services in receiving and disseminating through all forms of media including the Internet relevant aggregate data findings under KRS 216.2920 to 216.2929 which affect women; and
    5. Planning, developing, and administering a Women’s Health Resource Center within the Cabinet for Health and Family Services to focus on targeted preventive care and comprehensive health education.
  2. The division may accept gifts, grants, and bequests in support of its mission and duties specified in subsection (1) of this section. All money received shall be administered by the cabinet, which shall administer these funds through appropriate trust and agency accounts.

HISTORY: Enact. Acts 1998, ch. 427, § 11, effective July 15, 1998; 2001, ch. 74, § 1, effective June 21, 2001; 2002, ch. 238, § 1, effective July 15, 2002; 2005, ch. 99, § 154, effective June 20, 2005; 2012, ch. 158, § 15, effective July 12, 2012; 2017 ch. 80, § 29, effective June 29, 2017.

194A.097. Division of Family Resource and Youth Services Centers — Administrative regulations.

The Division of Family Resource and Youth Services Centers shall promulgate administrative regulations to:

  1. Implement requirements for applications for continuation funding of a family resource or youth services center; and
  2. Establish a continuing education program for coordinators and staff.

History. Enact. Acts 2008, ch. 120, § 4, effective July 15, 2008.

194A.099. Division of Health Benefit Exchange to administer the Public Protection and Affordable Care Act of 2010 — Powers and duties — Administrative regulations — Office not to establish procedures and rules that conflict with the Public Protection and Affordable Care Act.

  1. The Division of Health Benefit Exchange shall administer the provisions of the Patient Protection and Affordable Care Act of 2010, Pub. L. No. 111-148.
  2. The Division of Health Benefit Exchange shall:
    1. Facilitate enrollment in health coverage and the purchase and sale of qualified health plans in the individual market;
    2. Facilitate the ability of eligible individuals to receive premium tax credits and cost-sharing reductions and enable eligible small businesses to receive tax credits, in compliance with all applicable federal and state laws and regulations;
    3. Oversee the consumer assistance programs of navigators, in-person assisters, certified application counselors, and insurance agents as appropriate;
    4. At a minimum, carry out the functions and responsibilities required pursuant to 42 U.S.C. sec. 18031 to implement and comply with federal regulations in accordance with 42 U.S.C. sec. 18041 ; and
    5. Regularly consult with stakeholders in accordance with 45 C.F.R. sec. 155.130 .
  3. The office may enter into contracts and other agreements with appropriate entities, including but not limited to federal, state, and local agencies, as permitted under 45 C.F.R. sec. 155.110 , to the extent necessary to carry out the duties and responsibilities of the office, provided that the agreements incorporate adequate protections with respect to the confidentiality of any information to be shared.
  4. The office shall pursue all available federal funding for the further development and operation of the Division of Health Benefit Exchange.
  5. The Office of Health Data and Analytics shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.
  6. The office shall not establish procedures and rules that conflict with or prevent the application of the Patient Protection and Affordable Care Act of 2010, Pub. L. No. 111-148.

HISTORY: 2019 ch. 90, § 3, effective June 27, 2019.

194A.101. Division of Analytics created in the Office of Health Data and Analytics — Duties and responsibilities — Review of data requests — Administrative regulations.

  1. The Division of Analytics is hereby created in the Office of Health Data and Analytics. The division shall provide oversight and strategic direction and be responsible for coordinating the data analysis initiatives for the various departments that regulate health care and social services to ensure that policy is consistent with the long-term goals across the Commonwealth.
  2. The division shall have the authority to review all data requests received by the cabinet from the public, review the requests for content to determine the cabinet’s response, and approve the release of the requested information. The division shall review data analyses conducted by the departments within the cabinet to ensure the consistency, quality, and validity of the analysis prior to its use in operational and policy decisions. The division shall facilitate the process of data integration by initiating and maintaining data-sharing agreements in order to improve inter-agency and cross-cabinet collaboration.
  3. The Office of Health Data and Analytics shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.

HISTORY: 2019 ch. 90, § 4, effective June 27, 2019.

194A.103. Division of Health Information created in the Office of Health Data and Analytics — Division to provide leadership in the redesign of the health care delivery system — Administrative regulations.

  1. The Division of Health Information is hereby created in the Office of Health Data and Analytics. The division shall provide leadership in the redesign of the health care delivery system using electronic information technology as a means to improve patient care and reduce medical errors and duplicative services.
  2. The Office of Health Data and Analytics shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement the provisions of this section.

HISTORY: 2019 ch. 90, § 5, effective June 27, 2019.

194A.105. Division of Telehealth Services created in the Office of Health Data and Analytics — Duties and responsibilities concerning delivery of care using telehealth.

There is hereby created a Division of Telehealth Services within the Office of Health Data and Analytics to be headed by a director appointed by the secretary pursuant to KRS 12.050 . The division shall provide oversight, guidance, and direction to Medicaid providers delivering care using telehealth. The division shall implement telehealth services and develop standards, guidance, resources, and education to help promote access to healthcare services in the Commonwealth.

HISTORY: 2020 ch. 9, § 3, effective July 15, 2020.

194A.105. Division of Telehealth Services created in the Office of Health Data and Analytics — Duties and responsibilities concerning delivery of care using telehealth.

There is hereby created a Division of Telehealth Services within the Office of Health Data and Analytics to be headed by a director appointed by the secretary pursuant to KRS 12.050 . The division shall:

  1. Provide guidance and direction to healthcare providers delivering care using telehealth;
  2. Develop guidance, resources, and education to help promote access to healthcare services in the Commonwealth;
  3. Assist the Cabinet for Health and Family Services with the implementation of Section 2 of this Act; and
  4. Provide the Department for Medicaid Services with any additional information deemed relevant by the division for inclusion in the report required by subsection (2) of Section 2 of this Act.

HISTORY: 2020 ch. 9, § 3, effective July 15, 2020; 2021 ch. 67, § 5.

194A.110. Advisory Council for Medical Assistance attached for administrative and support purposes.

The Advisory Council for Medical Assistance, established by KRS 205.540 , and its associated bodies are attached to the Department for Medicaid Services for administrative and support purposes. The Advisory Council for Medical Assistance shall advise the secretary for health and family services and the commissioner for Medicaid services on the administration and operation of the Medical Assistance Program.

History. Enact. Acts 1998, ch. 426, § 11, effective July 15, 1998; 2005, ch. 99, § 155, effective June 20, 2005.

194A.115. Statewide Independent Living Council.

  1. The Statewide Independent Living Council is hereby created and attached to the Cabinet for Health and Family Services in accordance with 42 U.S.C. sec. 3515 e for administrative purposes to accomplish the purposes enumerated in 29 U.S.C. sec. 796 d (Title VII, Part A, Section 705 of the Rehabilitation Act Amendments of 1998). Members of the council shall be appointed by the Governor from recommendations submitted by the Department for Aging and Independent Living consistent with the federal mandate to include a majority of individuals with disabilities representing geographical and disability diversity, as well as representatives from identified service providers and other entities. The composition, qualifications, and terms of service of the council shall conform to the federal law.
    1. Except as provided in paragraph (b) of this subsection, any vacancy occurring in the membership of the Statewide Independent Living Council shall be filled in the same manner as the original appointment. The vacancy shall not affect the power of the remaining members of the council. (2) (a) Except as provided in paragraph (b) of this subsection, any vacancy occurring in the membership of the Statewide Independent Living Council shall be filled in the same manner as the original appointment. The vacancy shall not affect the power of the remaining members of the council.
    2. The Governor may delegate the authority to fill a vacancy to the remaining voting members of the council.
  2. Each member of the Statewide Independent Living Council may receive a per diem of one hundred dollars ($100), not to exceed six hundred dollars ($600) annually, for each regular or special meeting attended if the member is not employed or must forfeit wages from other employment. Each member may have travel expenses approved at the established state rate and expenses reimbursed at the established state agency rate for services such as personal assistance, child care, and drivers for attendance at council meetings, and in the performance of duties authorized by the Statewide Independent Living Council. The per diem and expenses shall be paid out of the federal funds appropriated under 29 U.S.C. ch. 16.

History. Enact. Acts 1994, ch. 469, § 3, effective July 15, 1994; 2000, ch. 211, § 1, effective July 14, 2000; 2006, ch. 211, § 50, effective July 12, 2006; repealed, reenacted, renumbered, and amended, 2016, ch. 32, § 2, effective July 15, 2016.

Compiler’s Notes.

KRS 194A.115 was formerly codified as KRS 151B.240 .

194A.120. Bodies attached to cabinet with statutory authority to issue administrative regulations.

The Office for Children with Special Health Care Needs and the State Interagency Council for Services and Support to Children and Transition-Age Youth shall be the only statutory bodies attached to the cabinet that shall have the authority to issue administrative regulations. No other corporate body or instrumentality of the Commonwealth, advisory committee, interstate compact, or other statutory body, presently attached to the cabinet, shall issue administrative regulations but shall operate only in an advisory capacity.

HISTORY: Enact. Acts 1998, ch. 426, § 12, effective July 15, 1998; 2018 ch. 120, § 8, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Office for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

(7/15/2014). In 2014 Ky. Acts ch. 132, sec. 18, the State Interagency Council for Services to Children with an Emotional Disability was renamed the State Interagency Council for Services to Children. Under the authority of KRS 7.136(2), the Reviser of Statutes has corrected the reference to that council that appears in this statute.

194A.125. Telehealth Board — Members — Chair — Scope of administrative regulations — Board to make recommendations following consultation with Governor’s office — Universities of Kentucky and Louisville to report to General Assembly — Receipt and dispensing of funds. [Repealed]

History. Repealed, reenact. and amend. 2007, ch. 24, § 25, effective June 26, 2007; 2012, ch. 158, § 16, effective July 12, 2012; repealed by 2018 ch. 187, § 10, effective July 1, 2019.

194A.130. Limitation on administrative processes.

No corporate body or instrumentality of the Commonwealth, advisory committee, interstate compact, or other statutory body, attached to or within the cabinet, shall expend funds, hire employees, issue grants, or otherwise engage in the normal administrative process of the cabinet. All of these bodies shall be provided administrative and support services by the cabinet.

History. Enact. Acts 1998, ch. 426, § 13, effective July 15, 1998.

194A.135. Commonwealth Council on Developmental Disabilities — Members — Executive Director — Duties. [Renumbered]

HISTORY: Enact. Acts 1998, ch. 426, § 14, effective July 15, 1998; 2000, ch. 20, § 1, effective July 14, 2000; 2002, ch. 59, § 1, effective July 15, 2002; 2005, ch. 99, § 156, effective June 20, 2005; 2005, ch. 138, § 3, effective June 20, 2005; 2006, ch. 211, § 118, effective July 12, 2006; 2007, ch. 24, § 5, effective June 26, 2007; 2012, ch. 146, § 22, effective July 12, 2012; 2012, ch. 158, § 17, effective July 12, 2012; 2016 ch. 18, § 3, effective July 15, 2016; renumbered to § 41.410 by 2018 ch. 95 § 1, effective July 14, 2018.

194A.140. Special subcommittees of the Public Health Services Advisory Council or of the Institute for Aging. [Repealed]

History. Enact. Acts 1998, ch. 426, § 15, effective July 15, 1998; 2000, ch. 6, § 9, effective July 14, 2000; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

Strategic Planning for Children in Placement

194A.145. Legislative findings and declarations. [Repealed]

History. Repealed, reenact. and amend., Acts 2005, ch. 99, § 31, effective June 20, 2005; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

194A.146. Statewide Strategic Planning Committee for Children in Placement — Membership — Plans — Review — Information Systems — Study of changes in child welfare delivery — Annual report. [Repealed]

History. Repealed, reenact. and amend., Acts 2005, ch. 85, § 617, effective June 20, 2005; 2005, ch. 99, § 32, effective June 20, 2005; 2012, ch. 146, § 23, effective July 12, 2012; 2012, ch. 158, § 18, effective July 12, 2012; 2018 ch. 159, § 50, effective July 14, 2018; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

194A.150. State officials as voting members of citizens’ councils.

When federal programs require a particular citizens’ council within or attached to the cabinet to include state officials as voting members, the secretary shall, for the specific purposes of those federal programs, be authorized to vote in those council meetings and shall further be authorized to call upon either the secretary of the Cabinet for Health and Family Services, the secretary of the Finance and Administration Cabinet, the chief state school officer, the secretary of the Justice and Public Safety Cabinet, the secretary of the Public Protection Cabinet, the secretary of the Energy and Environment Cabinet, the secretary of the Labor Cabinet, the secretary of the Cabinet for Economic Development, the executive director of the Council on Higher Education, or any combination of the above as may be appropriate, to be voting members of expanded citizens’ councils for the purposes of these federal programs. The secretary shall exercise this prerogative only when the federal programs specifically require that state officials be voting members of the citizens’ councils.

History. Enact. Acts 1998, ch. 426, § 16, effective July 15, 1998; 2005, ch. 99, § 157, effective June 20, 2005; 2007, ch. 85, § 219, effective June 26, 2007; 2010, ch. 24, § 241, effective July 15, 2010.

194A.160. Alternates or representatives for boards, commissions, and similar bodies.

The secretary and other state officials with the approval of the secretary may designate alternatives or representatives to serve in their capacity as members of all boards, commissions, councils, institutes, and other similar bodies within or attached to the cabinet. The secretary or the secretary’s designee shall be an ex officio member of all boards, committees, councils, institutes, and other similar bodies within or attached to the cabinet.

History. Enact. Acts 1998, ch. 426, § 17, effective July 15, 1998.

194A.170. Secretary’s authority to create special task forces, advisory committees, and other citizens’ panels.

The secretary is authorized to create special task forces, technical advisory committees, and other citizens’ panels as may be necessary to support the operations of the cabinet. No other officials of the cabinet shall be authorized to create citizens’ panels associated with the cabinet, its programs, or suborganizational units, and the secretary shall not delegate this authority.

History. Enact. Acts 1998, ch. 426, § 18, effective July 15, 1998.

194A.180. Administrative regulations and decisions of various bodies transferred to Advisory Council for Medical Assistance.

All administrative regulations, acts, determinations, and decisions of and by the corporate bodies or instrumentalities of the Commonwealth, advisory committees, interstate compacts, or other statutory bodies, transferred in whole or in part to the Advisory Council for Medical Assistance, shall remain in effect as the administrative regulations, acts, determinations, and decisions of the cabinet unless duly modified or repealed by the secretary.

History. Enact. Acts 1998, ch. 426, § 19, effective July 15, 1998; 2020 ch. 36, § 8, effective July 15, 2020.

194A.182. Continued viability of administrative regulations and decisions of predecessor bodies of the Institute for Aging.

All administrative regulations, acts, determinations, and decisions of or by the corporate bodies or instrumentalities of the Commonwealth, advisory committees, interstate compacts, or other statutory bodies transferred in whole or in part to the Institute for Aging shall remain in effect as administrative regulations, acts, determinations, and decisions of the cabinet unless duly modified or repealed by the secretary.

History. Enact. Acts 2000, ch. 6, § 8, effective July 14, 2000.

194A.190. Gifts and grants to the Advisory Council for Medical Assistance.

The Advisory Council for Medical Assistance shall be empowered to accept gifts and grants, but all of these moneys shall be administered by the cabinet, which shall administer these funds through appropriate trust and agency accounts.

History. Enact. Acts 1998, ch. 426, § 20, effective July 15, 1998; 2000, ch. 6, § 10, effective July 14, 2000; 2005, ch. 99, § 28, effective June 20, 2005; 2017 ch. 80, § 19, effective June 29, 2017; 2020 ch. 36, § 9, effective July 15, 2020.

194A.200. Compensation and expenses of members of the Public Health Services Advisory Council and the Institute for Aging — Members of citizens’ councils not public officers. [Repealed]

History. Enact. Acts 1998, ch. 426, § 21, effective July 15, 1998; 2000, ch. 6, § 11, effective July 14, 2000; 2005, ch. 99, § 29, effective June 20, 2005; 2017 ch. 80, § 20, effective June 29, 2017; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

194A.350. Liability insurance for physicians, hospital administrators, and directors employed by cabinet.

  1. The secretary of the cabinet is authorized to purchase liability insurance for the protection of physicians, hospital administrators, and directors employed by the cabinet to protect them from liability for acts, omissions, and claims of medical malpractice arising in the course and scope of their employment of service to the cabinet.
  2. The secretary may purchase the type and amount of liability coverage deemed appropriate to best serve the cabinet’s interest.

History. Enact. Acts 1998, ch. 426, § 22, effective July 15, 1998.

194A.360. Update of database.

The Cabinet for Health and Family Services shall update its database within thirty (30) days of receipt of information. The update shall include information from the:

  1. Offender records;
  2. Institutional records; and
  3. Administrative records.

History. Repealed, reenact., and amend. Acts 2002, ch. 257, § 18, effective July 15, 2002; 2005, ch. 99, § 158, effective June 20, 2005.

Compiler’s Notes.

This section was formerly compiled as KRS 15A.314 .

194A.365. Annual report on committed children — Contents.

The cabinet shall make an annual report to the Governor, the Child Welfare Oversight and Advisory Committee established in KRS 6.943 , and the Chief Justice. The report shall be tendered not later than December 1 of each year and shall include information for the previous fiscal year. The report shall include, but not be limited to, the following information:

  1. The number of children under an order of dependent, status, public, or voluntary commitment to the cabinet, according to: permanency planning goals, current placement, average number of placements, type of commitment, and the average length of time children remain committed to the cabinet;
  2. The number of children in the custody of the cabinet in the following types of residential placements, the average length of stay in these placements, and the average number of placements experienced by these children: family foster homes, private child care facilities, and placement with biological parent or person exercising custodial control or supervision;
  3. The number of children in the custody of the cabinet eligible for adoption, the number placed in an adoptive home, and the number ineligible for adoption and the reasons therefor;
  4. The cost in federal and state general funds to care for the children defined in subsections (1) and (2) of this section, including the average cost per child for each type of placement, direct social worker services, operating expenses, training, and administrative costs; and
  5. Any other matters relating to the care of foster children that the cabinet deems appropriate and that may promote further understanding of the impediments to providing permanent homes for foster children.

HISTORY: Enact. Acts 1998, ch. 426, § 47, effective July 15, 1998; repealed, reenact. and amend., Acts 2005, ch. 99, § 33, effective July 20, 2005; 2018 ch. 159, § 51, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 194B.360 .

Legislative Research Commission Notes.

(6/20/2005). KRS 194B.360 was repealed and reenacted as a new section of KRS Chapter 194A by 2005 Ky. Acts ch. 99, § 33, and repealed by 2005 Ky. Acts ch. 99, § 674, and has been codified as this section of KRS Chapter 194A.

194A.370. Professional development for staff on child development and abuse.

The Cabinet for Health and Family Services shall provide professional development for staff employed by the cabinet or by local public agencies in child development, the dynamics of physical and sexual abuse, the impact of violence on child development, the treatment of offenders, and related issues. Each staff person who is employed by the cabinet or by a local public agency and who works with children or with families shall successfully complete the professional development program in order to remain assigned to child or family programs. The cabinet shall specify the manner of professional development and related matters by administrative regulation.

History. Repealed and reenact., Acts 2005, ch. 99, § 34, effective July 20, 2005.

Compiler’s Notes.

This section was formerly compiled as KRS 194B.370 .

194A.380. Definitions for KRS 194A.380 to 194A.383.

  1. “Criminal offense against a minor” means a conviction or a plea of guilty to any of the following offenses if the victim is under the age of eighteen (18) at the time of the commission of the offense:
    1. Kidnapping, as in KRS 509.040 , except by a parent;
    2. Unlawful imprisonment, as in KRS 509.020 , except by a parent;
    3. Sexual misconduct as in KRS 510.140 ;
    4. Use of a minor in a sexual performance, as in KRS 531.310 ;
    5. Promoting a sexual performance of a minor, as in KRS 531.320 ;
    6. Possession or viewing matter portraying a sexual performance by a minor, as in KRS 531.335 ;
    7. Distribution of matter portraying a sexual performance by a minor, as in KRS 531.340 ;
    8. Promoting the sale of material portraying a sexual performance by a minor, as in KRS 531.350 ;
    9. Advertising material portraying a sexual performance by a minor, as in KRS 531.360 ;
    10. Using minors to distribute material portraying a sexual performance by a minor, as in KRS 531.370 ;
    11. Human trafficking involving commercial sexual activity, as in KRS 529.100 ;
    12. Promoting prostitution, as in KRS 529.040 , when the defendant advances or profits from the prostitution of a person under the age of eighteen (18);
    13. Unlawful transaction with a minor in the first degree, as in KRS 530.064(1)(a);
    14. Any attempt to commit any of the offenses described in paragraphs (a) to (m) of this subsection; or
    15. Solicitation to commit any of the offenses described in paragraphs (a) to (m) of this subsection;
  2. “Sex crime” means a conviction or a plea of guilty to any of the following offenses:
    1. Rape in the first degree as in KRS 510.040 ;
    2. Rape in the second degree as in KRS 510.050 ;
    3. Rape in the third degree as in KRS 510.060 ;
    4. Sodomy in the first degree as in KRS 510.070 ;
    5. Sodomy in the second degree as in KRS 510.080 ;
    6. Sodomy in the third degree as in KRS 510.090 ;
    7. Sodomy in the fourth degree as in KRS 510.100 ;
    8. Sexual abuse in the first degree as in KRS 510.110 ;
    9. Sexual abuse in the second degree as in KRS 510.120 ;
    10. Sexual abuse in the third degree as in KRS 510.130 ;
    11. Indecent exposure in the first degree as in KRS 510.148 ;
    12. Indecent exposure in the second degree as in KRS 510.150 ;
    13. Unlawful use of electronic means originating or received within the Commonwealth to induce a minor to engage in sexual or other prohibited activities as in KRS 510.155 ; or
    14. Incest as in KRS 530.020 ;
  3. “Violent offender” means any person who has been convicted of or who has entered a plea of guilty to the commission of a capital offense, Class A felony, Class B felony involving the death of the victim or serious physical injury to the victim, or rape in the first degree, or sodomy in the first degree; and
  4. “Youth camp” or “camp” means:
    1. Any camp required pursuant to KRS 211.180 to obtain a permit to operate; and
    2. Any program offered, whether free or for a fee, for recreational, educational, sports training, or vacation purposes to children under eighteen (18) years of age that a child attends outside the presence of his or her parent or legal guardian.

HISTORY: 2017 ch. 115, § 4, effective July 1, 2018.

194A.380. Definitions for KRS 194A.380 to 194A.383.

As used in KRS 194A.380 to 194A.383 :

  1. “Criminal offense against a minor” means a conviction or a plea of guilty to any of the following offenses if the victim is under the age of eighteen (18) at the time of the commission of the offense:
    1. Kidnapping, as in KRS 509.040 , except by a parent;
    2. Unlawful imprisonment, as in KRS 509.020 , except by a parent;
    3. Sexual misconduct as in KRS 510.140 ;
    4. Use of a minor in a sexual performance, as in KRS 531.310 ;
    5. Promoting a sexual performance of a minor, as in KRS 531.320 ;
    6. Possession or viewing matter portraying a sexual performance by a minor, as in KRS 531.335 ;
    7. Distribution of matter portraying a sexual performance by a minor, as in KRS 531.340 ;
    8. Promoting the sale of material portraying a sexual performance by a minor, as in KRS 531.350 ;
    9. Advertising material portraying a sexual performance by a minor, as in KRS 531.360 ;
    10. Using minors to distribute material portraying a sexual performance by a minor, as in KRS 531.370 ;
    11. Human trafficking involving commercial sexual activity, as in KRS 529.100 ;
    12. Promoting prostitution, as in KRS 529.040 , when the defendant advances or profits from the prostitution of a person under the age of eighteen (18);
    13. Unlawful transaction with a minor in the first degree, as in KRS 530.064(1)(a);
    14. Any attempt to commit any of the offenses described in paragraphs (a) to (m) of this subsection; or
    15. Solicitation to commit any of the offenses described in paragraphs (a) to (m) of this subsection;
  2. “Local government” means a city, county, consolidated local government, urban- county government, unified local government, or charter county government;
  3. “Local government youth day camp” means a camp operated by a local government for all or part of a day, whether free or for a fee, for five (5) or more children under eighteen (18) years of age outside the presence of their parent or guardian for recreational or educational purposes for four (4) or more consecutive hours per day during school vacation periods, school breaks, or school cancellations;
  4. “Sex crime” means a conviction or a plea of guilty to any of the following offenses:
    1. Rape in the first degree as in KRS 510.040 ;
    2. Rape in the second degree as in KRS 510.050 ;
    3. Rape in the third degree as in KRS 510.060 ;
    4. Sodomy in the first degree as in KRS 510.070 ;
    5. Sodomy in the second degree as in KRS 510.080 ;
    6. Sodomy in the third degree as in KRS 510.090 ;
    7. Sodomy in the fourth degree as in KRS 510.100 ;
    8. Sexual abuse in the first degree as in KRS 510.110 ;
    9. Sexual abuse in the second degree as in KRS 510.120 ;
    10. Sexual abuse in the third degree as in KRS 510.130 ;
    11. Indecent exposure in the first degree as in KRS 510.148 ;
    12. Indecent exposure in the second degree as in KRS 510.150 ;
    13. Unlawful use of electronic means originating or received within the Commonwealth to induce a minor to engage in sexual or other prohibited activities as in KRS 510.155 ; or
    14. Incest as in KRS 530.020 ;
  5. “Staff member” means:
    1. An individual who is employed by a youth camp or camp or a local government youth day camp for compensation;
    2. A contract employee or a self-employed individual whose employment directly involves the care or supervision of children or unsupervised access to children placed with a youth camp or camp or a local government youth day camp; or
    3. A volunteer or intern whose activities on behalf of a youth camp or camp or a local government youth day camp directly involves the care or supervision of children or unsupervised access to children placed with a youth camp or camp or a local government youth day camp;
  6. “Violent offender” means any person who has been convicted of or who has entered a plea of guilty to the commission of a capital offense, Class A felony, Class B felony involving the death of the victim or serious physical injury to the victim, or rape in the first degree, or sodomy in the first degree; and
  7. “Youth camp” or “camp” means:
    1. Any camp required pursuant to KRS 211.180 to obtain a permit to operate; and
    2. Any program offered, whether free or for a fee, for recreational, educational, sports training, or vacation purposes to children under eighteen (18) years of age that a child attends outside the presence of his or her parent or legal guardian.

HISTORY: 2017 ch. 115, § 4, effective July 1, 2018; 2021 ch. 90, § 1.

194A.381. Nonapplicability of KRS 194A.380 to 194A.383 to specified circumstances.

KRS 194A.380 to 194A.383 shall not apply to:

  1. Public school districts or programs sponsored by the school district;
  2. Private schools;
  3. Child-care centers, child-caring and child-placing agencies; family child-care homes; and foster care, relative caregiver services or adoptive homes otherwise governed by KRS Chapter 199; or
  4. Babysitting or child-care arrangements made by a child’s parent or guardian and occurring within a private home.

HISTORY: 2017 ch. 115, § 5, effective July 1, 2018.

194A.382. Prohibition of employment by youth camp receiving public funds of person who has been convicted of criminal offense against a minor or a sex crime, is a violent offender, or has been found to have abused or neglected a child.

  1. A youth camp that receives public funds shall not employ, contract, or utilize as a volunteer, in any position, any person who has been convicted of or who has entered a plea of guilty to a criminal offense against a minor or a sex crime, who is a violent offender, or who has been found by the Cabinet for Health and Family Services or a court to have abused or neglected a child.
  2. Prior to employing, contracting with, or allowing volunteer work, each youth camp that receives public funds shall obtain from the Justice and Public Safety Cabinet a national and state criminal background check of the applicant, contractor, or volunteer prior to the individual’s presence at the camp or involvement in any program of the camp.
  3. Prior to employing, contracting with, or allowing volunteer work, each youth camp that receives public funds shall require applicants to obtain a letter from the Cabinet for Health and Family Services stating the individual is clear to hire based on no findings of substantiated child abuse or neglect found through a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services of the applicant, contractor, or volunteer prior to the individual’s presence at the camp or involvement in any program of the camp.
  4. Each application form provided by a youth camp that receives public funds to an applicant or volunteer shall in a prominent place and legible font conspicuously state the following: “STATE LAW REQUIRES A NATIONAL AND STATE CRIMINAL BACKGROUND CHECK AND A LETTER FROM THE CABINET FOR HEALTH AND FAMILY SERVICES STATING THE EMPLOYEE IS CLEAR TO HIRE BASED ON NO FINDINGS OF SUBSTANTIATED CHILD ABUSE OR NEGLECT FOUND THROUGH A BACKGROUND CHECK OF CHILD ABUSE AND NEGLECT RECORDS AS A CONDITION OF EMPLOYMENT OR INVOLVEMENT IN THIS PROGRAM.”
  5. Any request for records under this section shall be on a form approved by the Justice and Public Safety Cabinet, and the cabinet may charge a fee to be paid by the applicant in an amount no greater than the actual cost of processing the request.
  6. This section shall apply to all applicants and volunteers in a position which involves supervisory or disciplinary power over a minor.
  7. This section shall not be construed to prohibit an exempted organization from requiring its employees, contractors, or volunteers to submit to a background check. Youth camps that do not receive public funds may require its employees, contractor, or volunteers to submit to a criminal background check and to have a letter, provided by the individual, from the Cabinet for Health and Family Services stating the individual has no findings of substantiated child abuse or neglect found through a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services.
  8. This section shall not be construed to require a youth camp that receives public funds to employ, contract with, or allow volunteering by, an individual solely on the basis of an acceptable criminal background check.
  9. This section shall not limit the ability of a youth camp that receives public funds to establish a more stringent background check process for its employees, contractors, or volunteers regarding other criminal offenses which, in the discretion of the youth camp that receives public funds, would disqualify the individual from involvement with the youth camp.
  10. The form for requesting a letter, required by this section, stating an employee is clear to hire based on a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services shall be made available on the Cabinet for Health and Family Services Web site.

HISTORY: Enact. Acts 2017, ch. 115, § 6, effective July 1, 2018.

194A.382. Prohibition of employment by youth camp receiving public funds of person who has been convicted of criminal offense against a minor or a sex crime, is a violent offender, or has been found to have abused or neglected a child.

  1. A youth camp or camp or a local government youth day camp that receives public funds shall not employ, contract, or utilize as a volunteer, in any position, any staff member who has been convicted of or who has entered a plea of guilty to a criminal offense against a minor or a sex crime, who is a violent offender, or who has been found by the Cabinet for Health and Family Services or a court to have abused or neglected a child.
  2. Prior to employing, contracting with, or allowing volunteer work, each youth camp or camp or a local government youth day camp that receives public funds shall obtain from the Justice and Public Safety Cabinet a national and state criminal background check of the applicant, contractor, or volunteer who is or intends to become a staff member prior to the individual’s presence at the camp or involvement in any program of the camp.
  3. Prior to employing, contracting with, or allowing volunteer work, each youth camp or camp or a local government youth day camp that receives public funds shall require an applicant to obtain a letter from the Cabinet for Health and Family Services stating the individual is clear to hire based on no findings of substantiated child abuse or neglect found through a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services of the applicant, contractor, or volunteer who intends to become a staff member prior to the individual’s presence at the camp or involvement in any program of the camp.
  4. Each application form provided by a youth camp or camp or a local government youth day camp that receives public funds to an applicant or volunteer who intends to become a staff member shall in a prominent place and legible font conspicuously state the following: “STATE LAW REQUIRES A NATIONAL AND STATE CRIMINAL BACKGROUND CHECK AND A LETTER FROM THE CABINET FOR HEALTH AND FAMILY SERVICES STATING THE STAFF MEMBER IS CLEAR TO HIRE BASED ON NO FINDINGS OF SUBSTANTIATED CHILD ABUSE OR NEGLECT FOUND THROUGH A BACKGROUND CHECK OF CHILD ABUSE AND NEGLECT RECORDS AS A CONDITION OF EMPLOYMENT OR INVOLVEMENT IN THIS PROGRAM.”
  5. Any request for records under this section shall be on a form approved by the Justice and Public Safety Cabinet, and the cabinet may charge a fee to be paid by the applicant in an amount no greater than the actual cost of processing the request.
  6. This section shall apply to all applicants and volunteers in a position which involves supervisory or disciplinary power over a minor, who intend to become staff members.
  7. This section shall not be construed to prohibit an exempted organization from requiring its employees, contractors, or volunteers to submit to a background check. A youth camp or camp or a local government youth day camp that does not receive public funds may require its employees, contractor, or volunteers to submit to a criminal background check and to have a letter, provided by the individual, from the Cabinet for Health and Family Services stating the individual has no findings of substantiated child abuse or neglect found through a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services.
  8. This section shall not be construed to require a youth camp or camp or a local government youth day camp that receives public funds to employ, contract with, or allow volunteering by, an individual solely on the basis of an acceptable criminal background check.
  9. This section shall not limit the ability of a youth camp or camp or a local government youth day camp that receives public funds to establish a more stringent background check process for its employees, contractors, or volunteers regarding other criminal offenses which, in the discretion of the youth camp or camp or a local government youth day camp that receives public funds, would disqualify the individual from involvement with the youth camp or camp or a local government youth day camp.
  10. The form for requesting a letter, required by this section, stating a staff member is clear to hire based on a background check of child abuse and neglect records maintained by the Cabinet for Health and Family Services shall be made available on the Cabinet for Health and Family Services Web site.

HISTORY: Enact. Acts 2017, ch. 115, § 6, effective July 1, 2018; 2021 ch. 90, § 2.

194A.383. Penalty for violation of KRS 194A.382.

  1. Failure to comply with KRS 194A.382 will result in immediate suspension of the entity’s permit until compliance is obtained.
  2. If any employee, contractor, or volunteer is discovered to be a violent offender or has been convicted of a sex crime or a criminal offense against a minor, or has been found by the Cabinet for Health and Family Services to have abused or neglected a child, and if he or she has waived the right to appeal a substantiated finding of child abuse or neglect or if the substantiated incident was upheld upon appeal, he or she shall be immediately terminated from participation with the program and removed from the property.
  3. Any person who owns or operates a youth camp that receives public funds and who knowingly allows an individual to serve or continue to serve as an employee, contractor, or volunteer despite a conviction or offense specified in this section shall be guilty of a Class A misdemeanor for the first offense and a Class D felony for each subsequent offense.

HISTORY: Enact. Acts 2017, ch. 115, § 7, effective July 1, 2018.

194A.383. Penalty for violation of KRS 194A.382.

  1. Failure to comply with KRS 194A.382 will result in immediate suspension of the entity’s permit until compliance is obtained.
  2. If any employee, contractor, or volunteer who is a staff member is discovered to be a violent offender or has been convicted of a sex crime or a criminal offense against a minor, or has been found by the Cabinet for Health and Family Services to have abused or neglected a child, and if he or she has waived the right to appeal a substantiated finding of child abuse or neglect or if the substantiated incident was upheld upon appeal, he or she shall be immediately terminated from participation with the program and removed from the property.
  3. Any person who owns or operates a youth camp or camp or a local government youth day camp that receives public funds and who knowingly allows an individual who is a staff member to serve or continue to serve as an employee, contractor, or volunteer despite a conviction or offense specified in this section shall be guilty of a Class A misdemeanor for the first offense and a Class D felony for each subsequent offense.

HISTORY: Enact. Acts 2017, ch. 115, § 7, effective July 1, 2018; 2021 ch. 90, § 3.

Vaccination of Emergency Responders

194A.400. Definitions for KRS 194A.400 and 194A.410.

As used in this section and KRS 194A.410 :

  1. “Bioterrorism” means the intentional use, to cause or attempt to cause death, disease, or other biological malfunction in any living organism, of any of the following:
    1. Microorganism;
    2. Virus;
    3. Infectious substance; or
    4. Biological product that may be engineered as a result of biotechnology or any naturally occurring or bioengineered component of any microorganism, virus, infectious substance, or biological product;
  2. “Commissioner” means the commissioner of the Department for Public Health within the Cabinet for Health and Family Services;
  3. “Department” means the Department for Public Health within the Cabinet for Health and Family Services;
  4. “Disaster location” means any geographical location where a bioterrorism attack, terrorist attack, catastrophic event, natural disaster, or emergency occurs; and
  5. “Emergency responder” means state or local law enforcement personnel, fire department personnel, corrections officers, and emergency medical personnel who may be deployed to a bioterrorism attack, terrorist attack, catastrophic event, natural disaster, or emergency.

History. Enact. Acts 2003, ch. 69, § 3, effective March 18, 2003; 2005, ch. 99, § 159, effective June 20, 2005.

194A.410. Vaccination program for emergency responders.

  1. The department shall offer a vaccination program for emergency responders who may be exposed to infectious diseases when deployed to a disaster location. The program shall include, but not be limited to, vaccinations for hepatitis A, hepatitis B, diphtheria-tetanus, influenza, pneumococcal, and any other diseases for which vaccinations are recommended by the United States Public Health Service and in accordance with Federal Emergency Management Director’s Policy. Immune globulin shall be made available when necessary.
    1. Participation in the vaccination program shall be voluntary by emergency responders. (2) (a) Participation in the vaccination program shall be voluntary by emergency responders.
    2. Participation in the vaccination program shall be mandatory for emergency responders who are:
      1. Classified as having “occupational exposure” to bloodborne pathogens as defined by the United States Occupational Safety and Health Administration Standard in 29 C.F.R. sec. 1910.1030, who shall be required to take the designated vaccinations; and
      2. Otherwise required by law to take the designated vaccinations.
  2. An emergency responder shall be exempt from receiving a vaccination when a written statement from a licensed physician is presented to the department indicating that a vaccine is medically contraindicated for that person or the emergency responder signs a written statement that the administration of a vaccination conflicts with his or her religious tenets.
  3. In the event of a vaccine shortage, the commissioner, in consultation with the Governor and the United States Centers for Disease Control and Prevention, shall use federal recommendations to determine the priority for emergency responders.
  4. The department shall notify emergency responders of the availability of the vaccination program and shall provide educational materials to emergency responders on ways to prevent exposure to infectious diseases.
  5. The department may contract with county and local health departments, not-for-profit home health care agencies, hospitals, physicians, or other licensed health care organizations to administer the vaccination program for emergency responders.
  6. This program shall be implemented upon receipt of federal funding or grants for administering an emergency responders vaccination program. Upon receipt of funding, the department shall make vaccines available to emergency responders as provided in this section.

History. Enact. Acts 2003, ch. 69, § 4, effective March 18, 2003.

Legend Drug Repository Program

194A.450. Definitions for KRS 194A.450 to 194A.458. [Renumbered]

History. Enact. Acts 2005, ch. 136, § 1, effective July 20, 2005; repealed, reenacted, and amended 2017, ch. 136, § 12, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 315.450 effective June 29, 2017.

194A.452. Legend Drug Repository Program to be established — Purpose — Permitted donations — Voluntary participation — Handling fee — Distribution. [Renumbered]

History. Enact. Acts 2005, ch. 136, § 2, effective July 20, 2005; repealed, reenacted, and amended 2017, ch. 136, § 13, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 315.452 effective June 29, 2017.

194A.454. Requirements for accepting and dispensing legend drug or administration supplies. [Renumbered]

History. Enact. Acts 2005, ch. 136, § 3, effective July 20, 2005; 2010, ch. 85, § 32, effective July 15, 2010; repealed, reenacted, and amended 2017, ch. 136, § 14, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 315.454 effective June 29, 2017.

194A.456. Immunity from civil liability — Exceptions. [Renumbered]

History. Enact. Acts 2005, ch. 136, § 4, effective July 20, 2005; repealed, reenacted, and amended 2017, ch. 136, § 156, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 315.456 effective June 29, 2017.

194A.458. Required administrative regulations. [Renumbered]

History. Enact. Acts 2005, ch. 136, § 5, effective July 20, 2005; repealed, reenacted, and amended 2017, ch. 136, § 16, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 315.458 effective June 29, 2017.

Assistance Program Frauds

194A.500. Definitions for KRS 194A.505.

As used in KRS 194A.505 :

  1. “Assistance program” means any program administered by the cabinet;
  2. “Benefit” means receipt of money, goods, or anything of pecuniary value from an assistance program;
  3. “False statement or misrepresentation” means a statement or representation knowingly made by a person to be false; and
  4. “Provider” means an individual, corporation, association, facility, or institution that is providing or has been approved to provide medical assistance to recipients under the Medical Assistance Program.

History. Enact. Acts 1998, ch. 426, § 23, effective July 15, 1998.

Research References and Practice Aids

Treatises

Kentucky Instructions to Juries (Criminal), 5th Ed., Controlled Substances, Part. 1 Definitions, §§ 9.10C–9.10F.

194A.505. Prohibited activities — Commencement of proceedings for enforcement.

  1. No person shall, with intent to defraud, knowingly make a false statement or misrepresentation or by other means fail to disclose a material fact used in determining the person’s qualification to receive benefits under any assistance program.
  2. No person shall, with intent to defraud, fail to report a change in the factors affecting the person’s eligibility for benefits.
  3. No person shall, with intent to defraud, knowingly use, attempt to use, acquire, transfer, forge, alter, traffic, counterfeit, or possess a medical identification card, food stamp or food stamp identification card, or unique electronic authorization codes or numbers or electronic personal identification numbers in any manner not authorized by law.
  4. No person having responsibility for the administration of an assistance program shall, having knowledge that it is in violation of the law, knowingly aid or abet any person in obtaining benefits to which the person is not legally entitled, or in obtaining a benefit amount greater than that to which the person is fully entitled.
  5. No person shall misappropriate or attempt to misappropriate a food stamp authorization-to-purchase card, food stamp identification card, or Medicaid identification card or misappropriate other benefits from any program with which the person has been assigned responsibility, nor shall the person knowingly fail to report any of these activities when it is clearly in violation of the law.
  6. No person shall, with intent to defraud or deceive, devise a scheme or plan a scheme or artifice to obtain benefits from any assistance program by means of false or fraudulent representations or intentionally engage in conduct that advances the scheme or artifice.
  7. No person shall aid and abet another individual in acts prohibited in subsections (1) to (6) of this section knowing it to be in violation of the law.
  8. The Attorney General on behalf of the Commonwealth of Kentucky may commence proceedings to enforce this section, and the Attorney General shall in undertaking these proceedings exercise all powers and perform all duties that a prosecuting attorney would otherwise perform or exercise.

History. Enact. Acts 1998, ch. 426, § 24, effective July 15, 1998; 2005, ch. 99, § 30, effective June 20, 2005.

194A.510. Defense in prosecution.

In any prosecution for the violation of KRS 194A.505 , it shall be a defense if the person relied on the advice of an employee or agent of the cabinet.

History. Enact. Acts 1998, ch. 426, § 25, effective July 15, 1998.

194A.515. Access to criminal records by cabinet’s agents.

For the purpose of enforcing the provisions of KRS 194A.505 and KRS 205.8451 to 205.8483 and of investigating any assistance program administered by the cabinet, the designated agents of the cabinet shall have the same access as peace officers to records maintained under KRS 17.150 .

History. Enact. Acts 1998, ch. 426, § 26, effective July 15, 1998.

Domestic Violence Training Programs

194A.540. Cabinet’s manner of addressing child abuse, child neglect, domestic violence, rape, and sexual assault — Coordination, consultation, recommendations, and training.

The cabinet shall address child abuse, child neglect, domestic violence, rape, and sexual assault in a manner that includes but is not limited to:

  1. Providing coordinative functions so that no services funded or provided by state government agencies are duplicative to ensure the greatest efficiency in the use of resources and funding, and to ensure that a consistent philosophy underlies all efforts undertaken by the administration in initiatives related to child abuse, child neglect, domestic violence, and rape or sexual assault;
  2. Providing training and consultation to programs provided or funded by the state which provide services to victims of child abuse, child neglect, domestic violence, rape or sexual assault, and other crimes;
  3. Working in conjunction with staff from the Justice and Public Safety Cabinet and other staff within the Cabinet for Health and Family Services, and with input from direct service providers throughout Kentucky, to develop standards of care for victim and offender services provided or funded by the state;
  4. Designing and implementing research programs which attend to the quality of victim-related services;
  5. Providing consultation on the development of budgets for the rape crisis, child abuse, child neglect, and domestic violence programs funded by the state;
  6. Providing recommendations to the Governor and to the secretaries of the Justice and Public Safety Cabinet and the Cabinet for Health and Family Services, related to the improvement and expansion of victim services provided or funded by those agencies;
  7. Undertaking new and progressive initiatives to improve and enhance the delivery of services to victims of child abuse, child neglect, domestic violence, and rape or sexual assault;
  8. Establishing that the commissioner of the Department for Community Based Services may, at the request of the Governor or any secretary, serve as a designee on boards, commissions, task forces, or other committees addressing child abuse, domestic violence, and rape or sexual assault;
  9. Establishing that the secretary for health and family services shall, in consultation with the applicable licensure boards, develop elder abuse, neglect, and exploitation-related and domestic violence-related training courses that are appropriate for the following professions:
    1. Mental health professionals licensed or certified under KRS Chapters 309, 319, and 335;
    2. Alcohol and drug counselors licensed or certified under KRS Chapter 309, and alcohol and drug peer support specialists registered under KRS Chapter 309;
    3. Physicians who practice primary care, as defined in KRS 164.925 , or who meet the definition of a psychiatrist under KRS 202A.011 , and who are licensed under KRS Chapter 311;
    4. Nurses licensed under KRS Chapter 314;
    5. Paramedics certified under KRS Chapter 311;
    6. Emergency medical technicians certified under KRS Chapter 211; and
    7. Coroners as defined in KRS 72.405 and medical examiners as defined in KRS 72.240 ;
  10. Establishing that the courses identified in subsection (9) of this section shall include the dynamics of domestic violence and elder abuse, neglect, and exploitation; effects of domestic violence and elder abuse, neglect, and exploitation on adult and child victims; legal remedies for protection; lethality and risk issues; model protocols for addressing domestic violence and elder abuse, neglect, and exploitation; available community resources and victim services; and reporting requirements. The training shall be developed in consultation with legal, victim services, victim advocacy, and mental health professionals with an expertise in domestic violence and elder abuse, neglect, and exploitation; and
  11. Establishing that any health-care or mental health professional identified in subsection (9) of this section shall successfully complete a three (3) hour training course that meets the requirements of subsection (10) of this section. Health care or mental health professionals identified in subsection (9) of this section who are granted licensure or certification after July 15, 1996, shall successfully complete the training within three (3) years of the date of initial licensure or certification.

HISTORY: Enact. Acts 1998, ch. 426, § 27, effective July 15, 1998; 2000, ch. 317, § 1, effective July 14, 2000; 2005, ch. 99, § 160, effective June 20, 2005; 2005, ch. 132, § 17, effective June 20, 2005; 2012, ch. 158, § 19, effective July 12, 2012; 2015 ch. 29, § 17, effective June 24, 2015.

194A.545. Training and continuing education courses for staff of Department for Community Based Services.

  1. The secretary for health and family services shall develop an initial training course and continuing education courses for employees of the Department for Community Based Services concerning the dynamics of domestic violence and elder abuse, neglect, and exploitation; effects of domestic violence and elder abuse, neglect, and exploitation on adult and child victims; legal remedies for protection; lethality and risk issues; model protocols for addressing domestic violence; available community resources and victim services; and reporting requirements. The training shall be developed in consultation with legal, victim services, victim advocacy, and mental health professionals with an expertise in domestic violence.
  2. Each person employed by the Department for Community Based Services who provides supervisory or direct service at the local, district, or state level shall successfully complete the initial training course and, at least once every two (2) years, the continuing education course developed under subsection (1) of this section.
  3. The secretary is encouraged to include an educational component covering the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 , as part of the initial training and continuing education for Department for Community Based Services front-line child protection staff.

History. Repealed, reenact and amend., Acts 2005, ch. 99, § 35, effective July 20, 2005; 2005, ch. 132, § 18, effective July 20, 2005; 2010, ch. 171, § 4, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 194B.530 .

194A.550. Training requirements for staff of agencies providing shelter services for victims.

  1. The secretary for health and family services shall promulgate administrative regulations under KRS Chapter 13A setting forth the requirements for initial training courses and continuing education courses for staff of agencies providing protective shelter services for victims of domestic violence. The components of the training shall include the dynamics of domestic violence, effects of domestic violence on adult and child victims, legal remedies for protection, lethality and risk issues, model protocols for addressing domestic violence, available community resources and victims services, and reporting requirements. The training shall be developed in consultation with legal, victim services, victim advocacy, and mental health professionals with an expertise in domestic violence.
  2. Each agency providing protective shelter services for victims of domestic violence shall develop and provide initial training courses and, at least once every two (2) years, continuing education courses which comply with the requirements developed pursuant to subsection (1) of this section, for staff of the agency.

History. Repealed, reenact. and amend., Acts 2005, ch. 99, § 36, effective June 20, 2005.

Compiler’s Notes.

This section was formerly compiled as KRS 194B.535 .

Social Worker Safety

194A.560. Sections and amendments to be known as “Boni Frederick Bill.”

In honor of Boni Frederick who lost her life in the performance of her official duties, KRS 194A.560 , 194A.562 , 194A.564 , 194A.566 , and 605.170 , and the amendments made to KRS 194A.065 in 2007 Ky. Acts ch. 140, shall be known as the “Boni Frederick Bill.”

History. Enact. Acts 2007, ch. 140, § 1, effective April 5, 2007.

194A.562. Risk assessments on local offices of Division of Service Regions — Remediation where staff safety inadequate.

The cabinet shall conduct risk assessments on all local offices of the Division of Service Regions of the Department for Community Based Services and remediate the office environments that do not provide adequate safety and protection for cabinet staff to the extent possible with consideration of office space lease arrangements and availability of funding for office renovations.

History. Enact. Acts 2007, ch. 140, § 4, effective April 5, 2007.

194A.564. Study group to make recommendations on personnel classifications for state agency social workers — Safety training — Report.

The cabinet secretary shall designate a study group composed of personnel within the Department for Community Based Services’ field services staff and any other persons deemed necessary to make recommendations regarding personnel classifications for state agency social workers. The study group shall include in its deliberations, but is not limited to, special personnel designations that would permit or require specialized personal safety training and other requirements that reflect the sometimes dangerous nature of official job duties of state agency social workers. The study group shall report its recommendations by November 15, 2007, to the Governor and the Interim Joint Committees on Appropriations and Revenue and Health and Welfare.

History. Enact. Acts 2007, ch. 140, § 5, effective April 5, 2007.

194A.566. Risk or safety assessment upon request of front-line staff — Accompaniment by local law enforcement officer.

Front-line staff may request a risk or safety assessment prior to an investigation or delivery of services in a community setting. The direct supervisor of the requesting front-line staff and the safety liaison officer if a safety liaison officer position is designated for the county shall conduct the safety or risk assessment. If the situation warrants the accompaniment of front-line staff by a local law enforcement officer, the supervisor shall make the request to the local law enforcement agency.

History. Enact. Acts 2007, ch. 140, § 6, effective April 5, 2007.

Community Volunteerism and Service

194A.570. Serve Kentucky.

Serve Kentucky is created and shall be attached to the Cabinet for Health and Family Services for oversight, technical, and administrative support purposes. A director and other appropriate staff shall be hired by Serve Kentucky when federal funds become available.

HISTORY: Repealed, reenact, and amend, Acts 2005, ch. 99, § 37, effective June 20, 2005; 2018 ch. 114, § 4, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 156.760 and KRS 194B.570 .

194A.572. Serve Kentucky membership — Term limits.

Serve Kentucky shall initially consist of twenty-five (25) voting members who shall be appointed by the Governor. Membership on Serve Kentucky shall be for a three (3) year term, with the exception that initially one third (1/3) of the members shall serve for a term of one (1) year, one-third (1/3) of the members shall serve for a term of two (2) years, and one-third (1/3) of the members shall serve for a term of three (3) years. After the first six (6) months of operations, the Governor reserves the option to request Serve Kentucky to submit recommendations for any additional members deemed necessary to balance Serve Kentucky’s perspective, provided that Serve Kentucky’s membership does not exceed twenty-five (25). Serve Kentucky shall annually select from its membership a chair to serve for a term of one (1) year.

HISTORY: Enact Acts 1996, ch. 310, § 2, effective July 15, 1996; repealed and reenacted Acts 2000, ch. 203, § 2, effective July 14, 2000; repealed, reenact. and amend., Acts 2005, ch. 99, § 38, effective June 20, 2005; 2018 ch. 114, § 5, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 156.762 and KRS 194B.572 .

194A.575. Purpose of Serve Kentucky.

The purpose of Serve Kentucky is to engage in statewide strategic planning, establish relevant policies, provide administrative oversight, and promote programs and strengthen the service ethic among the Commonwealth’s citizens by facilitating the development of strategic programs that enable citizens to address serious societal problems including, but not limited to, education reform through service to local communities.

HISTORY: Enact. Acts 1996, ch. 310, § 3, effective July 15, 1996; repealed and reenact., Acts 2000, ch. 203, § 3, effective July 14, 2000; repealed, reenact. and amend., Acts 2005, ch. 99, § 39, effective June 20, 2005; 2018 ch. 114, § 6, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 156.764 and KRS 194B.575 .

194A.578. Duties of Serve Kentucky — Authority for administrative regulations.

Serve Kentucky shall:

  1. Develop a strategic plan for service in Kentucky which covers a three (3) year period, and supporting efforts to achieve the goals of this plan. The plan shall be updated annually;
  2. Oversee and submit Kentucky’s annual applications to the Corporation for National Service, the federal funding authority, and other funding sources for the continuation and any expansion of the current Kentucky Serve initiative;
  3. Conduct a competitive application process to determine the organizations that will be awarded subgrants to operate national service programs;
  4. Fulfill any other responsibilities required by the Corporation for National Service and other funding sources; and
  5. Promulgate administrative regulations pursuant to KRS Chapter 13A to establish operational guidelines for Serve Kentucky.

HISTORY: Enact. Acts 1996, ch. 310, § 4, effective July 15, 1996; repealed and reenact., Acts 2000, ch. 203, § 4, effective July 14, 2000; repealed, reenact. and amend., Acts 2005, ch. 99, § 40, effective June 20, 2005; 2018 ch. 114, § 7, effective July 14, 2018.

Compiler’s Notes.

This section was formerly compiled as KRS 156.766 and KRS 194B.578 .

Alzheimer’s Disease and Related Disorders

194A.600. Definitions for KRS 194A.600 to 194A.609.

As used in KRS 194A.600 to 194A.609 :

  1. “Council” means the Alzheimer’s Disease and Related Disorders Advisory Council;
  2. “Dementia” means Alzheimer’s disease and related dementia illnesses and disorders; and
  3. “Office” means the Office on Alzheimer’s Disease and Related Disorders.

History. Enact. Acts 2000, ch. 6, § 3, effective July 14, 2000.

194A.600. Definitions for KRS 194A.600 to 194A.609.

As used in KRS 194A.600 to 194A.609 :

  1. “Council” means the Alzheimer’s Disease and Related Disorders Advisory Council;
  2. “Dementia” means Alzheimer’s disease and related dementia illnesses and disorders; and
  3. “Office” means the Office of Dementia Services.

HISTORY: Enact. Acts 2000, ch. 6, § 3, effective July 14, 2000; 2021 ch. 52, § 1.

194A.601. Office on Alzheimer’s Disease and Related Disorders — Purpose, director, and duties.

  1. The Office on Alzheimer’s Disease and Related Disorders is established within the cabinet. The purpose of the office is to oversee information and resources related to policy and services affecting the sixty thousand (60,000) residents of Kentucky with dementia, and the caregivers and families of the residents.
  2. The director of the office shall be a full-time, permanent employee and shall be responsible for the staffing and operational details of the office. A report on the start-up and implementation of the office shall be made to the Interim Joint Committee on Health and Welfare by September 30, 2000, and on a quarterly basis thereafter.
  3. The office shall:
    1. Enhance the quality of life for persons affected by dementia and for their caregivers;
    2. Recommend the delivery of services in the most effective and efficient manner possible to facilitate the needs of people with dementia and their caregivers, after consultation with other agencies of state government that work with dementia-related illness;
    3. Determine ways the Commonwealth may secure additional federal and private funding to provide additional services and programs through a coordinated effort;
    4. Apply for any public or private funding relating to dementia that will enhance the office’s abilities to perform its duties under this section;
    5. Promote public and professional awareness and education of dementia and access to needed services and programs;
    6. Oversee and receive reports from the Alzheimer’s Disease and Related Disorders Advisory Council; and
    7. Coordinate and oversee the implementation of the recommendations of the 1995 Governor’s Task Force on Alzheimer’s Disease and Related Disorders.

History. Enact. Acts 2000, ch. 6, § 4, effective July 14, 2000.

194A.601. Office on Alzheimer’s Disease and Related Disorders — Purpose, director, and duties.

  1. The Office of Dementia Services is established within the cabinet. The purpose of the office is to oversee information and resources related to policy and services affecting residents of Kentucky with dementia, and the caregivers and families of the residents.
  2. The dementia services coordinator shall be a full-time, permanent employee and shall be responsible for the staffing and operational details of the office. A report on the operations of the office shall be made to the secretary within ninety (90) days of the effective date of this Act. An annual report on the operation of the office shall be made to the Interim Joint Committee on Health, Welfare, and Family Services by December 1 of each year.
  3. The duties of the office shall include but not be limited to:
    1. Creating, implementing, and updating the Kentucky Alzheimer’s and Related Dementias State Plan;
    2. Coordinating and managing the Alzheimer’s Disease and Related DisordersAdvisory Council;
    3. Assessing and analyzing dementia-specific data collected by the cabinet, including the behavioral risk factor surveillance system, and data from other relevant departments and divisions;
    4. Evaluating of state-funded dementia services;
    5. Identifying and supporting the development of dementia-specific trainings;
    6. Streamlining all applicable state government services to increase efficiency and improve the quality of care in residential and home and community-based settings;
    7. Identifying any duplicative services to eliminate all unnecessary costs;
    8. Identifying and applying for grant opportunities to expand the scope of services while reducing state costs; and
    9. Completing other duties relevant to supporting policy development and implementation to support individuals with dementia and their family caregivers.

HISTORY: Enact. Acts 2000, ch. 6, § 4, effective July 14, 2000; 2021 ch. 52, § 2.

194A.603. Alzheimer’s Disease and Related Disorders Advisory Council — Membership, duties, and personnel.

  1. The Alzheimer’s Disease and Related Disorders Advisory Council is created. The council shall report directly to the office.
  2. The council shall be composed of a minimum of fifteen (15) members appointed by the Governor. Three (3) members shall represent agencies of state government dealing with dementia, three (3) shall represent local health departments, one (1) shall represent the University of Kentucky Alzheimer’s Disease Research Center at the Sanders-Brown Center on Aging, at least one (1) shall be appointed from each of the chapters of the Alzheimer’s Disease and Related Disease Association that serve the Commonwealth, and the remainder shall represent consumers, health-care providers, and the medical research community. Members who are not state employees shall be reimbursed for necessary and actual expenses. The council shall meet quarterly. A majority of the members shall constitute a quorum for the transaction of the council’s business.
  3. The council shall:
    1. Elect its own chairperson and establish other officers and subcommittees as needed to execute the duties of the council;
    2. Adopt bylaws and operate under its bylaws;
    3. Select the director of the office;
    4. Establish and evaluate goals and outcomes for the office that may facilitate treatment and care of persons with dementia;
    5. Assist with the dissemination of information about the availability of program materials, education materials, and curriculum guides; and
    6. Prepare a report of its activities, at least annually, for submission to the office.
  4. The office shall provide requested personnel to assist the council in fulfilling its responsibilities.

History. Enact. Acts 2000, ch. 6, § 5, effective July 14, 2000.

194A.603. Alzheimer’s Disease and Related Disorders Advisory Council — Membership, duties, and personnel.

  1. The Alzheimer’s Disease and Related Disorders Advisory Council is created. The council shall report directly to the office.
  2. The council shall be composed of the following fifteen (15) members:
    1. The secretary of the Cabinet for Health and Family Services or his or her designee;
    2. The commissioner of the Department for Aging and Independent Living or his or her designee;
    3. The commissioner of the Department for Public Health or his or her designee;
    4. The commissioner of the Department for Medicaid Services or his or her designee;
    5. The state long-term care ombudsman or his or her designee;
    6. The executive director of the Area Agencies on Aging or his or her designee;
    7. One (1) individual who is the family caregiver of an individual living with Alzheimer’s disease or another dementia, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    8. One (1) individual who represents the residential long-term care industry, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    9. One (1) individual who represents providers of adult day care services,appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    10. One (1) individual who represents the home care providers, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    11. One (1) individual employed by and representing an organization that advocates solely on behalf of physicians, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    12. One (1) individual employed by and representing an organization that advocates solely on behalf of nurses, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    13. One (1) individual who conducts research regarding Alzheimer’s disease or other dementias, appointed by the Governor from a list of names of qualified persons submitted by any interested parties;
    14. One (1) individual who represents an organization that advocates solely on behalf of individuals living with Alzheimer’s disease or other dementias, appointed by the Governor from a list of names of qualified persons submitted by any interested parties; and
    15. One (1) individual representing a statewide organization that advocates on behalf of Kentuckians aged fifty (50) or older, appointed by the Governor from a list of names of qualified persons submitted by any interested parties.
  3. Members who are not state employees shall be reimbursed for necessary and actual expenses.
  4. The council shall meet at least quarterly and at other such times as it determines necessary to perform its duties. A majority of the members shall constitute a quorum for the transaction of the council’s business.
  5. The council shall:
    1. Elect its own chairperson and establish other officers and subcommittees as needed to execute the duties of the council;
    2. Adopt bylaws and operate under its bylaws;
    3. Starting on July 1, 2021, and repeating every four (4) years after that date, submit an updated Kentucky Alzheimer’s and Related Dementias State Plan to the Governor for his or her approval and thereafter make it available to the General Assembly. If the council determines that amendments need to be made to the state plan, an amended Kentucky Alzheimer’s and Related Dementia State Plan may be presented to the Governor for review and approval;
    4. Starting on July 1, 2021, and repeating every year after that date, submit an annual report on the implementation progress of the Kentucky Alzheimer’s and Related Dementias State Plan to the Governor. This annual report shall include a summary of the progress toward implementation of the state plan and recommendations for amendments to the state plan; and
    5. Serve in an advisory capacity to the Governor, the General Assembly, the cabinet and all other state agencies on matters relating to the Kentucky Alzheimer’s and Related Dementias State Plan. The council shall review and make recommendations regarding progress towards the goals of the state plan and on progress in implementing resources and services to serve individuals with dementia and related diseases across Kentucky in the future.
  6. Members shall serve for a term of two (2) years and may be reappointed. All subsequent appointments or reappointments shall be for terms of two (2) years. If an appointee resigns or is otherwise unable to complete the appointed term, the Governor shall appoint a new individual whose expertise or experience satisfies the vacated position within ninety (90) days.

HISTORY: Enact. Acts 2000, ch. 6, § 5, effective July 14, 2000; 2021 ch. 52, § 3.

194A.609. Promulgation of administrative regulations to implement KRS 194A.600 to 194A.609.

The cabinet shall promulgate administrative regulations under KRS Chapter 13A sufficient to implement KRS 194A.600 to 194A.609 .

History. Enact. Acts 2000, ch. 6, § 6, effective July 14, 2000.

Autism Spectrum Disorder

194A.620. Legislative findings — Purpose — Definition. [Repealed]

HISTORY: Enact. Acts 2005, ch. 138, § 1, effective July 20, 2005; repealed by 2016 ch. 18, § 4, effective July 15, 2016.

194A.622. Kentucky Commission on Autism Spectrum Disorders — Membership — Administrative support — Meetings — Comprehensive state plan on training, treatments, and services — Advisory and monitoring functions. [Repealed]

HISTORY: Enact. Acts 2005, ch. 138, § 2, effective July 20, 2005; 2007, ch. 24, § 6, effective June 26, 2007; 2010, ch. 24, § 242, effective July 15, 2010; 2012, ch. 146, § 24, effective July 12, 2012; 2012, ch. 158, § 20, effective July 12, 2012; repealed by 2016 ch. 18, § 4, effective July 15, 2016.

194A.623. Office of Autism.

  1. The Office of Autism is hereby created within the Cabinet for Health and Family Services.
  2. The Office of Autism may be housed at the University of Louisville and the University of Kentucky, by agreement of the parties.

HISTORY: 2016 ch. 18, § 2, effective July 15, 2016.

194A.624. Advisory Council on Autism Spectrum Disorders.

  1. The Advisory Council on Autism Spectrum Disorders is hereby created and shall be attached to the Office of Autism within the Cabinet for Health and Family Services for administrative purposes.
  2. The Advisory Council on Autism Spectrum Disorders shall consist of the following members appointed by the Governor:
    1. One (1) representative from the Department for Public Health;
    2. One (1) representative from the Department for Medicaid Services;
    3. One (1) representative from the Department for Community Based Services;
    4. One (1) representative from the Department of Public Advocacy;
    5. One (1) representative from the Department of Education;
    6. One (1) representative from the Department of Juvenile Justice;
    7. One (1) representative from the Department for Behavioral Health, Developmental and Intellectual Disabilities;
    8. One (1) representative from the Office for Children with Special Health Care Needs;
    9. One (1) parent or youth representative from the Commonwealth Council on Developmental Disabilities;
    10. One (1) representative from the Kentucky Autism Training Center;
    11. One (1) representative from the Office of Vocational Rehabilitation;
    12. One (1) representative from the University of Louisville;
    13. One (1) representative from the University of Kentucky Human Development Institute;
    14. One (1) representative from the University of Kentucky;
    15. One (1) representative from the Center for Autism Spectrum Evaluation, Service, and Research;
    16. One (1) representative from the Education Professional Standards Board;
    17. One (1) pediatrician representative;
    18. One (1) representative from the Weisskopf Child Evaluation Center;
    19. One (1) representative from the First Steps Program;
    20. One (1) representative from the Arc of Kentucky;
    21. The director of the Office of Autism;
    22. At least one (1) consumer representative, an adult with a diagnosis on the autism spectrum; and
    23. Five (5) citizen-at-large members.
  3. The co-chairs of the Advisory Council on Autism Spectrum Disorders shall be the representatives appointed by the Governor from the University of Kentucky and the University of Louisville.
  4. The Advisory Council on Autism Spectrum Disorders may invite individuals who are not members to serve on committees and workgroups.
  5. Appointed members of the Advisory Council on Autism Spectrum Disorders shall serve without compensation, but shall be reimbursed for actual expenses incurred in the performance of duties in accordance with KRS 45.101 and administrative regulations promulgated thereunder. Members of the council shall initially be appointed to serve staggered terms and thereafter shall be appointed to serve a term of four (4) years.
  6. The Cabinet for Health and Family Services, the Personnel Cabinet, the Finance and Administration Cabinet, and the Office of the State Budget Director shall take all necessary actions to effectuate this section.
  7. The Advisory Council on Autism Spectrum Disorders shall be responsible for:
    1. Promoting the vision for Kentucky’s services and supports to persons on the autism spectrum and their families and advocating for improved quality and evidence-based practices for persons on the autism spectrum and their families;
    2. Promoting the early screening, identification, early intervention, and appropriate use of evidence-based practices and standards of care for persons on the autism spectrum across the lifespan;
    3. Strengthening state, regional, and local level collaboration and coordination with families, self-advocates, support groups, and state agencies to further coordinate, develop, and enhance the service delivery system for persons on the autism spectrum across the lifespan;
    4. Gathering and analyzing research and data to assess the quality and availability of programs and services for persons on the autism spectrum and providing recommendations on assessments, interventions, and treatment modalities across the lifespan;
    5. Developing recommendations for:
      1. Increasing participation in existing federal, state, and local programs that serve children, youth, and adults on the autism spectrum;
      2. Enhancing the current professional development and planning for future workforce development to incorporate research and evidence-based practices;
      3. Establishing standards of care and undertaking efforts to ensure promotion of these standards statewide; and
      4. Promoting the development of services and supports to transition youth and adults on the autism spectrum;
    6. Assessing the capacity and effectiveness of institutes of higher education in the state toward supporting the development of the workforce for persons on the autism spectrum;
    7. Requesting and utilizing federal, state, and private funds, including funds from philanthropic sources;
    8. Improving procedures for ensuring accountability and measuring success of programs that receive state, federal, and philanthropic funds;
    9. Obtaining reports and issuing progress updates on state and federally funded services that impact the quality of Kentucky’s system of care for persons on the autism spectrum;
    10. Completing a biennial report with the Office of Autism and submitting it to the Commonwealth Council on Developmental Disabilities, the Governor, and the Legislative Research Commission. The first report shall be due on or before September 30, 2017, and subsequent reports shall be due each September 30 in odd-numbered years thereafter; and
    11. Other duties and responsibilities as designated by the Governor.

HISTORY: 2016 ch. 18, § 1, effective July 15, 2016; 2017 ch. 167, § 13, effective June 29, 2017.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Office for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

Assisted-Living Communities

194A.700. Definitions for KRS 194A.700 to 194A.729.

As used in KRS 194A.700 to 194A.729 :

  1. “Activities of daily living” means normal daily activities, including bathing, dressing, grooming, transferring, toileting, and eating;
  2. “Assistance with activities of daily living and instrumental activities of daily living” means any assistance provided by the assisted-living community staff with the client having at least minimal ability to verbally direct or physically participate in the activity with which assistance is being provided;
  3. “Assistance with self-administration of medication,” unless subject to more restrictive provisions in an assisted-living community’s policies that are communicated in writing to clients and prospective clients, means:
    1. Assistance with medication that is prepared or directed by the client, the client’s designated representative, or a licensed health care professional who is not the owner, manager, or employee of the assisted-living community. The medication shall:
      1. Except for ointments, be preset in a medication organizer or be in a single dose unit;
      2. Include the client’s name on the medication organizer or container in which the single dose unit is stored; and
      3. Be stored in a manner requested in writing by the client or the client’s designated representative and permitted by the assisted-living community’s policies;
    2. Assistance by an assisted-living community staff person, which includes:
      1. Reminding a client when to take medications and observing to ensure that the client takes the medication as directed;
      2. Handing the client’s medication to the client, or if it is difficult for the client or the client requests assistance, opening the unit dose or medication organizer, removing the medication from a medication organizer or unit dose container, closing the medication organizer for the client, placing the dose in a container, and placing the medication or the container in the clients hand;
      3. Steadying or guiding a client’s hand while the client is self-administering medications; or
      4. Applying over-the-counter topical ointments and lotions;
    3. Making available the means of communication by telephone, facsimile, or other electronic device with a licensed health care professional and pharmacy regarding a prescription for medication;
    4. At the request of the client or the client’s designated representative, facilitating the filling of a preset medication container by a designated representative or licensed health care professional who is not the owner, manager, or employee of the assisted living community; and
    5. None of the following:
      1. Instilling eye, ear, or nasal drops;
      2. Mixing compounding, converting, or calculating medication doses;
      3. Preparing syringes for injection or administering medications by any injection method;
      4. Administrating medications through intermittent positive pressure breathing machines or a nebulizer;
      5. Administrating medications by way of a tube inserted in a cavity of the body;
      6. Administrating parenteral preparations;
      7. Administrating irrigations or debriding agents used in the treatment of a skin condition; or
      8. Administrating rectal, urethral, or vaginal preparations;
  4. “Assisted-living community” means a series of living units on the same site certified under KRS 194A.707 to provide services for five (5) or more adult persons not related within the third degree of consanguinity to the owner or manager;
  5. “Client,” “resident,” or “tenant” means an adult person who has entered into a lease agreement with an assisted-living community;
  6. “Danger” means physical harm or threat of physical harm to one’s self or others;
  7. “Department” means the Department for Aging and Independent Living;
  8. “Health services” has the same meaning as in KRS 216B.015 ;
  9. “Instrumental activities of daily living” means activities to support independent living including but not limited to housekeeping, shopping, laundry, chores, transportation, and clerical assistance;
  10. “Living unit” means a portion of an assisted-living community occupied as the living quarters of a client under a lease agreement;
  11. “Mobile nonambulatory” means unable to walk without assistance, but able to move from place to place with the use of a device including but not limited to a walker, crutches, or wheelchair;
  12. “Plan of correction” means a written response from the assisted-living community addressing an instance cited in the statement of noncompliance;
  13. “Statement of danger” means a written statement issued by the department detailing an instance where a client is a danger; and
  14. “Statement of noncompliance” means a written statement issued by the department detailing an instance when the department considers the assisted-living community to have been in violation of a statutory or regulatory requirement.

History. Enact. Acts 2000, ch. 141, § 1, effective July 14, 2000; 2005, ch. 99, § 161, effective June 20, 2005; 2007, ch. 24, § 7, effective June 26, 2007; 2010, ch. 36, § 1, effective July 15, 2010.

Research References and Practice Aids

Treatises

UK/CLE Kentucky Health Law § 15.18.

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.703. Requirements for living units.

  1. Each living unit in an assisted-living community shall:
    1. Be at least two hundred (200) square feet for single occupancy, or for double occupancy if the room is shared with a spouse or another individual by mutual agreement;
    2. Include at least one (1) unfurnished room with a lockable door, private bathroom with a tub or shower, provisions for emergency response, window to the outdoors, and a telephone jack;
    3. Have an individual thermostat control if the assisted-living community has more than twenty (20) units; and
    4. Have temperatures that are not under a client’s direct control at a minimum of seventy-one (71) degrees Fahrenheit in winter conditions and a maximum of eighty-one (81) degrees Fahrenheit in summer conditions if the assisted-living community has twenty (20) or fewer units.
  2. Each client shall be provided access to central dining, a laundry facility, and a central living room.
  3. Each assisted-living community shall comply with applicable building and life safety codes as determined by the building code or life safety code enforcement authority with jurisdiction.

History. Enact. Acts 2000, ch. 141, § 2, effective July 14, 2000; 2010, ch. 36, § 2, effective July 15, 2010.

Research References and Practice Aids

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.705. Services to be provided to assisted-living community clients.

  1. The assisted-living community shall provide each client with access to the following services according to the lease agreement:
    1. Assistance with activities of daily living and instrumental activities of daily living;
    2. Three (3) meals and snacks made available each day;
    3. Scheduled daily social activities that address the general preferences of clients; and
    4. Assistance with self-administration of medication.
  2. Clients of an assisted-living community may arrange for additional services under direct contract or arrangement with an outside agent, professional, provider, or other individual designated by the client if permitted by the policies of the assisted-living community.
  3. Upon entering into a lease agreement, an assisted-living community shall inform the client in writing about policies relating to the contracting or arranging for additional services.
  4. A client issued a move-out notice shall receive the notice in writing and the assisted-living community shall assist each client upon a move-out notice to find appropriate living arrangements. Each assisted-living community shall share information provided from the department regarding options for alternative living arrangements at the time a move-out notice is given to the client.
  5. An assisted-living community shall complete and provide to the client:
    1. Upon move-in, a copy of a functional needs assessment pertaining to the client’s ability to perform activities of daily living and instrumental activities of daily living; and
    2. After move-in, a copy of an updated functional needs assessment pertaining to the client’s ability to perform activities of daily living and instrumental activities of daily living.

History. Enact. Acts 2000, ch. 141, § 3, effective July 14, 2000; 2005, ch. 99, § 162, effective June 20, 2005; 2007, ch. 24, § 8, effective June 26, 2007; 2010, ch. 36, § 3, effective July 15, 2010.

Research References and Practice Aids

Treatises

UK/CLE Kentucky Health Law § 15.18.

194A.707. Certification — Administrative regulations — Accreditation by other organizations — Fees — Compliance.

  1. The Cabinet for Health and Family Services shall establish by the promulgation of administrative regulation under KRS Chapter 13A, an initial and annual certification review process for assisted-living communities. This administrative regulation shall establish procedures related to applying for, reviewing, and approving, denying, or revoking certification, as well as the conduct of hearings upon appeals as governed by KRS Chapter 13B.
  2. An on-site visit of an assisted-living community shall be conducted by the cabinet:
    1. As part of the initial certification review process;
    2. On a biennial basis as part of the certification review process if during or since the previous certification review an assisted-living community has not received:
      1. Any statement of danger, unless withdrawn by the cabinet; or
      2. A finding substantiated by the cabinet that the assisted-living community delivered a health service; and
    3. Within one (1) year of the date of the previous certification review if during or since the last certification review an assisted-living community has received:
      1. Any statement of danger that was not withdrawn by the cabinet; or
      2. A finding substantiated by the cabinet that the assisted-living community delivered a health service.
  3. No business shall market its service as an assisted-living community unless it has:
    1. Filed a current application for the business to be certified by the department as an assisted-living community; or
    2. Received certification by the department as an assisted-living community.
  4. No business that has been denied or had its certification revoked shall operate or market its service as an assisted-living community unless it has:
    1. Filed a current application for the business to be certified by the department as an assisted-living community; and
    2. Received certification as an assisted-living community from the department. Revocation of certification may be grounds for the department to not reissue certification for one (1) year if ownership remains substantially the same.
  5. No business shall operate as an assisted-living community unless its owner or manager has:
    1. Filed a current application for the business to be certified as an assisted-living community by the department; and
    2. Received certification as an assisted-living community from the department.
  6. By September 1 of each year, each assisted-living community certified pursuant to this chapter may provide residents with educational information or education opportunities on influenza disease.
  7. The department shall determine the feasibility of recognizing accreditation by other organizations in lieu of certification from the department.
  8. Individuals designated by the department to conduct certification reviews shall have the skills, training, experience, and ongoing education to perform certification reviews.
  9. The cabinet may promulgate administrative regulations to establish an assisted-living community certification fee that shall not exceed costs of the program to the cabinet, to be assessed upon receipt of an application for certification. The department shall submit a breakdown of fees assessed and costs incurred for conducting certification reviews upon request.
  10. The department shall make findings from certification reviews conducted during the prior twelve (12) months available to any interested person.
  11. Notwithstanding any provision of law to the contrary, the department may request any additional information from an assisted-living community or conduct additional on-site visits to ensure compliance with the provisions of KRS 194A.700 to 194A.729 .
  12. Failure to follow an assisted-living community’s policies, practices, and procedures shall not result in a finding of noncompliance unless the assisted-living community is out of compliance with a related requirement under KRS 194A.700 to 194A.729 .

History. Enact. Acts 2000, ch. 141, § 4, effective July 14, 2000; 2005, ch. 99, § 163, effective June 20, 2005; 2007, ch. 24, § 9, effective June 26, 2007; 2010, ch. 36, § 4, effective July 15, 2010; 2016 ch. 103, § 20, effective July 15, 2016; 2017 ch. 80, § 30, effective June 29, 2017; 2018 ch. 136, § 2, effective July 1, 2019.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.709. Delivery of health services by staff — Abuse, neglect, and exploitation of clients, policies and reporting.

  1. The department shall report to the Division of Health Care any alleged or actual cases of health services being delivered by the staff of an assisted-living community.
  2. An assisted-living community shall have written policies on reporting and recordkeeping of alleged or actual cases of abuse, neglect, or exploitation of an adult under KRS 209.030 . The only requisite components of a recordkeeping policy are the date and time of the report, the reporting method, and a brief summary of the alleged incident.
  3. Any assisted-living community staff member who has reasonable cause to suspect that a client has suffered abuse, neglect, or exploitation shall report the abuse, neglect, or exploitation under KRS 209.030 .

History. Enact. Acts 2000, ch. 141, § 5, effective July 14, 2000; 2001, ch. 81, § 1, effective June 21, 2001; 2005, ch. 99, § 164, effective June 20, 2005; 2007, ch. 24, § 10, effective June 26, 2007; 2010, ch. 36, § 5, effective July 15, 2010; 2012, ch. 158, § 21, effective July 12, 2012.

Research References and Practice Aids

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.711. Criteria to be met by clients.

A client shall meet the following criteria:

  1. Be ambulatory or mobile nonambulatory, unless due to a temporary condition; and
  2. Not be a danger.

History. Enact. Acts 2000, ch. 141, § 6, effective July 14, 2000; 2010, ch. 36, § 6, effective July 15, 2010.

Research References and Practice Aids

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.713. Contents of lease agreement.

A lease agreement, in no smaller type than twelve (12) point font, shall be executed by the client and the assisted-living community and shall include but not be limited to:

  1. Client data, for the purpose of providing service, to include:
    1. Emergency contact person’s name;
    2. Name of responsible party or legal guardian, if applicable;
    3. Attending physician’s name;
    4. Information regarding personal preferences and social factors; and
    5. Advance directive under KRS 311.621 to 311.643 , if desired by the client.
  2. Assisted-living community’s policy regarding termination of the lease agreement;
  3. Terms of occupancy;
  4. General services and fee structure;
  5. Information regarding specific services provided, description of the living unit, and associated fees;
  6. Provisions for modifying client services and fees;
  7. Minimum thirty (30) day notice provision for a change in the community’s fee structure;
  8. Minimum thirty (30) day move-out notice provision for client nonpayment, subject to applicable landlord or tenant laws;
  9. Provisions for assisting any client that has received a move-out notice to find appropriate living arrangements prior to the actual move-out date;
  10. Refund and cancellation policies;
  11. Description of any special programming, staffing, or training if an assisted-living community is marketed as providing special programming, staffing, or training on behalf of clients with particular needs or conditions;
  12. Other community rights, policies, practices, and procedures;
  13. Other client rights and responsibilities, including compliance with KRS 194A.705(2) and (3); and
  14. Grievance policies that minimally address issues related to confidentiality of complaints and the process for resolving grievances between the client and the assisted-living community.

History. Enact. Acts 2000, ch. 141, § 7, effective July 14, 2000; 2010, ch. 36, § 7, effective July 15, 2010.

Research References and Practice Aids

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.715. Duty of assisted-living community to provide copy of KRS 194A.700 to 194A.729 and relevant administrative regulations to interested persons.

An assisted-living community shall provide any interested person with a copy of KRS 194A.700 to 194A.729 and relevant administrative regulations.

History. Enact. Acts 2000, ch. 141, § 8, effective July 14, 2000; 2005, ch. 99, § 165, effective June 20, 2005; 2007, ch. 24, § 11, effective June 26, 2007; 2010, ch. 36, § 8, effective July 15, 2010.

Research References and Practice Aids

Treatises

Eric M. Carlson, Long-Term Care Advocacy § 5.119 (Matthew Bender 2020).

194A.717. Staffing requirements — Prohibition against employing staff member with active communicable disease.

  1. Staffing in an assisted-living community shall be sufficient in number and qualification to meet the twenty-four (24) hour scheduled needs of each client pursuant to the lease agreement and functional needs assessment.
  2. One (1) awake staff member shall be on site at all times.
  3. An assisted-living community shall have a designated manager who is at least twenty-one (21) years of age, has at least a high school diploma or a High School Equivalency Diploma, and has demonstrated management or administrative ability to maintain the daily operations.
  4. No employee who has an active communicable disease reportable to the Department for Public Health shall be permitted to work in an assisted-living community if the employee is a danger to the clients or other employees.

HISTORY: Enact. Acts 2000, ch. 141, § 9, effective July 14, 2000; 2010, ch. 36, § 9, effective July 15, 2010; 2017 ch. 63, § 24, effective June 29, 2017.

194A.719. In-service education for staff and management.

  1. Assisted-living community staff and management shall receive orientation education on the following topics as applicable to the employee’s assigned duties:
    1. Client rights;
    2. Community policies;
    3. Adult first aid;
    4. Cardiopulmonary resuscitation unless the policies of the assisted-living community state that this procedure is not initiated by its staff, and that clients and prospective clients are informed of the policies;
    5. Adult abuse and neglect;
    6. Alzheimer’s disease and other types of dementia;
    7. Emergency procedures;
    8. Aging process;
    9. Assistance with activities of daily living and instrumental activities of daily living;
    10. Particular needs or conditions if the assisted-living community markets itself as providing special programming, staffing, or training on behalf of clients with particular needs or conditions; and
    11. Assistance with self-administration of medication.
  2. Assisted-living community staff and management shall receive annual in-service education applicable to their assigned duties that addresses no fewer than four (4) of the topics listed in subsection (1) of this section.

History. Enact. Acts 2000, ch. 141, § 10, effective July 14, 2000; 2010, ch. 36, § 10, effective July 15, 2010.

194A.721. Exemptions from space and bathing facilities requirements for living units of certain assisted-living communities.

  1. Any assisted-living community that was open or under construction on or before July 14, 2000, shall be exempt from the requirement that each living unit have a bathtub or shower.
  2. Any assisted-living community that was open or under construction on or before July 14, 2000, shall have a minimum of one (1) bathtub or shower for each five (5) clients.
  3. Any assisted-living community that was open or under construction on or before July 14, 2000, shall be exempt from the requirement that each living unit shall be at least two hundred (200) square feet for single occupancy, or for double occupancy if the room is shared with a spouse or another individual by mutual agreement.

History. Enact. Acts 2000, ch. 141, § 11, effective July 14, 2000.

194A.723. Penalties for operating without certification.

Any business that operates or markets its services as an assisted-living community without filing a current application with the department or receiving certification by the department may be fined up to five hundred dollars ($500) per day.

History. Enact. Acts 2000, ch. 141, § 12, effective July 14, 2000; 2005, ch. 99, § 166, effective June 20, 2005; 2007, ch. 24, § 12, effective June 26, 2007; 2010, ch. 36, § 11, effective July 15, 2010.

194A.724. Statements of danger — Penalty for receipt.

An assisted-living community that is issued more than two (2) statements of danger on separate dates within a six (6) month period that are not withdrawn by the department may be fined up to five hundred dollars ($500).

History. Enact. Acts 2010, ch. 36, § 12, effective July 15, 2010.

194A.725. Religious orders exempt from KRS 194A.700 to 194A.729.

Religious orders providing assistance with activities of daily living, instrumental activities of daily living, and self-administration of medication to vowed members residing in the order’s retirement housing shall not be required to comply with the provisions of KRS 194A.700 to 194A.729 .

History. Enact. Acts 2000, ch. 141, § 13, effective July 14, 2000.

194A.727. Ineligibility for certification of businesses not in full compliance with KRS 194A.700 to 194A.729.

Any business, not licensed or certified in another capacity, that complies with some provisions of KRS 194A.700 to 194A.729 but does not provide assistance with any activities of daily living or assistance with self-administration of medication shall not be eligible for certification as an assisted-living community under KRS 194A.700 to 194A.729 .

History. Enact. Acts 2000, ch. 141, § 14, effective July 14, 2000.

194A.729. Department to provide information to lending institutions relative to financing for assisted-living community projects — Fee.

If a person or business seeks financing for an assisted-living community project, the department shall provide written correspondence to the lender, upon request, to denote whether the architectural drawings and lease agreement conditionally comply with the provisions of KRS 194A.700 to 194A.729 . The department may promulgate administrative regulations to establish a fee that shall not exceed costs of the program to the cabinet, to be charged for the written correspondence to the lender.

History. Enact. Acts 2000, ch. 141, § 15, effective July 14, 2000; 2005, ch. 99, § 167, effective June 20, 2005; 2007, ch. 24, § 13, effective June 26, 2007; 2018 ch. 136, § 3, effective July 1, 2019.

Homelessness Prevention Pilot Project

194A.735. Homelessness Prevention Project — Goals — Support — Timetables — Participation — Discharge plan — Administrative regulations — Data collection — Reports — Kentucky Interagency Council on Homelessness.

  1. Subject to sufficient funding, the Cabinet for Health and Family Services and the Justice and Public Safety Cabinet, in consultation with any other state agency as appropriate, shall develop and implement the Homelessness Prevention Project, which offers institutional discharge planning on a voluntary basis to:
    1. Persons with serious mental illness, persons between the ages of eighteen (18) and twenty-five (25) who may be at risk of developing serious mental illness who are being released from a mental health facility operated or contracted by the cabinet, or persons with a history of multiple utilizations of health care, mental health care, or judicial systems;
    2. Persons who are being released after serving out a sentence from any state-operated prison or persons who are being paroled from any state-operated prison; or
    3. Persons who will be aging out of foster care or who have aged out of foster care.
  2. The primary goal of the project shall be to prepare a limited number of persons in a foster home under supervision by the Cabinet for Health and Family Services, state-operated prisons under supervision by the Justice and Public Safety Cabinet, and mental health facilities operated or contracted by the Cabinet for Health and Family Services for return or reentry into the community, and to offer information about any necessary linkage of the person to needed community services and supports.
    1. The project shall be jointly supported by each of the cabinets and managed under the direction of the Cabinet for Health and Family Services, Department for Behavioral Health, Developmental and Intellectual Disabilities, Division of Behavioral Health.
    2. Subject to sufficient funding as provided by an executive branch budget bill, the Division of Behavioral Health shall select the Homelessness Prevention Project sites. These sites shall be in addition to and integrated with the site located in and serving Jefferson County and the site located in a community mental health center serving Clinton, Cumberland, McCreary, and Wayne Counties.
    3. Within thirty (30) days of July 15, 2016, the cabinets shall supply the project director at each site with the collection of information on available employment, social, housing, educational, medical, mental health, and other community services in the county. The information shall include but not be limited to the service area of each public and private provider of services, the capacity of each provider to render services to persons served by the project, the fees of each provider, contact names and telephone numbers for each provider, and an emergency contact for each provider.
    4. Within thirty (30) days of July 15, 2016, the cabinets and directors shall begin a program of education for each of the cabinet and foster home and mental health and appropriate state-operated prison facility staff who will participate in the development of a discharge plan for volunteer participants under this section.
  3. The project shall operate on a voluntary basis. Persons eligible for discharge or completing their sentence or who are being paroled from any state-operated prison shall be offered the opportunity to participate in the project. This offer shall be made at least six (6) months prior to discharge. There shall be a cap on the number of persons served in each Homelessness Prevention Project office, to be determined by available funding and staffing requirements.
    1. The staff member designated as the homelessness prevention coordinator for each foster home or mental health facility shall maintain a file for each volunteer participant in the foster home or mental health facility, relating to the participant’s employment, social, housing, educational, medical, and mental health needs. This file shall be updated from time to time as appropriate and pursuant to an administrative regulation promulgated by the cabinet in accordance with KRS Chapter 13A that establishes standards for the discharge summary. The staff member designated as the homelessness prevention coordinator for the appropriate state-operated prison participating in the project shall maintain a file containing appropriate forms completed and updated by each person voluntarily participating in the project, relating to the information provided under subsection (6) of this section. All applicable privacy and confidentiality laws shall be followed in assembling and maintaining this file.
    2. Six (6) months prior to the expected date of discharge, the discharge coordinator for each foster home and mental health and state-operated prison facility shall contact the homelessness prevention director for the appropriate site where the volunteer participant chooses to locate following discharge about the pending release of the volunteer participant who is eligible for discharge from a foster home or mental health facility, who will have served out his or her sentence in a state-operated prison facility, or who is being paroled from any state-operated prison that is participating in the project. The director shall visit the home or facility, as appropriate, to assist with the preparation of the final comprehensive discharge plan.
    3. The homelessness prevention director from the site where the participant chooses to locate and the discharge coordinator for each participating foster home and mental health and state-operated prison facility shall work together to develop a final comprehensive discharge plan that addresses the employment, health care, educational, housing, and other needs of the person to be released, subject to the consent of the person and the funding and staffing capabilities of the director. Information provided by the coordinator may include and be limited to, subject to the staffing and funding capabilities of the coordinator, information provided by the person to be released on a form or forms made available by the foster home or mental health or state-operated prison facility. The discharge plan shall contain but not be limited to the following:
      1. Estimated discharge date from the foster home, state-operated prison facility, or mental health facility, or identification by a social service provider of a person who meets the criteria listed in subsection (1) of this section;
      2. Educational background of the person to be released, including any classes completed or skills obtained by the person while in the foster home, state-operated prison facility, or mental health facility;
      3. The person’s medical and mental health needs;
      4. Other relevant social or family background information;
      5. A listing of previous attempts to arrange for post-release residence, employment, medical and mental health services, housing, education, and other community-based services for the person; and
      6. Other available funding and public programs that may reimburse any services obtained from a provider listed in the discharge plan. Every effort shall be made in the discharge plan to refer the person to a provider that has agreed to an arranged public or private funding arrangement.

        No discharge plan shall be completed unless the written consent, consistent with state and federal privacy laws, to compile the information and prepare the plan has been given by the person eligible for release who has volunteered to participate in the project.

  4. The homelessness prevention director from the site where the participant chooses to locate shall assist with the completion of a final comprehensive discharge plan that may include but need not be limited to the following:
    1. Availability of appropriate housing, including but not limited to a twenty-four (24) month transitional program, supportive housing, or halfway house. Planning discharge to an emergency shelter is not appropriate to meet the housing needs of the person being discharged from foster care, a state-operated prison facility, or a mental health facility;
    2. Access to appropriate treatment services for participants who require follow-up treatment;
    3. Availability of appropriate employment opportunities, including assessment of vocational skills and job training; and
    4. Identification of appropriate opportunities to further education.
  5. Discharge planning shall be individualized, comprehensive, and coordinated with community-based services.
    1. Each discharge plan shall create a continuous, coordinated, and seamless system that is designed to meet the needs of the person.
    2. Staff of the foster home or facility and staff of community-based services providers shall be involved in the planning.
    3. Each facility shall utilize, wherever possible, community-based services within the facility to establish familiarity of the person residing in the facility with the community services.
  6. The Department of Corrections shall, through an administrative regulation promulgated in accordance with KRS Chapter 13A, develop a discharge plan that addresses the education; employment, technical, and vocational skills; and housing, medical, and mental health needs of a person who is to be released after serving out his or her sentence in a state-operated prison facility participating in the project.
  7. Appropriate data about discharge placements and follow-up measures shall be collected and analyzed. The analysis shall be included in the interim and final reports of the project specified in subsection (8) of this section.
  8. Each homelessness prevention director shall have regular meetings with appropriate state cabinet and agency staff to review the project and make recommendations for the benefit of the project. Each director shall be assisted by a local advisory council composed of local providers of services and consumer advocates who are familiar with homelessness prevention issues. Priority for membership on the advisory council shall be given to existing resources and regional mental health and substance abuse advisory councils at the discretion of the director.
  9. Each cabinet shall collect data about the discharge plans, referrals, costs of services, and rate of recidivism related to the homelessness prevention project, and shall submit an annual report to the Governor and the Legislative Research Commission no later than October 1 that summarizes the data and contains recommendations for the improvement of the project. The annual report also shall be forwarded to the Kentucky Interagency Council on Homelessness.
    1. The Kentucky Interagency Council on Homelessness is hereby established to plan, develop, coordinate, and implement programs for the purpose of improving the well-being of homeless Kentuckians. The council shall be attached to the Homeless and Housing Coalition of Kentucky for administrative purposes. (10) (a) The Kentucky Interagency Council on Homelessness is hereby established to plan, develop, coordinate, and implement programs for the purpose of improving the well-being of homeless Kentuckians. The council shall be attached to the Homeless and Housing Coalition of Kentucky for administrative purposes.
    2. The council shall include but not be limited to the following members:
      1. The secretary of the Cabinet for Health and Family Services;
      2. The executive director of the Homeless and Housing Coalition of Kentucky;
      3. The chief executive officer of the Kentucky Housing Corporation;
      4. The commissioner of the Kentucky Department of Veterans’ Affairs;
      5. The secretary of the Justice and Public Safety Cabinet;
      6. The secretary of the Education and Workforce Development Cabinet;
      7. The secretary of the Transportation Cabinet;
      8. The executive director of the Administrative Office of the Courts;
      9. The state budget director;
      10. A representative from the Kentucky Housing Association, representing public housing authorities, appointed by the Governor for a two (2) year term; and
      11. An individual who has previously experienced homelessness and addiction, appointed by the Governor for a two (2) year term.
    3. The chair of the council shall be appointed by the Governor for a two (2) year term and the vice chair shall be elected by the members of the council for a two (2) year term.
    4. Members of the council who are not state employees shall be reimbursed for actual expenses incurred in the performance of their duties in accordance with KRS 45.101 and administrative regulations promulgated thereunder.
    5. The council shall have the following functions and duties:
      1. To serve as the single statewide homeless planning and policy development resource for the Commonwealth of Kentucky;
      2. To review, update, and recommend changes to Kentucky’s Ten-Year Plan to End Homelessness and monitor its implementation;
      3. To serve as a state clearinghouse for information on services and housing options for the homeless population;
      4. To conduct other activities as appropriate and necessary; and
      5. To report to the Governor and General Assembly as requested.

History. Enact. Acts 2004, ch. 147, § 1, effective July 13, 2004; 2005, ch. 99, § 168, effective June 20, 2005; 2007, ch. 85, § 220, effective June 26, 2007; 2010, ch. 141, § 10, effective July 15, 2010; 2016 ch. 41, § 1, effective July 15, 2016.

Legislative Research Commission Notes.

(7/13/2004). 2004 Ky. Acts ch. 147, sec. 2, provides that “development and implementation of the homelessness prevention pilot project in this Act shall be subject to sufficient funding for this project as provided in the Executive Branch Budget Bill.”

Registry for Organ and Tissue Donation

194A.750. Statewide electronic registry for organ and tissue donations — Collaboration among agencies — Strategies for operation. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 2006, ch. 38, § 1, effective July 12, 2006) was repealed and reenacted as KRS 311.1947 by Acts 2010, ch. 161, § 19, effective July 15, 2010.

Community Pharmacy Medication-assisted Therapy Pilot Program

194A.800. Pilot program — Community pharmacy care for medication-assisted substance abuse therapy — Components — Report.

  1. For the purposes of this section, “pilot program” means a program in a county or set of counties, or a subset or subsets of the population, as designated by the Cabinet for Health and Family Services and the Department for Behavioral Health, Developmental and Intellectual Disabilities.
  2. A pilot program is established to analyze the outcomes and effectiveness of a community pharmacy care delivery model for medication-assisted therapy for treatment of substance abuse in order to ensure that the Commonwealth is:
    1. Using approaches that have been shown to be effective;
    2. Intervening early at important stages and transitions; and
    3. Intervening in appropriate settings and domains.
  3. Sources of data for the pilot program shall include, at a minimum, claims data from the Department for Medicaid Services, including claims data from Medicaid managed care organizations submitted to the Department for Medicaid Services.
  4. As funds are available, the Cabinet for Health and Family Services shall initiate a pilot program to determine, collect, and analyze performance measurement data for a community pharmacy care delivery model for noncontrolled medication-assisted therapy as part of substance abuse treatment services to determine practices that increase access to treatment, reduce frequency of relapse, provide better outcomes for patients, and control health costs related to substance abuse treatment. Program components shall:
    1. Use a community pharmacy care delivery model for noncontrolled medication-assisted therapy for the treatment of substance abuse, as authorized by the Kentucky Board of Pharmacy pursuant to KRS 315.010(25);
    2. Include a wraparound services model that engages psychological and social support for the patient;
    3. Establish collaborative relationships between detention facilities, drug courts, community pharmacists, and practitioners who provide psychosocial interventions to evaluate individuals’ eligibility for participation in a community pharmacy care delivery model for noncontrolled medication-assisted therapy; and
    4. Include pilot program data collection designed to inform the outcomes and effectiveness of a community pharmacy care delivery model for medication-assisted therapy for treatment of substance abuse.
  5. By December 31, 2019, the Cabinet for Health and Family Services shall provide a joint report to the Legislative Research Commission and the Office of the Governor that:
    1. Details the findings of the pilot program; and
    2. Includes recommendations based on the pilot program’s results for optimizing substance abuse treatment services provided in community pharmacies.

HISTORY: 2018 ch. 133, § 1, effective July 14, 2018.

Penalties

194A.990. Penalties.

  1. Any person who violates the provisions of KRS 194A.505(1), (2), or (7) shall be guilty of a Class A misdemeanor, unless the sum total of benefits received in excess of that to which the person was entitled at the time of the offense was committed is valued at or over one hundred dollars ($100), in which case it is a Class D felony.
  2. Any person who violates KRS 194A.505(3) shall be guilty of a Class D felony.
  3. Any person who violates the provisions of KRS 194A.505(4) or (5) shall be guilty of a Class C felony.
  4. Any person who violates the provisions of KRS 194A.505(6) shall be guilty of a Class D felony, unless the purpose of the violation is to obtain ten thousand dollars ($10,000) or more, in which case it shall be a Class C felony.
  5. Any person who violates KRS 194A.505(1) to (6) shall, in addition to any other penalties provided by law, forfeit and pay a civil penalty of payment to the cabinet in the amount of all benefits and payments to which the person was not entitled.
  6. Any provider who violates KRS 194A.505(1) to (6) shall, in addition to any other penalties provided by law, including the penalty set forth in subsection (5) of this section, forfeit and pay civil penalties of:
    1. Payment to the State Treasury’s general revenue fund in an amount equal to three (3) times the amount of the benefits and payments to which the person was not entitled; and
    2. Payment to the State Treasury’s general revenue fund of all reasonable expenses that the court determines have been necessarily incurred by the state in the enforcement of this section.

History. Enact. Acts 1998, ch. 426, § 28, effective July 15, 1998.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for felony, KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

194A.990. Penalties.

    1. Any person who violates the provisions of KRS 194A.505(1), (2), or (7) shall be guilty of a Class B misdemeanor unless: (1) (a) Any person who violates the provisions of KRS 194A.505(1), (2), or (7) shall be guilty of a Class B misdemeanor unless:
      1. The sum total of benefits received in excess of that to which the person was entitled at the time of the offense was committed is valued at five hundred dollars ($500) or more but less than one thousand dollars ($1,000), in which case it is a Class A misdemeanor;
      2. The sum total of benefits received in excess of that to which the person was entitled at the time the offense was committed is valued at or above one thousand dollars ($1,000) in which case it is a Class D felony; or
      3. The person has three (3) or more convictions under subparagraph 1. of this paragraph within the last five (5) years, in which case it is a Class D felony. The five (5) year period shall be measured from the dates on which the offenses occurred for which the judgments of conviction were entered.
    2. If any person commits two (2) or more separate violations of the provisions of KRS 194A.505(1), (2), or (7) within ninety (90) days, the offenses may be combined and treated as a single offense, and the value of the property in each offense may be aggregated for the purpose of determining the appropriate charge.
  1. Any person who violates KRS 194A.505(3) shall be guilty of a Class D felony.
  2. Any person who violates the provisions of KRS 194A.505(4) or (5) shall be guilty of a Class C felony.
  3. Any person who violates the provisions of KRS 194A.505(6) shall be guilty of a Class D felony, unless the purpose of the violation is to obtain ten thousand dollars ($10,000) or more, in which case it shall be a Class C felony.
  4. Any person who violates KRS 194A.505(1) to (6) shall, in addition to any other penalties provided by law, forfeit and pay a civil penalty of payment to the cabinet in the amount of all benefits and payments to which the person was not entitled.
  5. Any provider who violates KRS 194A.505(1) to (6) shall, in addition to any other penalties provided by law, including the penalty set forth in subsection (5) of this section, forfeit and pay civil penalties of:
    1. Payment to the State Treasury’s general revenue fund in an amount equal to three (3) times the amount of the benefits and payments to which the person was not entitled; and
    2. Payment to the State Treasury’s general revenue fund of all reasonable expenses that the court determines have been necessarily incurred by the state in the enforcement of this section.

HISTORY: Enact. Acts 1998, ch. 426, § 28, effective July 15, 1998; 2021 ch. 66, § 1.

CHAPTER 194B Cabinet for Families and Children [Repealed]

194B.005. Definitions for chapter. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 29, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.010. Cabinet for Families and Children — Functions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 30, effective July 15, 1998; 2003, ch. 67, § 1, effective June 24, 2003) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.025. Power and authority of secretary. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 31, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.030. Major organizational units of the cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 32, effective July 15, 1998; 2000, ch. 6, § 12, effective July 14, 2000; 2000, ch. 14, § 12, effective July 14, 2000; 2000, ch. 203, § 7, effective July 14, 2000; 2002, ch. 190, § 2, effective July 15, 2002; 2003, ch. 41, § 2, effective June 24, 2003) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.040. Internal organization of offices and departments — Secretary’s powers to create positions — Election of coverage under unemployment insurance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 33, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.050. Execution of policies, plans, and programs — Administrative regulations — Fees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 34, effective July 15, 1998; 2000, ch. 6, § 13, effective July 14, 2000; 2003, ch. 89, § 19, effective June 24, 2003) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.060. Confidentiality of records and reports. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 35, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.070. Utilizing community resources for delivery of services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 36, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.080. Cost-allocation plan. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 37, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.090. Council for Families and Children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 38, effective July 15, 1998; 2000, ch. 6, § 14, effective July 14, 2000; 2000, ch. 14, § 13, effective July 14, 2000) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.100. Legislative finding and declaration. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 395, § 1, effective July 15, 1998) was repealed, reenacted and amended as former KRS 194A.145 by Acts 2005, ch. 99, § 31, effective June 20, 2005.

194B.102. Statewide Strategic Planning Committee for Children in Placement — Membership — Strategic plan — Facilities and services plan — Review — Information systems — Annual report. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 395, § 2, effective July 15, 1998; 2000, ch. 14, § 14, effective July 14, 2000; 2000, ch. 506, § 24, effective July 14, 2000; 2000, ch. 536, § 24, effective July 14, 2000) was repealed, reenacted and amended as former KRS 194A.146 by Acts 2005, ch. 99, § 32, effective June 20, 2005.

194B.110. Kentucky Commission on Human Services Collaboration. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 304, § 1, effective July 15, 1998; 2005, ch. 95 § 44, effective June 20, 2005) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). Under KRS 446.260 , the repeal of this section in 2005 Ky. Acts ch. 99 prevails over its amendment in 2005 Ky. Acts ch. 95.

194B.130. Limitation on administrative processes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 39, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.140. Special subcommittees of the Council for Families and Children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 40, effective July 15, 1998; 2000, ch. 6, § 15, effective July 14, 2000) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.150. State officials as voting members of citizens’ councils. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 41, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.160. Alternates or representatives for boards, commissions, and similar bodies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 42, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.170. Secretary’s authority to create special task forces, advisory committees, and other citizens’ panels. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 43, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.180. Administrative regulations and decisions of various bodies transferred to Institute for Aging. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 44, effective July 15, 1998) was repealed by Acts 2000, ch. 6, § 32, effective July 14, 2000. For present law, see KRS 194A.182 .

194B.190. Gifts and grants to the Council for Families and Children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 45, effective July 15, 1998; 2000, ch. 6, § 16, effective July 14, 2000) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.200. Compensation and expenses of members of the Council for Families and Children — Members of citizens’ councils not public officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 46, effective July 15, 1998; 2000, ch. 6, § 17, effective July 14, 2000) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.360. Annual report on committed children — Contents. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 47, effective July 15, 1998) was repealed and reenacted as KRS 194A.365 by Acts 2005, ch. 99, § 33, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). Pursuant to KRS 446.260 , the repeal and reenactment of this statute in 2005 Ky. Acts ch. 99, § 33, prevails over its repeal in 2005 Ky. Acts ch. 99, § 674.

194B.370. Professional development for staff on child development and abuse. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 48, effective July 15, 1998) was repealed, reenacted and amended as KRS 194A.370 by Acts 2005, ch. 99, § 34, effective June 20, 2005.

194B.500. Definitions for KRS 194B.505. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 49, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.505. Prohibited activities — Commencement of proceedings for enforcement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 50, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.510. Defense in prosecution. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 51, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.515. Access to criminal records by cabinet’s agents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 52, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

194B.530. Training and continuing education courses for staff of Department for Community Based Services. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 53, effective July 15, 1998; 2000, ch. 14, § 15, effective July 14, 2000; 2005, ch. 132, § 18, effective June 20, 2005) was repealed, reenacted and amended as KRS 194A.545 by Acts 2005, ch. 99, § 35, effective June 20, 2005.

194B.535. Training requirements for staff of agencies providing shelter services for victims. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 54, effective July 15, 1998) was repealed, reenacted and amended as KRS 194A.550 by Acts 2005, ch. 99, § 36, effective June 20, 2005.

194B.550. Definitions for KRS 194B.550 to 194B.559. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 55, effective July 15, 1998) was repealed by Acts 2000, ch. 6, § 32, effective July 14, 2000. For present law, see KRS 194A.600 .

194B.552. Office on Alzheimer’s Disease and Related Disorders — Director — Report — Purposes and duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 56, effective July 15, 1998) was repealed by Acts 2000, ch. 6, § 32, effective July 14, 2000. For present law, see KRS 194A.601 .

194B.555. Alzheimer’s Disease and Related Disorders Council — Members — Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 57, effective July 15, 1998) was repealed by Acts 2000, ch. 6, § 32, effective July 14, 2000. For present law, see KRS 194A.603 .

194B.559. Authority to promulgate administrative regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 58, effective July 15, 1998) was repealed by Acts 2000, ch. 6, § 32, effective July 14, 2000. For present law, see KRS 194A.609 .

194B.570. Kentucky Commission on Community Volunteerism and Service. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 203, § 1, effective July 14, 2000) was repealed, reenacted and amended as KRS 194A.570 by Acts 2005, ch. 99, § 37, effective June 20, 2005.

194B.572. Commission membership — Term limits. [Repealed and reenacted.]

Compiler’s Notes.

This section (Repealed, reenact., and amend. Acts 2000, ch. 203, § 2, effective July 14, 2000) was repealed and reenacted as KRS 194A.572 by Acts 2005, ch. 99, § 38, effective June 20, 2005.

194B.575. Purpose of commission. [Repealed and reenacted.]

Compiler’s Notes.

This section (Repealed and reenact., Acts 2000, ch. 203, § 3, effective July 14, 2000) was repealed and reenacted as KRS 194A.575 by Acts 2005, ch. 99, § 39, effective June 20, 2005.

194B.578. Duties of commission — Authority for administrative regulations. [Repealed and reenacted.]

Compiler’s Notes.

This section (Repealed and reenact., Acts 2000, ch. 203, § 4, effective July 14, 2000) was repealed and reenacted as KRS 194A.578 by Acts 2005, ch. 99, § 40, effective June 20, 2005.

194B.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 426, § 59, effective July 15, 1998) was repealed by Acts 2005, ch. 99, § 674, effective June 20, 2005.

CHAPTER 195 Manpower Services

195.010. Department of economic security created — Commissioner — Executive assistant and directors — Rules and regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 1; 1966, ch. 255, § 182) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.020. Functions of cabinet — Transfer of functions of other agencies.

  1. The Cabinet for Health and Family Services shall exercise all functions of the state in relation to:
    1. Administration and supervision of all forms of public assistance including general home relief, outdoor and indoor care for persons in need, old age assistance, aid to dependent children, and aid to individuals who are blind and other individuals with disabilities.
    2. Administration and supervision of services to needy, neglected, and dependent children.
  2. All administrative functions of the nature outlined above, heretofore performed by other agencies of the state, are hereby transferred to and shall hereafter be performed by the Cabinet for Health and Family Services.

History. Enact. Acts 1948, ch. 164, § 2; 1952, ch. 83, § 2; 1956, ch. 157, § 1; 1966, ch. 255, § 183; 1974, ch. 74, Art. VI, § 108; 1994, ch. 405, § 46, effective July 15, 1994; 1996, ch. 271, § 12, effective July 15, 1996; 1998, ch. 426, § 127, effective July 15, 1998; 2005, ch. 99, § 41, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Aid to dependent children, KRS Chapter 200.

Child welfare, KRS Chapters 199, 200, 405.

Housing and care of elderly, KRS 216.750 to 216.780 .

Old age assistance, KRS Chapter 205.

Unemployment compensation, KRS Chapter 341.

195.030. Bureaus and divisions — Transfers of other agencies to department. [Repealed.]

Compiler’s Notes.

This section (Acts 1948, ch. 164, § 3; 1952, ch. 83, § 3; 1956, ch. 157, § 2; 1966, ch. 255, § 184) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.040. Free public employment offices. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, §§ 4, 5; 1956, ch. 107; 1966, ch. 255, § 185; 1974, ch. 74, Art. VI, § 40) was repealed by Acts 1996, ch. 271, § 28, effective July 1, 1996. For present law see KRS 151B.285.

195.050. Bureau of Social Services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 6; 1952, ch. 83, § 4; 1956, ch. 157, § 3) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.060. Transfer of personnel of former agencies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 7) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.070. Legal counsel. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 8) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.080. Purpose of KRS 195.010 to 195.100. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 9; 1952, ch. 83, § 5; 1956, ch. 157, § 4; 1966, ch. 255, § 186) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.090. Transfer of appropriations and allocations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 164, § 10; 1956, ch. 157, § 5) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.100. Division of Personnel Security. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1951, (Ex. Sess.), ch. 3, § 11) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.105. Training program authorized — Research assignment — Classification — Compensation — Contract.

  1. The secretary for health and family services in coordination with the Personnel Cabinet is authorized to establish formal training programs within the Cabinet for Health and Family Services or within any of the departments, divisions, or sections of the cabinet for the training of necessary personnel for the administration of the programs of the cabinet. When courses of study, applicable to the program processes of the cabinet, are not available through instruction within the cabinet, arrangements may be made for the training of employees in any public or private school or institution having available facilities for that purpose, and this training shall be deemed to be a part of the cabinet’s training program. Training of employees in public or private schools or institutions for this purpose shall be deemed a part of research assignments to be completed during the period of study, these assignments to relate directly to the work assignment of the employee. After consulting with the Personnel Cabinet, position classifications in the research series shall be established for employees on work study assignments, and funds of the cabinet may be used to pay salaries commensurate with the appropriate classification while the employee is receiving such training.
  2. Any employee who is paid a salary while receiving such training shall be required to enter into a contract, prior to receiving the training, that he will complete a specified work assignment, and that unless he continues in the employ of the cabinet for at least a period equivalent to the training period, immediately following the completion of such training, the state will hold a claim against that person for the amount of salary paid during the training period, and he will repay to the cabinet the sum paid to him by the cabinet during the period of his training.

History. Enact. Acts 1962, ch. 85, § 1; 1974, ch. 74, Art. VI, § 107; 1998, ch. 154, § 85, effective July 15, 1998; 1998, ch. 426, § 126, effective July 15, 1998; 2005, ch. 99, § 42, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

State personnel generally, KRS Chapter 18A.

195.107. Conflict of interest by members of private industry councils — Effect of violation.

  1. No member of any private industry council, established under the Job Training Partnership Act of 1982 (96 Stat. 1322), shall cast a vote on the provision of services by that member (or any organization which that member directly represents) or vote on any matter which would provide direct financial benefit to that member.
  2. Whenever the secretary determines that there is a substantial violation of subsection (1) of this section, the secretary may issue a notice of intent to revoke approval of all or part of the plan affected.

History. Enact. Acts 1984, ch. 77, § 1, effective July 13, 1984.

Compiler’s Notes.

The Job Training Partnership Act of 1982, referred to in subsection (1), was compiled primarily as 29 USCS § 1501 et seq. (repealed 2000).

195.110. Duties of commissioner in the administration of division of children’s services. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 157, § 53) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

Displaced Homemakers

195.120. Purpose of KRS 195.130 and 195.140. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 335, § 1, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10 and Acts 1998, ch. 426, § 628, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). This section was repealed by 1998 Ky. Acts chs. 100 and 426.

195.130. Definition for KRS 195.120 to 195.140. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 335, § 2, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10 and Acts 1998, ch. 426, § 628, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). This section was repealed by 1998 Ky. Acts chs. 100 and 426.

195.140. Programs for displaced homemakers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 335, § 3, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10 and Acts 1998, ch. 426, § 628, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). This section was repealed by 1998 Ky. Acts chs. 100 and 426.

Employment of Handicapped

195.150. Definitions for KRS 195.150 to 195.200. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 1) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.160. Commission on Employment of Physically Handicapped — Membership. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 2; 1970, ch. 180, § 2) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.170. Personnel — Advisory committees — Expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 3) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.180. Duties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 4; 1970, ch. 180, § 3; 1974, ch. 74, Art. VI, § 41; 1994, ch. 405, § 47, effective July 15, 1994) was repealed by Acts 1998, ch. 426, § 628, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 426, sec. 628 prevails over its amendment in 1998 Ky. Acts ch. 426, sec. 128.

195.190. Staff assistance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 5) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

195.200. Disposition of gifts and grants. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 106, Art. IX, § 6) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

CHAPTER 196 Corrections

196.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Cabinet” means the Justice and Public Safety Cabinet;
  2. “Commissioner” means commissioner of the Department of Corrections;
  3. “Department” means the Department of Corrections;
  4. “Institution” means any institution under the control of the Department of Corrections; and
  5. “Secretary” means secretary of the Justice and Public Safety Cabinet.

History. Amend. Acts 1952, ch. 50, § 34; 1962, ch. 106, Art. X, § 1; 1966, ch. 255, § 187; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 1, effective July 15, 1982; 1992, ch. 211, § 18, effective July 14, 1992; 2003, ch. 71, § 9, effective June 24, 2003; 2007, ch. 85, § 221, effective June 26, 2007.

General Provisions

196.020. Department of Corrections — Commissioner. [Repealed.]

Compiler’s Notes.

This section (4618-102: amend. Acts 1962, ch. 106, Art. X, § 2) was repealed by Acts 1974, ch. 74, Art. V, § 28.

196.025. Delegation of authority by commissioner to deputy. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 45) was repealed by Acts 1974, ch. 74, Art. V, § 28.

196.026. Organizational units of Department of Corrections.

The Department of Corrections shall consist of the following organizational units:

  1. Personnel Division;
  2. Office of Adult Institutions, which shall have the following divisions:
    1. Division of Operations and Program Services;
    2. Division of Medical Services;
    3. Division of Mental Health Services;
    4. Division of Substance Abuse Programming;
    5. Division of Correctional Industries;
    6. Division of Kentucky State Reformatory;
    7. Division of Luther Luckett Correctional Complex;
    8. Division of Roederer Correctional Complex;
    9. Division of Blackburn Correctional Complex;
    10. Division of Kentucky Correctional Institution for Women;
    11. Division of Northpoint Training Center Division;
    12. Division of Eastern Kentucky Correctional Complex;
    13. Division of Bell County Forestry Camp;
    14. Division of Kentucky State Penitentiary;
    15. Division of Western Kentucky Correctional Complex;
    16. Division of Green River Correctional Complex;
    17. Division of Little Sandy Correctional Complex; and
    18. Division of Education. Each division specified in paragraphs (f) to (q) of this subsection shall be headed by a warden pursuant to KRS 196.160 ;
  3. Office of Community Services and Facilities, which shall have the following divisions:
    1. Division of Probation and Parole;
    2. Division of Reentry; and
    3. Division of Local Facilities; and
  4. Office of Support Services, which shall have the following divisions:
    1. Division of Administrative Services;
    2. Division of Corrections Training;
    3. Division of Population Management; and
    4. Division of Parole and Victim Services.

History. Enact. Acts 1994, ch. 227, § 6, effective July 15, 1994; 2000, ch. 217, § 1, effective July 14, 2000; 2002, ch. 60, § 1, effective July 15, 2002; 2003, ch. 71, § 10, effective June 24, 2003; 2007, ch. 85, § 222, effective June 26, 2007; 2013, ch. 72, § 1, effective June 25, 2013; 2018 ch. 184, § 1, effective July 14, 2018; 2018 ch. 191, § 1, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 184 and 191, which do not appear to be in conflict and have been codified together.

196.026. Organizational units of Department of Corrections.

The Department of Corrections shall consist of the following organizational units:

  1. Personnel Division;
  2. Office of Adult Institutions, which shall have the following divisions:
    1. Division of Operations and Program Services;
    2. Division of Medical Services;
    3. Division of Mental Health Services;
    4. Division of Substance Abuse Programming;
    5. Division of Correctional Industries;
    6. Division of Kentucky State Reformatory;
    7. Division of Luther Luckett Correctional Complex;
    8. Division of Roederer Correctional Complex;
    9. Division of Blackburn Correctional Complex;
    10. Division of Kentucky Correctional Institution for Women;
    11. Division of Northpoint Training Center Division;
    12. Division of Eastern Kentucky Correctional Complex;
    13. Division of Bell County Forestry Camp;
    14. Division of Kentucky State Penitentiary;
    15. Division of Western Kentucky Correctional Complex;
    16. Division of Green River Correctional Complex;
    17. Division of Little Sandy Correctional Complex;
    18. Division of Southeast State Correctional Complex; and
    19. Division of Education. Each division specified in paragraphs (f) to (r) of this subsection shall be headed by a warden pursuant to KRS 196.160 ;
  3. Office of Community Services and Facilities, which shall have the following divisions:
    1. Division of Probation and Parole;
    2. Division of Reentry; and
    3. Division of Local Facilities; and
  4. Office of Support Services, which shall have the following divisions:
    1. Division of Administrative Services;
    2. Division of Corrections Training;
    3. Division of Population Management; and
    4. Division of Parole and Victim Services.

HISTORY: Enact. Acts 1994, ch. 227, § 6, effective July 15, 1994; 2000, ch. 217, § 1, effective July 14, 2000; 2002, ch. 60, § 1, effective July 15, 2002; 2003, ch. 71, § 10, effective June 24, 2003; 2007, ch. 85, § 222, effective June 26, 2007; 2013, ch. 72, § 1, effective June 25, 2013; 2018 ch. 184, § 1, effective July 14, 2018; 2018 ch. 191, § 1, effective July 14, 2018; 2021 ch. 82, § 3.

196.030. Functions of Department of Corrections.

  1. The department shall, unless otherwise provided by law, exercise all functions of the state in relation to:
    1. Management of penal, reform, and correctional institutions;
    2. Supervision of probation and parole;
    3. The giving of assistance to other departments, agencies, and institutions of the state and federal government when requested by performing services in conformity with this section;
    4. Acting as the agent of the federal government in matters of mutual concern, and in the administration of any federal funds granted to the state to aid in the performance of any function of this department;
    5. Administration and enforcement of the provisions of KRS Chapter 441 relating to the development and enforcement of jail standards, training of jailers and jail personnel, and jail planning and construction.
  2. Notwithstanding other provisions to the contrary, the Department of Corrections may contract with a county fiscal court or local or regional correctional authority to house misdemeanants and persons awaiting trial or sentencing.
  3. The provisions of this section shall not apply to any institution, home, or agency which does not receive aid from the state, a county, or municipality.

History. 4618-101: amend. Acts 1956, ch. 157, § 6; 1962, ch. 106, Art. X, § 3; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 2, effective July 15, 1982; 1982, ch. 385, § 29, effective July 1, 1982; 1990, ch. 497, § 15, effective July 13, 1990; 1992, ch. 211, § 19, effective July 14, 1992.

NOTES TO DECISIONS

1.State Acquisition of Private Charity.

Plan pursuant to which department of welfare (now Department of Corrections) caused nonprofit corporation to be organized and property of Kentucky children’s home society conveyed to corporation, and department executed one year lease of property at rental within budget of department, with option to renew, the object being to retire bonds of corporation through the annual rentals and to secure a conveyance of the property to the state when that was done, was valid. Speer v. Kentucky Children's Home, 278 Ky. 225 , 128 S.W.2d 558, 1939 Ky. LEXIS 398 ( Ky. 1939 ) (decision prior to 1962 amendment).

2.Custody or Transfer.

Rule of Criminal Procedure 11.22, KRS 431.215 and 532.100 , and Const., § 254, dictate the Correction Cabinet (now Department of Corrections) must accept custody or transfer of convicted felons and parole violators, despite that body’s promulgation of a controlled intake policy pursuant to this section and KRS 197.110 . Campbell County v. Commonwealth, Kentucky Corrections Cabinet, 762 S.W.2d 6, 1988 Ky. LEXIS 50 ( Ky. 1988 ).

Correction Cabinet’s (now Department of Corrections) defense to contempt charges based on its inability to comply with orders to take custody of certain prisoners was fundamentally flawed; the Kentucky Constitution assigns the responsibility for care and custody of convicted felons to state government as a whole; therefore, state government, which bears the burden for correcting overcrowding in prisons, was not unable to perform, even if this individual agency of the government could claim otherwise. Campbell County v. Commonwealth, Kentucky Corrections Cabinet, 762 S.W.2d 6, 1988 Ky. LEXIS 50 ( Ky. 1988 ).

Cited in:

Kentucky Childrens Home v. Woods, 289 Ky. 20 , 157 S.W.2d 473, 1941 Ky. LEXIS 11 ( Ky. 1941 ); Claspell v. Brown, 332 S.W.2d 851, 1960 Ky. LEXIS 177 ( Ky. 1960 ); Million v. Raymer, 136 S.W.3d 460, 2004 Ky. LEXIS 146 ( Ky. 20 04 ).

Opinions of Attorney General.

If called upon by a county judge for a preparole report it is the parole officer’s duty to make it and if the individual is paroled, his supervision becomes a responsibility of the division of probation and parole (now Department of Corrections). OAG 66-421 .

Jail consultants of the Bureau of Corrections (now Department of Corrections) have no authority to establish rules and regulations for operations of city or county jails in which state prisoners are housed. OAG 75-135 .

Research References and Practice Aids

Cross-References.

Classification, segregation or transfer of prisoners in penal institutions, KRS 197.065 .

196.031. Employment of personnel — Annual report.

  1. The cabinet shall employ the personnel and operate and maintain data collection and processing systems necessary to comply with the provisions of this section.
  2. The cabinet shall annually on July 1 of each year report to the Governor, the Legislative Research Commission, and the Kentucky State Corrections Commission on:
    1. The placement of prisoners within the Commonwealth’s correctional system by institution, whether imprisoned in a state prison or other institution, including county jails, on probation, paroled, housed in halfway houses, housed in reentry centers, sentenced to community service or otherwise;
    2. Numbers of prisoners by type of offense;
    3. Numbers of prisoners by number and type of prior convictions;
    4. Numbers of prisoners paroled by type of offense and by length of time served;
    5. Numbers of prisoners released through shock probation by type of offense and by length of time served;
    6. Numbers of prisoners serving their full sentence by type of offense;
    7. The percentage of felony offenders on parole or some form of post-release supervision who are participating or completing treatment consistent with assessment results, in prison and in the community;
    8. The percentage of felony offenders whose reassessment results demonstrate reductions in criminal risk factors;
    9. The percentage of programs that demonstrate their effectiveness in reducing recidivism;
    10. The percentage of felony offenders on parole or some form of post-release supervision, by supervision type, who:
      1. Are employed or in school within thirty (30) days, six (6) months, and one (1) year of the start of supervision;
      2. Have had part-time employment for a minimum of six (6) months, and the percentage of offenders who have had full-time employment for a minimum of six (6) months;
      3. Have housing upon release from incarceration;
      4. Had stable housing for at least six (6) months; and
      5. Are arrested, convicted, or incarcerated within six (6) months, one (1) year, and three (3) years;
    11. The percentage of admissions to prison by offenders under supervision at the time of admission, including information regarding whether the violations were criminal or technical; and
    12. Any other data that provides information on state-funded crime reduction and recidivism reduction efforts, including caseload sizes by risk level, participation in treatment and intervention programming, public safety outcomes, and cost effectiveness.
  3. The cabinet shall annually report to the Governor and to the Legislative Research Commission on:
    1. Numbers and types of prison beds necessary to meet current population needs and six (6) year projections of those needs;
    2. Current personnel needs of the cabinet and five (5) year projections of the needs; and
    3. A six (6) year projection of needed capital construction, program development, and anticipated requests for appropriations.

HISTORY: Enact. Acts 1984, ch. 401, § 7, effective July 13, 1984; 1990, ch. 497, § 2, effective July 13, 1990; 2003, ch. 71, § 11, effective June 24, 2003; 2011, ch. 2, § 65, effective June 8, 2011; 2017 ch. 158, § 90, effective June 29, 2017.

196.032. Department’s objectives.

The primary objectives of the department shall be to maintain public safety and hold offenders accountable while reducing recidivism and criminal behavior and improving outcomes for offenders under its supervision. The department shall create and implement policies and programs to achieve these objectives.

History. Enact. Acts 2011, ch. 2, § 2, effective June 8, 2011.

196.035. Powers and duties of secretary.

The secretary shall, except as otherwise provided in KRS 439.250 to 439.560 and KRS Chapter 13A, have the power and authority to promulgate administrative regulations he or she deems necessary or suitable for the proper administration of the functions of the cabinet or any division in the cabinet, including qualification for the receipt of federal funds and for cooperation with other state and federal agencies. The secretary may delegate to any person appointed the power and authority as he or she deems reasonable and proper for the effective administration of the cabinet.

History. Enact. Acts 1956, ch. 157, § 8; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 3, effective July 15, 1982; 1992, ch. 13, § 10, effective July 14, 1992; 2007, ch. 85, § 223, effective June 26, 2007.

NOTES TO DECISIONS

1.In General.

Since the legislature authorized the Secretary of the Justice and Public Safety Cabinet, in overseeing the Department of Corrections, to regulate, reward, and punish prisoner conduct, and the secretary, without ceding or relinquishing that authority, properly delegated much of it to the wardens who, under properly adopted policies, had final say in the forfeiture of good-time credit, the only entities with the authority to restore good-time credit or expunge a prison record were the Department of Corrections and the warden, and, although the inmate had named the warden in the lawsuit in the trial court, the inmate’s failure to include the warden as an appellee in the notice of appeal was fatal. Watkins v. Fannin, 278 S.W.3d 637, 2009 Ky. App. LEXIS 34 (Ky. Ct. App. 2009).

Cited in:

Coleman v. Commonwealth, 100 S.W.3d 745, 2002 Ky. LEXIS 247 ( Ky. 2002 ), overruled in part, Bratcher v. Commonwealth, 424 S.W.3d 411, 2014 Ky. LEXIS 85 ( Ky. 2014 ); Bowling v. Ky. Dep’t of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 )

Research References and Practice Aids

Cross-References.

Metropolitan correctional services department, report of sheriff regarding, KRS 67B.070 .

196.037. Department personnel to have powers of peace officers.

  1. All personnel of the department, while acting for the department in any capacity entailing the maintenance of custody over any prisoners, shall have all the authority and powers of peace officers.
  2. All department personnel who are officially requested by a law enforcement agency in a county of Kentucky or by the Department of Kentucky State Police to assist in the apprehension of a prisoner who has escaped from the legal or physical custody of the Department of Corrections or a detention facility of the Department of Corrections shall possess, while responding to and for the duration of the matter for which the request was made, the same powers of arrest as peace officers.
  3. Probation and parole officers, while acting for the department in any capacity entailing the maintenance of custody or supervision of any confined prisoner, paroled prisoner, escaped prisoner, probationer, or other person otherwise placed under their supervision shall have all the authority and powers of peace officers.
  4. Internal affairs officers and supervisors of the department, while investigating any person in connection with an offense involving personnel of the department, employee of any contractor providing services to the department, confined prisoner, paroled prisoner, escaped prisoner, probationer, or other person otherwise placed under the supervision of the department, shall have all the authority and powers of peace officers.

HISTORY: Enact. Acts 1962, ch. 106, Art. X, § 8; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 4, effective July 15, 1982; 1990, ch. 497, § 19, effective July 13, 1990; 1992, ch. 211, § 20, effective July 14, 1992; 1992, ch. 335, § 2, effective July 14, 1992; 1996, ch. 334, § 2, effective July 15, 1996; 2000, ch. 345, § 1, effective July 14, 2000; 2007, ch. 85, § 224, effective June 26, 2007; 2015 ch. 126, § 1, effective June 24, 2015.

NOTES TO DECISIONS

1.Discriminatory Conduct.

The trial court properly ruled that the factual basis of the complaint did not state a claim of arbitrary and discriminatory conduct, as KRS 61.300 and this section apply to all former felons, not just black felons. Leonard v. Corrections Cabinet, 828 S.W.2d 668, 1992 Ky. App. LEXIS 75 (Ky. Ct. App. 1992).

Opinions of Attorney General.

Probation and parole officers when engaged in the discharge of official duties involving probation and parole violators or entailing the maintenance of custody over any prisoner, or when necessary for their protection in the discharge of their official duties, are empowered by KRS 527.020 to carry concealed deadly weapons on or about their persons. OAG 75-87 .

As long as this section designates personnel of the bureau of corrections (now Department of Corrections) as having the powers of peace officers when they perform custodial duties over prisoners, such personnel must meet the age requirement for peace officers, set forth in KRS 61.300 , which requires all such officers to be 21 years of age. OAG 78-486 .

In view of the fact that those persons afforded peace officer status by virtue of this section, governing corrections personnel, are clearly nonelective peace officers, such persons must meet the qualifications mandated for such officers by KRS 61.300 . OAG 83-205 .

Persons not directly involved in the maintenance of custody over prisoners are not afforded peace officer status. OAG 83-205 .

Any person who has been convicted of a crime involving moral turpitude may not act in any capacity entailing the maintenance of custody over prisoners. OAG 83-205 .

The Corrections Cabinet (now Department of Corrections) may employ ex-offenders to perform duties which do not entail the maintenance of custody over prisoners; if ex-offenders are hired to serve in a capacity involving the maintenance of custody over prisoners, however, such ex-offenders must meet the qualifications set forth in KRS 61.300 . OAG 83-205 .

196.040. Divisions of department. [Repealed.]

Compiler’s Notes.

This section (263b-3, 4618-102, 4618-103, 4618-104, 4618-106, 4618-107: amend. Acts 1942, ch. 96, §§ 2, 3; 1956, ch. 157, § 7; 1962, ch. 106, Art. X, § 4) was repealed by Acts 1974, ch. 74, Art. V, § 28.

196.042. Criminal justice reinvestment fund — Annual funds appropriations — Dedicated use of funds.

  1. The criminal justice reinvestment fund is created as a trust fund. The trust fund shall consist of funds deposited pursuant to KRS 196.044 and shall be appropriated for the purposes set forth in subsection (3) of this section. The department shall administer the fund.
  2. Any interest earned on moneys in the fund shall become a part of the fund and shall not lapse.
  3. All funds in the criminal justice reinvestment fund shall be appropriated ninety (90) days after the close of the fiscal year as follows:
    1. Twenty percent (20%) to the department for expanding and enhancing evidence-based substance use disorder treatment programs for inmates;
    2. Twenty percent (20%) to the Office of Drug Control Policy for expanding and enhancing evidence-based substance use disorder treatment programs, including but not limited to treatment for neonatal abstinence syndrome;
    3. Twenty percent (20%) to the crime victims’ compensation fund established in KRS 49.480 ;
    4. Twenty percent (20%) to the department for reentry services, including but not limited to vocational training; and
    5. Twenty percent (20%) to the community corrections fund established in KRS 196.732 .
  4. For programs that receive funding under subsection (3) of this section, the moneys appropriated pursuant to this section shall not be used to replace any other state or county appropriations that the programs would have received if not for the appropriation made pursuant to this section.

HISTORY: 2017 ch. 158, § 100, effective June 29, 2017.

Legislative Research Commission Notes.

(6/28/2019). Subsection (3)(c) of this statute, as created under 2017 Ky. Acts ch. 158, sec. 100, contained a reference to “the crime victims' compensation fund established under KRS 346.185 .” This reference has been changed to read “the crime victims' compensation fund established under KRS 49.480 .” KRS 346.185 was repealed, reenacted as KRS 49.480 , and amended by 2017 Ky. Acts ch. 74, sec. 48, but the reference noted above was not changed to conform with renumbering during codification. The Reviser of Statutes has made this change under the authority of KRS 7.136(1)(e).

196.044. Annual calculations of cost savings resulting from 2017 Ky. Acts ch. 158 — Deposit in criminal justice reinvestment fund.

  1. As used in this section:
    1. “Cost savings” means the ending balance excluding any necessary government expenses as identified in an enacted appropriations bill and any agency transfers that occurred in the same fiscal year from which an ending balance is realized;
    2. “Criminal justice reinvestment fund” means the fund established in KRS 196.042 ; and
    3. “Ending balance” means the remaining general fund moneys unexpended for the fiscal year in which those funds were appropriated by the General Assembly.
  2. Beginning with the close of fiscal year 2017-2018 and each fiscal year thereafter, the department shall measure and document cost savings based on an ending balance created as a result of 2017 Ky. Acts ch. 158. Calculations shall be based on the department’s overall general fund appropriation. Measured and documented cost savings shall be reinvested and appropriated as provided in KRS 196.042 .
    1. Notwithstanding KRS 45.229 , any cost savings calculated pursuant to subsection (2) of this section shall not lapse but shall be deposited by the department into the criminal justice reinvestment fund. (3) (a) Notwithstanding KRS 45.229 , any cost savings calculated pursuant to subsection (2) of this section shall not lapse but shall be deposited by the department into the criminal justice reinvestment fund.
    2. If no cost savings are calculated pursuant to subsection (2) of this section, no funds shall be deposited into the criminal justice reinvestment fund.

HISTORY: 2017 ch. 158, § 99, effective June 29, 2017.

196.045. Administrative regulations for restoration of civil rights to eligible felony offenders.

  1. The Department of Corrections shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement a simplified process for the restoration of civil rights to eligible felony offenders. As part of this simplified process, the Department of Corrections shall:
    1. Inform eligible offenders about the process for restoration of civil rights and provide a standard form which individuals may sign upon their release to formally request that the Department of Corrections initiate the process;
    2. Generate a list on a monthly basis of eligible offenders who have been released by the Department of Corrections or discharged by the Parole Board and who have requested that their civil rights be restored;
    3. Conduct an investigation and compile the necessary information to ensure that all restitution has been paid and that there are no outstanding warrants, charges, or indictments;
    4. Provide notice to the Commonwealth’s attorney in the county of commitment and to the Commonwealth’s attorney in the offender’s county of residence, setting out in the notification the criminal case number and charges for which the offender was convicted; and
    5. Forward information on a monthly basis of eligible felony offenders who have requested restoration of rights to the Office of the Governor for consideration of a partial pardon.
  2. As used in this section, “eligible felony offender” means a person convicted of one (1) or more felonies who:
    1. Has reached the maximum expiration of his or her sentence or has received final discharge from the Parole Board;
    2. Does not have any pending warrants, charges, or indictments; and
    3. Had paid full restitution as ordered by the court or the Parole Board.
  3. As used in this section, “civil rights” means the ability to vote, serve on a jury, obtain a professional or vocational license, and hold an elective office. It does not include the right to bear arms.
  4. Any eligible offender not provided for under subsection (2) of this section may submit an application directly to the Department of Corrections to initiate the process outlined in subsection (1) of this section.

History. Enact. Acts 2001, ch. 115, § 1, effective June 21, 2001.

Research References and Practice Aids

Kentucky Law Journal.

Frazier, Removing the Vestiges of Discrimination: Criminal Disenfranchisement Laws and Strategies for Challenging Them., 95 Ky. L.J. 481 (2006/2007).

Northern Kentucky Law Review.

2008 Criminal Law Issue: Note: Kentucky’s Statutory Collateral Consequences Arising From Felony Convictions: A Practitioner’s Guide, 35 N. Ky. L. Rev. 413 (2008).

196.050. Division of Public Assistance. [Repealed.]

Compiler’s Notes.

This section (4618-103) was repealed by Acts 1950, ch. 110, § 12.

196.060. Division of Child Welfare. [Repealed.]

Compiler’s Notes.

This section (4618-104) was repealed by Acts 1950, ch. 125, § 33.

196.065. Forensic psychiatric facility — Initiation of mental hospitalization proceedings against inmate.

  1. The department shall operate a forensic psychiatric facility to provide mental health care for persons convicted of a crime who are committed to the department. This care shall be provided by the department for the duration of the person’s sentence.
  2. The department shall initiate or be responsible for initiation of hospitalization proceedings under KRS Chapter 202A or 202B for any inmate who needs mental health care at the expiration of his sentence.

History. Enact. Acts 1980, ch. 295, § 45, effective July 15, 1980; 1982, ch. 113, § 12, effective July 15, 1982; 1994, ch. 227, § 4, effective July 15, 1994.

Research References and Practice Aids

Northern Kentucky Law Review.

Notes, Criminal Law — Insanity Defense — Jury Instruction on Consequences of Acquittal — Payne v. Commonwealth, 623 S.W.2d 867, 1981 Ky. LEXIS 286 ( Ky. 1981 ), 9 N. Ky. L. Rev. 583 (1982).

196.070. Duties of commissioner of Department of Corrections — Training programs.

  1. The commissioner of the Department of Corrections shall:
    1. Supervise and administer the Kentucky State Reformatory, the Kentucky Correctional Institution for Women, the Kentucky State Penitentiary, Northpoint Training Center, the Luther Luckett Correctional Complex, the Eastern Kentucky Correctional Complex, the Green River Correctional Complex, the Western Kentucky Correctional Complex, the Roederer Correctional Complex, and any minimum security correctional institutions established and operated by the department, or any divisions of those institutions, the private prisons as provided by KRS 197.500 , and the prison industry program within those institutions.
    2. Supervise the employment of prisoners who have not been paroled or conditionally released, either within or without the walls or enclosures of these institutions.
    3. Have the authority to transfer, with the approval of the secretary of the Finance and Administration Cabinet, appropriated funds from the budget of one (1) penal institution to another.
    4. Determine minimum, maximum, and conditional release dates of prisoners in accordance with KRS 197.045 .
    5. Authorize the transfer of prisoners between institutions.
    6. Create those positions and employ those personnel necessary to perform the functions of the department.
    7. Promulgate administrative regulations in accordance with KRS Chapter 13A to implement KRS 196.700 to 196.735 .
  2. The commissioner may organize and maintain a training division for employees of the department and others and in connection therewith promulgate administrative regulations covering the course and conduct of the training and the period of time for which any employee or applicant therefor shall attend the school.
    1. The Division of Corrections Training shall establish, supervise, and coordinate training programs and schools for corrections personnel, jail personnel, and any other justice or nonlaw-enforcement related personnel as prescribed by the secretary and shall issue certification to those employees having successfully met the requirements of the training program.
    2. The Division of Corrections Training shall make a continuing study of corrections training standards and design, develop, and deliver preservice and in-service training programs.
    3. The Division of Corrections Training shall, by administrative regulations, prescribe minimum qualifications for its instructors and shall approve, issue, or revoke the certification of instructors.

History. 4618-106: amend. Acts 1942, ch. 96, § 4; 1962, ch. 106, Art. X, § 5; subsection (4) repealed 1963 (2nd Ex. Sess.), ch. 4, § 9; 1974, ch. 74, Art. V, § 24(15), (19); 1974, ch. 308, § 37; 1978, ch. 155, §§ 41, 119, effective June 17, 1978; 1982, ch. 113, § 13, effective July 15, 1982; 1982, ch. 344, § 5, effective July 15, 1982; 1984, ch. 106, § 1, effective July 13, 1984; 1990, ch. 315, § 2, effective July 13, 1990; 1990, ch. 497, § 8, effective July 13, 1990; 1992, ch. 211, § 21, effective July 14, 1992; 1992, ch. 445, § 2, effective July 14, 1992; 1994, ch. 227, § 5, effective July 15, 1994; 1994, ch. 418, § 2, effective July 15, 1994; 1996, ch. 334, § 5, effective April 10, 1996; 2003, ch. 71, § 8, effective June 24, 2003.

NOTES TO DECISIONS

1.Constitutionality.

This section and KRS 197.065 are constitutional. Swanners v. Thomas, 387 S.W.2d 307, Ky. LEXIS 468 (Ky.), cert. denied, 382 U.S. 865, 86 S. Ct. 131, 15 L. Ed. 2d 103, 1965 U.S. LEXIS 893 (U.S. 1965).

Opinions of Attorney General.

The determination as to the correctional institution to which the prisoner is to be delivered is made by the Department of Corrections and sheriffs are required to comply with the guidelines set out by the department. OAG 70-678 .

Probation and parole officers when engaged in the discharge of official duties involving probation and parole violators or entailing the maintenance of custody over any prisoner, or when necessary for their protection in the discharge of their official duties, are empowered by KRS 527.020 to carry concealed deadly weapons on or about their persons. OAG 75-87 .

The phrase, “other minimum security correctional institutions,” in this section, would embrace a community residential correctional center, as mentioned in KRS 439.590 . OAG 84-356 .

Constitution, § 254, this section, and KRS 196.135 do not permit the Corrections Cabinet (now Department of Corrections) and the Commonwealth to contract with a private vendor to operate a community residential correctional center under KRS 439.590 , free from the supervision, administration and disciplinary control of corrections officials; neither the Constitution nor the statutes of Kentucky permit such extraordinary delegation of authority. OAG 84-356 .

Under the statutes relating to the duties of the Secretary of the Corrections Cabinet (now Department of Corrections), penal institutions must be directly supervised, administered and operated by the Corrections Cabinet (now Department of Corrections); there are no statutes permitting corrections to delegate such operational function to any other agency or to private enterprise. OAG 84-356 .

Research References and Practice Aids

Cross-References.

Community residential correctional centers, KRS 439.580 to 439.630 .

Penitentiaries, KRS Chapter 197.

Northern Kentucky Law Review.

Notes, Criminal Law — Insanity Defense — Jury Instruction on Consequences of Acquittal — Payne v. Commonwealth, 623 S.W.2d 867, 1981 Ky. LEXIS 286 ( Ky. 1981 ), 9 N. Ky. L. Rev. 583 (1982).

196.070. Duties of commissioner of Department of Corrections — Training programs.

  1. The commissioner of the Department of Corrections shall:
    1. Supervise and administer the Kentucky State Reformatory, the Kentucky Correctional Institution for Women, the Kentucky State Penitentiary, Northpoint Training Center, the Luther Luckett Correctional Complex, the Eastern Kentucky Correctional Complex, the Green River Correctional Complex, the Western Kentucky Correctional Complex, the Roederer Correctional Complex, the Southeast State Correctional Complex, and any minimum security correctional institutions established and operated by the department, or any divisions of those institutions, the private prisons as provided by KRS 197.500 , and the prison industry program within those institutions.
    2. Supervise the employment of prisoners who have not been paroled or conditionally released, either within or without the walls or enclosures of these institutions.
    3. Have the authority to transfer, with the approval of the secretary of the Finance and Administration Cabinet, appropriated funds from the budget of one (1) penal institution to another.
    4. Determine minimum, maximum, and conditional release dates of prisoners in accordance with KRS 197.045 .
    5. Authorize the transfer of prisoners between institutions.
    6. Create those positions and employ those personnel necessary to perform the functions of the department.
    7. Promulgate administrative regulations in accordance with KRS Chapter 13A to implement KRS 196.700 to 196.735 .
  2. The commissioner may organize and maintain a training division for employees of the department and others and in connection therewith promulgate administrative regulations covering the course and conduct of the training and the period of time for which any employee or applicant therefor shall attend the school.
    1. The Division of Corrections Training shall establish, supervise, and coordinate training programs and schools for corrections personnel, jail personnel, and any other justice or nonlaw-enforcement related personnel as prescribed by the secretary and shall issue certification to those employees having successfully met the requirements of the training program.
    2. The Division of Corrections Training shall make a continuing study of corrections training standards and design, develop, and deliver preservice and in-service training programs.
    3. The Division of Corrections Training shall, by administrative regulations, prescribe minimum qualifications for its instructors and shall approve, issue, or revoke the certification of instructors.

HISTORY: 4618-106: amend. Acts 1942, ch. 96, § 4; 1962, ch. 106, Art. X, § 5; subsection (4) repealed 1963 (2nd Ex. Sess.), ch. 4, § 9; 1974, ch. 74, Art. V, § 24(15), (19); 1974, ch. 308, § 37; 1978, ch. 155, §§ 41, 119, effective June 17, 1978; 1982, ch. 113, § 13, effective July 15, 1982; 1982, ch. 344, § 5, effective July 15, 1982; 1984, ch. 106, § 1, effective July 13, 1984; 1990, ch. 315, § 2, effective July 13, 1990; 1990, ch. 497, § 8, effective July 13, 1990; 1992, ch. 211, § 21, effective July 14, 1992; 1992, ch. 445, § 2, effective July 14, 1992; 1994, ch. 227, § 5, effective July 15, 1994; 1994, ch. 418, § 2, effective July 15, 1994; 1996, ch. 334, § 5, effective April 10, 1996; 2003, ch. 71, § 8, effective June 24, 2003; 2021 ch. 82, § 4.

196.073. Governor’s authority to authorize commissioner to consent to transfer of convicted offenders under federal treaty.

If a treaty in effect between the United States and a foreign country provides for the transfer or exchange of convicted offenders to the country of which they are citizens or nationals, the Governor may, on behalf of the state and subject to the terms of the treaty, authorize the commissioner of the Department of Corrections to consent to the transfer of offenders and take any other action necessary to initiate the participation of the state in the treaty, upon application of the offender.

History. Enact. Acts 1994, ch. 418, § 1, effective July 15, 1994.

196.075. Probation and parole functions.

The department, under the direction of the commissioner, shall exercise the functions vested in the department relating to probation and parole. The commissioner shall promulgate administrative regulations governing parolees and shall have the same powers of arrest as probation and parole officers.

History. Enact. Acts 1942, ch. 96, § 5; 1974, ch. 74, Art. V, § 24(15), (19); 1982, ch. 344, § 6, effective July 15, 1982; 1992, ch. 211, § 22, effective July 14, 1992; 2007, ch. 85, § 225, effective June 26, 2007.

Research References and Practice Aids

Cross-References.

Probation and parole, KRS Chapter 439.

196.076. Probation and parole officer salary improvement program.

The department shall establish a probation and parole officer salary improvement program consisting of the following elements:

  1. Probation and parole officer I with less than five (5) years of service shall receive no salary improvement.
  2. Probation and parole officer II with five (5) but less than ten (10) years of service shall receive a salary improvement of five percent (5%).
  3. Probation and parole officer III with ten (10) but less than fifteen (15) years of service shall receive a salary improvement of ten percent (10%).
  4. Probation and parole officer IV with fifteen (15) or more years of service shall receive a salary improvement of ten percent (10%) or two thousand five hundred dollars ($2,500), whichever is less.
  5. Salary improvements under this section shall be in addition to all other increments or other salary increases authorized by law but shall only be paid if the probation and parole officer has attained a favorable work-performance rating for four (4) of the previous five (5) years.
  6. The service requirement shall be satisfied only by service as a Kentucky probation and parole officer.
  7. At the time of implementation, officers who already meet the performance rating and service time requirements shall be awarded the respective position title and salary improvement. Officers who have not yet met those requirements shall be awarded the position title and salary improvements only upon meeting the requirements.
  8. Probation and parole seniors, coordinators, and supervisors shall be included in the appropriate progression series level for salary improvement based upon the work performance rating and respective service time requirement attained. However, the progression series titles shall not apply to probation and parole seniors, coordinators and supervisors.
  9. The department shall make the administrative regulations necessary for the administration of this section.

History. Enact. Acts 1988, ch. 377, § 1, effective July 1, 1990; 1992, ch. 211, § 23, effective July 14, 1992; 1998, ch. 269, § 1, effective July 15, 1998.

196.080. Division of hospitals and mental hygiene. [Repealed.]

Compiler’s Notes.

This section (263b-2) was repealed by Acts 1952, ch. 50, § 34.

196.081. Kentucky State Corrections Commission — Membership. [Repealed and reenacted.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 497, § 1, effective July 13, 1990; 1992, ch. 211, § 24, effective July 14, 1992; 1992, ch. 255, § 9, effective July 14, 1992; 1994, ch. 227, § 7, effective July 15, 1994; 1998, ch. 426, § 129, effective July 15, 1998; 2000, ch. 14, § 16, effective July 14, 2000; 2001, ch. 58, § 18, effective June 21, 2001) was repealed, reenacted as KRS 196.701 and amended by Acts 2003, ch. 71, § 1, effective June 24, 2003.

196.090. Laboratory of criminal identification and statistics — Persons to cooperate with. [Repealed.]

Compiler’s Notes.

This section (4618-107) was repealed by Acts 1962, ch. 106, Art. III, § 3.

196.091. Online system based on state statistics of offenders for use in plea negotiations and sentencing.

The department shall develop an online system based on state statistics of actual offenders to provide courts, attorneys, probation and parole officers, and victims with objective information for use in plea negotiations and sentencing. The system shall include but not be limited to the following information:

  1. Sentencing information for all felonies, including the amount of time likely to be served for particular offenses;
  2. The offender’s risk assessment rating;
  3. The offender’s expected time to serve, including but not limited to parole eligibility date, good time release date, maximum expiration of sentence date, and the historic percentage of time served for similar offenders;
  4. The costs for various sentencing options and costs for various alternatives to incarceration; and
  5. The offender’s likelihood of being reincarcerated within two (2) years under the different sentencing options and alternatives, taking into account the offender’s risk assessment rating.

History. Enact. Acts 2011, ch. 2, § 67, effective July 1, 2013.

196.093. Duties of Department of Corrections in regard to centralized criminal history record information system.

  1. The Department of Corrections shall, in cooperation with the Department of Kentucky State Police, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Administrative Office of the Courts, be responsible for the recording of those data elements that are needed for the development of the centralized criminal history record information system.
  2. The database shall at a minimum contain the information required in KRS 27A.310 to 27A.440 .
  3. The Department of Corrections shall provide access to the Department of Kentucky State Police, the Department of Juvenile Justice, the Cabinet for Health and Family Services, and the Administrative Office of the Courts to its database.
  4. The Department of Corrections shall assign the same identification number or other variable to each person whose name appears in the database.

History. Enact. Acts 1986, ch. 389, § 3, effective July 15, 1986; 1992, ch. 211, § 41, effective July 14, 1992; 1998, ch. 606, § 19, effective July 15, 1998; 2005, ch. 99, § 169, effective June 20, 2005; 2007, ch. 85, § 226, effective June 26, 2007.

Legislative Research Commission Notes.

(6/26/2007). The numbering of subsections in this section has been altered by the Reviser of Statutes from the numbering in 2007 Ky. Acts ch. 85, sec. 226, under the authority of KRS 7.136 .

196.097. Department of Corrections to update database within thirty days of receipt of information from certain levels.

The Department of Corrections shall update their own database within thirty (30) days of receipt of information. The update shall include information from the:

  1. Offender level;
  2. Institutional level; and
  3. Informational and evaluational level.

History. Enact. Acts 1986, ch. 389, § 26, effective July 15, 1986; 1992, ch. 211, § 25, effective July 14, 1992.

196.099. Photographic record of inmates.

The department shall maintain a photographic record of each inmate committed to its custody, regardless of where that inmate is housed, and shall update that record once every two (2) years. The photographic record may be taken and stored digitally.

History. Enact. Acts 2001, ch. 15, § 1, effective June 21, 2001.

196.100. Department to make rules for institutions for feeble-minded. [Repealed.]

Compiler’s Notes.

This section (216aa-35: amend. Acts 1952, ch. 50, § 29) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.110. Department to study crime prevention methods — Encourage employment of inmates.

The department shall:

  1. Study the sources and causes of crime, delinquency, and dependency and suggest and put into effect remedial measures in the prevention and ultimate eradication of antisocial acts and conditions; and
  2. Encourage the employment of the inmates of the institutions under its control in such ways as will contribute to their physical, mental, and moral improvement and to meeting the cost of their maintenance. The department may utilize the product of inmate labor in the upkeep or maintenance of the respective institutions or for other departments of the state government, and may transfer from one (1) institution to another, or otherwise dispose of, any surplus products produced.

History. 216a-3, 216a-4: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 7, effective July 15, 1982; 1992, ch. 211, § 26, effective July 14, 1992.

Opinions of Attorney General.

There is no more direct method of carrying out the mandate of subsection (2) of this section than by the employment of inmates at such wages as will help in the cost of their upkeep and contribute to their well-being and the payment of reasonable “going” wages paid for similar services to persons not prisoners will help achieve that mandate; accordingly, the Department of Corrections could enter into a contract with a private employer manufacturing products on prison grounds where the prisoners were paid at specified prevailing rates. OAG 81-411 .

The manufacture of products by prisoners in a private production center on the prison grounds would not constitute public works or public construction within the meaning of subsection (3) of KRS 337.010 which would entitle the prisoners to the prevailing wage pursuant to KRS 337.505 . OAG 81-411 .

Research References and Practice Aids

Cross-References.

Classification, segregation or transfer of prisoners in penal institutions, KRS 197.065 .

Criminal identification activities of justice cabinet, KRS 17.115 .

Department to make rules for working prisoners, KRS 197.110 .

196.111. Evidence-based practices to be used in treatment and intervention programs — Standards — Funding restrictions.

  1. As used in this section, “evidence-based practices” means supervision policies, procedures, treatment and intervention programs, and practices that scientific research demonstrates reduce recidivism among inmates and individuals on probation, parole, or other form of post-release supervision when implemented competently.
  2. In order to increase the effectiveness of treatment and intervention programs funded by the state and provided by the department for inmates, probationers, and parolees, the department shall require that such programs use evidence-based practices.
  3. The department shall measure the effectiveness of each treatment and intervention program and demonstrate that the program has a documented evidence base and has been evaluated for effectiveness in reducing recidivism.
  4. The department shall promulgate administrative regulations to provide, at a minimum:
    1. A process for reviewing the objective criteria for evidence-based practices established by the agency providing the program;
    2. A process for auditing the effectiveness of the program;
    3. An opportunity for programs that do not meet the criteria based on the audit results to improve performance; and
    4. A mechanism to defund any program that does not meet the criteria upon a second audit.
  5. Beginning July 1, 2012, twenty-five percent (25%) of state moneys expended on programs shall be for programs that are in accordance with evidence-based practices. Beginning July 1, 2014, fifty percent (50%) of state moneys expended on programs shall be for programs that are in accordance with evidence-based practices. Beginning July 1, 2016, and thereafter, seventy-five percent (75%) of state moneys expended on programs shall be for programs that are in accordance with evidence-based practices.
  6. By fiscal year 2016-2017, the department shall eliminate supervision policies, procedures, programs, and practices intended to reduce recidivism that scientific research demonstrates do not reduce recidivism. However, the department may utilize a new supervision policy, procedure, program, or practice if the department determines that the new supervision policy, procedure, program, or practice has the potential for qualifying as an evidence-based practice after more scientific research is conducted.

History. Enact. Acts 2011, ch. 2, § 50, effective June 8, 2011; 2012, ch. 156, § 20, effective July 12, 2012.

196.120. Department may acquire farm lands.

  1. The Department of Corrections may lease or purchase farm lands, improved or unimproved, for the employment of the inmates of the institutions under its supervision. The Department of Corrections may prescribe administrative regulations for the support and maintenance of prisoners while at work on the farm, and may construct all necessary improvements on any lands purchased under this section.
  2. Before land is leased, the lease shall first be approved by the Governor and the lease shall be limited to the term of the Governor approving it. The contract price of the lease shall be certified to the Finance and Administration Cabinet and paid as other claims against the state.

History. 216a-22: amend. Acts 1974, ch. 74, Art. II, § 9(1), Art. V, § 24(14); 1982, ch. 344, § 8, effective July 15, 1982; 1992, ch. 211, § 27, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

State lands and buildings, KRS Chapter 56.

Working prisoners outside prison walls, Ky. Const., § 253; KRS 197.130 .

196.130. University to investigate lands that department wishes to acquire.

The University of Kentucky shall, at the request of the Department of Corrections, examine and report on any land which the Department of Corrections wishes to investigate with a view to purchase or lease, so that the Department of Corrections may be fully advised as to the quality and character of the soil, water supply, sanitation, and other agricultural and engineering problems. The university shall be entitled to receive its necessary expenses in connection with the investigation.

History. 216aa-34: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 9, effective July 15, 1982; 1992, ch. 211, § 28, effective July 14, 1992.

196.135. Compliance with KRS 100.361(2) required, when.

If the state proposes to acquire, construct, alter, or lease any land or structure to be used as a penal institution or correctional facility, and the proposed use is contrary to or inconsistent with local planning regulations or local comprehensive plans, the commissioner shall comply with the requirements of KRS 100.361(2). Failure to comply shall cause any transaction respecting the acquisition, construction, alteration, or lease to become null and void.

History. Enact. Acts 1984, ch. 178, § 2, effective July 13, 1984; 1992, ch. 211, § 29, effective July 14, 1992.

NOTES TO DECISIONS

Cited in:

Edelen v. County of Nelson, 723 S.W.2d 887, 1987 Ky. App. LEXIS 431 (Ky. Ct. App. 1987).

Opinions of Attorney General.

Constitution, § 254, KRS 196.070 , and this section do not permit the Corrections Cabinet (now Department of Corrections) and the Commonwealth to contract with a private vendor to operate a community residential correctional center under KRS 439.590 , free from the supervision, administration and disciplinary control of corrections officials; neither the Constitution nor statutes of Kentucky permit such extraordinary delegation of authority. OAG 84-356 .

Under the statutes relating to the duties of the Secretary of the Corrections Cabinet (now Department of Corrections), penal institutions must be directly supervised, administered and operated by the Corrections Cabinet (now Department of Corrections); there are no statutes permitting corrections to delegate such operational function to any other agency or to private enterprise. OAG 84-356 .

196.140. Condemnation by department.

When it is necessary for the department to own real estate for its use and it is unable to acquire the property by purchase, the department may condemn the real estate for its use and purposes in the manner set forth in the Eminent Domain Act of Kentucky.

History. 216aa-33: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1976, ch. 140, § 88; 1982, ch. 344, § 10, effective July 15, 1982; 1992, ch. 211, § 30, effective July 14, 1992.

Compiler’s Notes.

The Eminent Domain Act of Kentucky is compiled as KRS 416.540 to 416.680 .

196.150. Department may use money received from federal government.

The Department of Corrections may accept money from the federal government, or any of its agencies, under any grant agreement entered into by the State of Kentucky or the Department of Corrections. The money may be expended for capital outlay in accordance with the provisions of KRS 56.440 to 56.550 .

History. 216aa-25a: amend. Acts 1952, ch. 50, § 30; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 11, effective July 15, 1982; 1992, ch. 211, § 31, effective July 14, 1992.

196.160. Appointment of personnel for each institution — Dress and grooming requirements — Contributions to hazardous duty retirement program — Career retention program.

  1. The commissioner shall appoint a warden, a receiver, and other necessary employees for each of the state penal and correctional institutions. The compensation of these officers and employees may include maintenance. The commissioner may require these officers and employees to wear uniforms and to adopt, amend, or rescind administrative regulations governing dress and grooming standards of these uniformed officers and employees.
  2. The department shall make the contributions required by KRS 61.592 for participation in the hazardous duty retirement program by its employees in those positions in state correctional institutions and the Kentucky Correctional Psychiatric Center with duties that regularly and routinely require face-to-face contact with inmates.
  3. For those employees included in subsection (2) of this section and those whose primary workplace is a state correctional institution or the Kentucky Correctional Psychiatric Center, the department shall institute a career retention program, including salary improvements earned through extended time in qualifying public service. Salary improvements shall be effected by increasing the base salary of each employee in the career retention program by a set monthly amount after the employee’s completion of the first two (2), four (4), six (6), eight (8), and ten (10) years of employment served after, and not prior to, July 1, 2002. The amount of the base salary increase to be awarded an employee after the employee’s completion of a qualifying amount of public service under this subsection shall be as set out in the executive branch budget for each biennium following the 2002-2004 biennium in an amount calculated to recruit and retain qualified correctional personnel. Salary increases required by this subsection shall be in addition to any other increase authorized by law.

History. 216aa-8: amend. Acts 1952, ch. 50, § 31; 1958, ch. 126, § 25; 1962, ch. 106, Art. X, § 6; 1982, ch. 344, § 12, effective July 15, 1982; 1984, ch. 401, § 1, effective July 13, 1984; 1990, ch. 460, § 2, effective July 13, 1990; 1992, ch. 211, § 32, effective July 14, 1992; 1992, ch. 445, § 3, effective July 14, 1992; 2002, ch. 219, § 1, effective July 15, 2002.

NOTES TO DECISIONS

1.Funds Not Appropriated.

Ky. Const. § 230 provided that no money shall be drawn from the State Treasury unless it was appropriated, and since the funds for the career retention program authorized in KRS 196.160 were never appropriated, they could not be drawn from the Treasury in order to create the program. It was the General Assembly alone that had the power to determine how the people’s money would be spent; therefore, as the General Assembly never appropriated funds for the implementation of KRS 196.160 , its efficacy had been eliminated, and the police union and the corrections officers’ claims under it were without merit. FOP Barkley Lodge # 60, Inc. v. Fletcher, 618 F. Supp. 2d 712, 2008 U.S. Dist. LEXIS 12645 (W.D. Ky. 2008 ).

196.165. Purchase of liability insurance for department’s health care professionals.

  1. The commissioner of the Department of Corrections may, with the approval of the Finance and Administration Cabinet, purchase liability insurance for the protection of health care professionals employed by or serving the department to protect them from liability for acts, omissions, and claims of medical and professional malpractice arising in the course and scope of their employment or service to the department.
  2. The commissioner may purchase the type and amount of liability coverage deemed appropriate to best serve the department’s interest.

History. Enact. Acts 1992, ch. 445, § 1, effective July 14, 1992.

196.167. Transfer of employees, property, and records associated with inmate education from the Kentucky Community and Technical College System to the department — Employee benefits.

  1. Effective July 1, 2010, faculty and staff of the Kentucky Community and Technical College System who:
    1. Are engaged in providing educational services and support to inmates at institutions; and
    2. Exercise the option in subsection (4) of this section;

      shall be transferred to the Department of Corrections along with the funding associated with those employees. The Personnel Cabinet shall assist the department in implementing the transfer of employees according to this section.

  2. Employees transferred pursuant to subsection (1) of this section shall retain:
    1. Their salaries and leave time balances accumulated as of the transfer date;
    2. For purposes of determining leave time accumulation, the date of initial employment with a state agency or a postsecondary educational institution, whichever is earlier; and
    3. For purposes of calculating retirement and retiree health benefits and contributions, the earlier of the date of initial participation in:
      1. A state-administered retirement system if the employee has participated or is participating in the Kentucky Employees Retirement System or the Kentucky Teachers’ Retirement System; or
      2. A defined contribution plan that meets requirements of 26 U.S.C. sec. 403(b) , for employees of the Kentucky Community and Technical College System.

        Nothing in this paragraph shall be construed to provide additional service credit for the employee prior to the transfer date other than what has been credited to the appropriate retirement system.

  3. Employees exercising their option under subsection (4) of this section may elect to be covered under KRS Chapter 18A and receive:
    1. All rights and benefits provided to other employees in the department; and
    2. Their choice of retirement benefits under:
      1. The Kentucky Teachers’ Retirement System; or
      2. Hazardous duty retirement benefits under the Kentucky Employees Retirement System with hazardous duty contributions and coverage beginning July 1, 2010. The hazardous duty retirement benefits shall be calculated in accordance with KRS 61.510 to 61.705 .
  4. Employees of the Kentucky Community and Technical College System engaged in providing educational services and support to inmates at institutions shall choose whether to remain in their present employment and be assigned to the department to continue providing these services, or become an employee of the department under the terms of this section. Employees shall make their choice on or before June 15, 2010, and shall have access to counseling prior to June 15, 2010, by representatives of the department, the Kentucky Community and Technical College System, applicable retirement systems, and the Personnel Cabinet concerning the effect that choosing employment with the department would have on the employee. If an employee does not make a choice on or before June 15, 2010, that employee shall be deemed to have chosen to exercise the option to become an employee of the department with retirement benefits described in subsection (3)(b)2. of this section.
  5. Effective July 1, 2010, all instructional supplies, equipment, funds, and records of the Kentucky Community and Technical College System associated with the provision of educational services and support to inmates at institutions shall be transferred to the department along with all financial and management oversight responsibility and liability for these programs.

History. Enact. Acts 2010, ch. 104, § 1, effective April 8, 2010.

Legislative Research Commission Notes.

(4/8/2010). 2010 Ky. Acts ch. 104, sec. 5, provides that for employees electing to be covered under KRS Chapter 18A pursuant to subsection (3)(b)2. of this section, hazardous duty contributions, coverage, and benefits shall begin July 1, 2010, and hazardous duty coverage shall continue while the employee is employed with the Department of Corrections in a position providing educational service and support to inmates.

196.170. Oath of superintendents and receivers. [Repealed.]

Compiler’s Notes.

This section (216aa-10, 216aa-15: amend. Acts 1946, ch. 27, § 17) was repealed by Acts 1962, ch. 106, Art. X, § 11.

196.171. Corrections personnel to take educational course on AIDS.

  1. The Department of Corrections shall develop an educational course on the human immunodeficiency virus infection and acquired immunodeficiency syndrome approved by the Cabinet for Health and Family Services of not more than four (4) hours for the instruction of corrections personnel who have day-to-day contact with incarcerated persons and personnel who may be expected to respond to crisis situations. The literature and training curriculum shall include information of known modes of transmission and methods of controlling and preventing these diseases with an emphasis on appropriate behavior and attitude change. The training may be part of any continuing education program.
  2. All persons referred to in subsection (1) of this section shall successfully complete the training required. Any person holding the position referred to in subsection (1) of this section shall not fill that position for more than one (1) year without successful completion of the required training. If a person does not successfully complete the required training within the time specified, he shall be suspended from further service until he successfully completes the required training.

History. Enact. Acts 1990, ch. 443, § 33, effective July 13, 1990; 1992, ch. 211, § 33, effective July 14, 1992; 1998, ch. 426, § 130, effective July 15, 1998; 2005, ch. 99, § 170, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

196.173. Pregnant inmates housed in jail, penitentiary, local or state correctional or detention facility, residential center, or reentry center — Permissible and impermissible restraints.

  1. Except as provided in subsection (2) of this section, an inmate housed in a jail, penitentiary, or local or state correctional or detention facility, residential center, or reentry center who is known to be pregnant shall be restrained solely with handcuffs in front of her body unless further restraint is required to protect herself or others.
    1. Except in an extraordinary circumstance, no inmate who is known to be pregnant shall be restrained during labor, during transport to a medical facility or birthing center for delivery, or during postpartum recovery. (2) (a) Except in an extraordinary circumstance, no inmate who is known to be pregnant shall be restrained during labor, during transport to a medical facility or birthing center for delivery, or during postpartum recovery.
    2. As used in this subsection, “extraordinary circumstance” means that reasonable grounds exist to believe the inmate presents an immediate and credible:
      1. Serious threat of hurting herself, staff, or others; or
      2. Risk of escape that cannot be reasonably minimized through any method other than restraints.

HISTORY: 2018 ch. 115, § 2, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). Pursuant to 2018 Ky. Acts ch. 115, sec. 12, that Act shall be known as the Women’s Dignity in the Justice System Act. This statute was created in Section 2 of that Act.

196.180. Duties of warden — Removal — Expungement of dismissed or voided disciplinary reports.

  1. The warden shall have the general management of the institution, and the inmates thereof, subject to the administrative regulations of the Department of Corrections, and he or she shall devote his or her entire time to the duties of his or her office.
  2. The warden of each institution shall be held responsible for the management of his or her institution and shall be subject to removal at any time by the commissioner.
  3. The warden of each Department of Corrections institution shall expunge inmate prison disciplinary reports that have been dismissed or otherwise ordered void, and shall further remove any reference to dismissed or voided disciplinary reports from inmate records.

History. 216aa-11, 216aa-20: amend. Acts 1952, ch. 50, § 32; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 13, effective July 15, 1982; 1984, ch. 401, § 2, effective July 13, 1984; 1992, ch. 211, § 34, effective July 14, 1992; 2010, ch. 107, § 2, effective July 15, 2010.

NOTES TO DECISIONS

1.Removal.

The superintendent of a state institution need not be tried in a court established by the constitution before he can be removed from office. Willis v. Scott, 146 Ky. 547 , 142 S.W. 1012, 1912 Ky. LEXIS 88 ( Ky. 1912 ) (decided under prior law).

Opinions of Attorney General.

The state’s responsibility to furnish to indigent prisoners medical care is reasonably implied under its custodial management responsibility which is express under this section. OAG 71-361 .

Where an indigent penitentiary prisoner in the custody of a county jailer for the purpose of a hearing became ill and was hospitalized, the Department of Corrections was responsible for the payment of the medical bill. OAG 71-361 .

196.190. Duties of receiver.

The receiver shall receive all goods and supplies purchased for the institution, take charge of them, see that they correspond with the bills accompanying them, in character, quality, and quantity, and distribute them to each department of the institution as the warden directs by written order. The receiver shall open an account with each department in a book for that purpose, charging therein the cost price for all goods so received and distributed. The books shall be open at all times for inspection by the warden, the commissioner, the secretary, the Governor, a committee of the Legislature, or any person appointed by either for examination.

History. 216aa-14: amend. Acts 1982, ch. 344, § 14, effective July 15, 1982; 1992, ch. 211, § 35, effective July 14, 1992.

196.200. Qualifications of superintendent and employes in institutions. [Repealed.]

Compiler’s Notes.

This section (216aa-9: amend. Acts 1952, ch. 50, § 33) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.210. Members of board not to recommend employees — Officers to be selected for merit.

  1. No advisory member of the board shall recommend or urge that any person shall be employed in any institution.
  2. All officers and employees of the Department of Corrections shall be selected for merit and fitness only and, with the exception of persons employed for special or temporary service, shall give all of their time to the service of the Department of Corrections.

History. 216aa-19, 216aa-20: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 15, effective July 15, 1982; 1992, ch. 211, § 36, effective July 14, 1992.

196.220. Employees in institutions exempt from attendance as witnesses.

No officer or employee of any institution shall be required to give personal attendance as a witness in any civil suit out of the county in which the institution is situated, but his deposition shall be taken in lieu thereof.

History. 216aa-22.

196.230. Officers not to sell to institutions — Additional compensation and gifts forbidden.

  1. No officer in the department shall sell anything to any institution under the control of the Department of Corrections, or make any contract, in which he is interested, with the institution.
  2. Officers and employees shall not be entitled to receive any compensation for their services other than the salary paid them by the state.
  3. No officer or employee of the Department of Corrections or any of the institutions under its control shall accept any fee or gift for any purpose from any person who has at the time or has had a contract to do anything connected with the Department of Corrections or an institution.

History. 216aa-7, 216aa-17, 216aa-21: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 16, effective July 15, 1982; 1992, ch. 211, § 37, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

Officers receiving interest or profit on public money, penalty, KRS 522.050 .

196.240. Religious instruction and ministration for persons confined. [Repealed.]

Compiler’s Notes.

This section (419, 420) was repealed by Acts 1994, ch. 418, § 19, effective July 15, 1994.

196.245. Commissioner may permit or prohibit smoking by inmates.

The commissioner may permit or prohibit the practice of smoking by the inmates of the penal institutions, regardless of the age of the inmates, when he believes the regulation will enhance or improve the discipline of the inmates of these institutions.

History. Enact. Acts 1952, ch. 139, § 1; 1962, ch. 106, Art. X, § 7; 1980, ch. 188, § 145, effective July 15, 1980; 1982, ch. 344, § 17, effective July 15, 1982; 1992, ch. 211, § 38, effective July 14, 1992.

196.250. Charitable organizations not to solicit funds out of county without license. [Repealed.]

Compiler’s Notes.

This section (216aa-32: amend. Acts 1974, ch. 74, Art. V, § 24 (14)) was repealed by Acts 1978, ch. 155, § 165.

196.260. Department may investigate charitable institutions. [Repealed.]

Compiler’s Notes.

This section (216a-3: amend. Acts 1974, ch. 74, Art. V, § 24 (14)) was repealed by Acts 1978, ch. 155, § 165.

196.270. Centralized canteen operation — Management — Use of proceeds.

There shall be established and maintained within the Department of Corrections a centralized canteen operation which shall be incorporated and self-supporting. Each institution administered by the department and each institution which operates under a contract between the state and a private provider shall participate in the canteen operation. The directors of the canteen shall be as follows: the commissioner of the Department of Corrections, the deputy commissioner of Adult Institutions, the executive director of the Division of Administrative Services, and the wardens of all state and private correctional institutions. All profits from the canteen, including the sale of handicrafts made by inmates to the general public, shall be used exclusively for the benefit of the inmates of the department. The directors of the canteen may consolidate the assets of the existing state and private canteens for this purpose and to employ the staff and inmates necessary to efficiently manage the canteen. Assets and profits from the operation of private canteens shall be accounted for separately and utilized exclusively for the benefit of inmates in private prisons.

History. Enact. Acts 1948, ch. 170, § 1; Acts 1974, ch. 74, Art. V, § 24(14); 1978, ch. 155, § 120, effective June 17, 1978; 1982, ch. 344, § 18, effective July 15, 1982; 1984, ch. 106, § 3, effective July 13, 1984; 1990, ch. 497, § 28, effective July 13, 1990; 1992, ch. 211, § 39, effective July 14, 1992; 1994, ch. 227, § 8, effective July 15, 1994; 1998, ch. 406, § 2, effective July 15, 1998.

Opinions of Attorney General.

Money from the canteen fund may not be placed on time deposit for an extended period of time as profits from the canteen fund should be plowed back into the canteen operation for the exclusive benefit of the inmates and not be used for extraneous investments. OAG 74-279 .

196.280. Notification of release of person from penitentiary, facility for youthful offenders, regional jail, or county jail — Escape.

    1. The Department of Corrections shall provide or contract with a private entity to provide to members of the public who have made a notification request, notification of the release of an incarcerated person from a penitentiary, as defined in KRS 197.010 , facility for youthful offenders, regional jail, or county jail. The warden, jailer, or chief administrator, or a person designated by the warden, jailer, or chief administrator, of a penitentiary, facility for youthful offenders, regional jail, or county jail, shall make available to the Department of Corrections, or any private entity under contract with the Department of Corrections, the information necessary to implement this section in a timely manner and before the release of any incarcerated person from the penitentiary, facility for youthful offenders, regional jail, or county jail. The Department of Corrections or the private entity under contract with the Department of Corrections shall be responsible for retrieving the information and notifying the requester in accordance with administrative regulations promulgated by the Department of Corrections. (1) (a) The Department of Corrections shall provide or contract with a private entity to provide to members of the public who have made a notification request, notification of the release of an incarcerated person from a penitentiary, as defined in KRS 197.010 , facility for youthful offenders, regional jail, or county jail. The warden, jailer, or chief administrator, or a person designated by the warden, jailer, or chief administrator, of a penitentiary, facility for youthful offenders, regional jail, or county jail, shall make available to the Department of Corrections, or any private entity under contract with the Department of Corrections, the information necessary to implement this section in a timely manner and before the release of any incarcerated person from the penitentiary, facility for youthful offenders, regional jail, or county jail. The Department of Corrections or the private entity under contract with the Department of Corrections shall be responsible for retrieving the information and notifying the requester in accordance with administrative regulations promulgated by the Department of Corrections.
    2. If an incarcerated person escapes from any penitentiary, facility for youthful offenders, regional jail, or county jail, the warden, jailer, or chief administrator, or a person designated by the warden, jailer, or chief administrator, shall immediately provide the information necessary to implement this section.
    3. If, upon a hearing, a court releases an incarcerated person and the incarcerated person does not return to the penitentiary, facility for youthful offenders, regional jail, or county jail, the warden, jailer, or chief administrator, or a person designated by the warden, jailer, or chief administrator, shall provide the information necessary to implement this section as soon as practicable.
  1. The Department of Corrections shall promulgate administrative regulations for the implementation of this section.

History. Enact. Acts 1996, ch. 375, § 1, effective July 15, 1996; 2000, ch. 400, § 1, effective July 14, 2000; 2006, ch. 182, § 20, effective July 12, 2006.

196.285. Intensive secured substance abuse recovery program.

  1. The department shall develop an intensive secured substance abuse recovery program utilizing existing resources or by contract to house and care for persons suffering from substance abuse who have been charged with a felony offense.
  2. The program shall accept persons referred to it under KRS 533.250 and 533.251 .
  3. Persons may agree to be ordered into the program for a period of not less than ninety (90) days and not more than three hundred sixty-five (365) days. No person shall be involuntarily ordered into the program, a commitment shall not occur before the court has considered an evaluation of the defendant’s treatment needs and conducted a hearing where the defendant may appear with counsel with an opportunity to present evidence on his or her own behalf, and persons in the program may petition the court to review the program’s determination as to the length of time the person is to remain in the program or to issue an order to leave the program, which the court shall grant upon request, at any time. However, that departure shall constitute a material breach of any agreement to hold the person’s case in abeyance or of the person’s pretrial diversion agreement. The court shall revoke a defendant’s program commitment over the defendant’s objection prior to the expiration of the commitment period only pursuant to an order of the committing court issued after the court has conducted a hearing on the matter where the defendant may appear with counsel and present evidence on his or her behalf.
  4. The department shall locate the program in a secure facility with security standards comparable to those found in a minimum security correctional institution operated by the department.
  5. The program shall be capable of concurrently housing no fewer than two hundred (200) persons. The department shall have regulatory authority, when the program is at or near capacity, to prioritize admissions to the program.
  6. The program’s recovery component shall be designed to serve the committed person’s substance abuse condition, and to provide the person with the skills and training needed to prevent the person from engaging in substance abuse upon release from the program. The program shall provide each person leaving the program with an aftercare plan, which shall include a referral to a local substance abuse provider capable of providing a level of continuing substance abuse care appropriate to the released person’s needs. In designing the program, the department shall consult with and may contract with the Division of Behavioral Health.

History. Enact. Acts 2009, ch. 96, § 1, effective March 24, 2009.

Legislative Research Commission Notes.

(7/12/2012). 2012 Ky. Acts ch. 158, sec. 84, instructs the Reviser of Statutes to correct statutory references to agencies and officers affected by the reorganization of the Cabinet for Health and Family Services in that Act. Accordingly, in subsection (6) of this statute, “Division of Mental Health and Substance Abuse Services” has been changed to “Division of Behavioral Health.”

196.286. Measurement and documentation of cost savings from 2011 Ky. Acts ch. 2, secs. 5 to 22 — Average cost of incarceration — Savings to benefit treatment programs — Budget requests and enactments.

  1. The department shall measure and document cost savings resulting from amendments to or creation of statutes in KRS Chapter 218A contained in 2011 Ky. Acts ch. 2, secs. 5 to 22. Measured and documented savings shall be reinvested or distributed as provided in this section.
  2. The Department of Corrections shall establish a baseline for measurement using the average number of inmates incarcerated at each type of penitentiary as defined in KRS 197.010 and at local jails in fiscal year 2010-2011.
  3. The department shall determine the average cost of incarceration for each type of penitentiary as defined in KRS 197.010 and for local jails, including health care costs, transportation costs, and other related costs, for one (1) inmate for one (1) year for the immediately preceding fiscal year.
  4. Beginning with the budget request for the 2012-2014 fiscal biennium, savings shall be estimated using the baseline established in subsection (2) of this section to determine the estimated average reduction of inmates due to the implementation of amendments to or creation of statutes in KRS Chapter 218A contained in 2011 Ky. Acts ch. 2, secs. 5 to 22 and multiplied by the appropriate average cost determined in subsection (3) of this section.
  5. The estimated amount of savings shall be used solely for expanding and enhancing treatment programs that employ evidence-based or promising practices designed to reduce the likelihood of future criminal behavior, which shall include treatment programs at existing facilities as outlined in KRS 196.287 .
  6. The amount of savings shall be estimated each year of the 2012-2014 fiscal biennium, and for each year of each fiscal biennium thereafter, as specified in subsection (4) of this section.
  7. In submitting its budget request for the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the department shall estimate the amount of savings measured under this section, and shall request the amount necessary to distribute or allocate those savings as provided in subsection (5) of this section.
  8. In enacting the budget for the department, beginning in the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the General Assembly shall determine the estimated amount necessary for reinvestment in programs and initiatives as provided by subsection (5) of this section, based upon projected savings as measured by this section, and shall ensure that appropriations to the department are sufficient to meet the funding requirements of this section.

History. Enact. Acts 2011, ch. 2, § 23, effective June 8, 2011.

196.287. Portion of savings identified in KRS 196.286 to be used to expand treatment programs in existing state penal institutions.

The department shall use a portion of the savings identified in KRS 196.286 to expand treatment programs at its existing state penal institutions, including the expansion or creation of treatment programs at facilities that are currently being underutilized if those facilities are appropriate locations for treatment programs or could be modified easily to accommodate treatment programs.

History. Enact. Acts 2011, ch. 2, § 24, effective June 8, 2011.

196.288. Measurement and documentation of cost savings resulting from 2011 Ky. Acts ch. 2 — Reinvestment or distribution of savings — Determination of average cost of services — Budget allocations.

  1. The department shall measure and document cost savings resulting from amendments to or creation of statutes in KRS Chapters 27A, 196, 197, 431, 439, 532, 533, and 534 contained in 2011 Ky. Acts ch. 2. Measured and documented savings shall be reinvested or distributed as provided in this section.
  2. The department shall establish a baseline for measurement using the average number of inmates incarcerated at each type of penitentiary as defined in KRS 197.010 and at local jails in fiscal year 2010-2011.
  3. The department shall determine the average cost of:
    1. Incarceration for each type of penitentiary as defined in KRS 197.010 and for local jails, including health care costs, transportation costs, and other related costs, for one (1) inmate for one (1) year for the immediately preceding fiscal year;
    2. Providing probation and parole services for one (1) parolee for one (1) year for the immediately preceding fiscal year; and
    3. Reentry services and peer support as a condition of parole for those with opiate addiction and other substance abuse disorders.
  4. Beginning with the budget request for the 2012-2014 fiscal biennium, savings shall be estimated from the baseline established in subsection (2) of this section as follows:
    1. The estimated average reduction of inmates due to mandatory reentry supervision as required by KRS 439.340 6 multiplied by the appropriate average cost as determined in subsection (3)(a) of this section;
    2. The estimated average reduction of inmates due to accelerated parole hearings as required by KRS 439.340 multiplied by the appropriate average cost as determined in subsection (3)(a) of this section;
    3. The estimated average increase of parolees due to paragraphs (a) and (b) of this subsection multiplied by the average cost as determined in subsection (3)(b) of this section; and
    4. The estimated average reduction of parolees due to parole credit for good behavior as provided in KRS 439.345 multiplied by the average cost as determined in subsection (3)(b) of this section.
  5. The following amounts shall be allocated or distributed from the estimated amount of savings that would otherwise remain in the general fund:
    1. Twenty-five percent (25%) shall be distributed to the local corrections assistance fund established by KRS 441.207 ;
    2. Fifty percent (50%) shall be distributed for the following purposes:
      1. To the department to provide or to contract for the provision of substance abuse treatment in county jails, regional jails, or other local detention centers that employ evidence-based practices in behavioral health treatment or medically assisted treatment for nonstate inmates with opiate addiction or other substance abuse disorders;
      2. For KY-ASAP programs operating under KRS Chapter 15A in county jails or in facilities under the supervision of county jails that employ evidence-based behavioral health treatment or medically assisted treatment for inmates with opiate addiction or other substance abuse disorders;
      3. To KY-ASAP to provide supplemental grant funding to community mental health centers for the purpose of offering additional substance abuse treatment resources through programs that employ evidence-based behavioral health treatment or medically assisted treatment;
      4. To KY-ASAP to address neonatal abstinence syndrome by providing supplemental grant funding to community substance abuse treatment providers to offer residential treatment services to pregnant women through programs that employ evidence-based behavioral health treatment or medically assisted treatment;
      5. To provide supplemental funding for traditional KY-ASAP substance abuse programming under KRS Chapter 15A;
      6. To the department for the purchase of FDA-approved medication-assisted treatment products as a component of evidence-based treatment for inmates with opioid dependence, opioid use disorder, or other substance abuse disorders, for use in substance abuse treatment programs operated or supervised by the department. In purchasing such FDA-approved products, the department shall consider products and treatments that may minimize the risk of diversion;
      7. To the Department of Public Advocacy to provide supplemental funding to the Social Worker Program for the purpose of creating additional social worker positions to develop individualized alternative sentencing plans; and
      8. To the Prosecutors Advisory Council to enhance the use of rocket docket prosecutions in controlled substance cases; and
    3. In enacting the budget for the department and the judicial branch, beginning in the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the General Assembly shall:
      1. Determine the estimated amount necessary for reinvestment in:
        1. Expanded treatment programs and expanded probation and parole services provided by or through the department; and
        2. Additional pretrial services and drug court case specialists provided by or through the Administrative Office of the Courts; and
      2. Shall allocate and appropriate sufficient amounts to fully fund these reinvestment programs.
  6. The amount of savings shall be estimated each year of the 2012-2014 fiscal biennium, and for each year of each fiscal biennium thereafter, as specified in subsection (4) of this section.
    1. In submitting its budget request for the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the department shall estimate the amount of savings measured under this section and shall request the amount necessary to distribute or allocate those savings as provided in subsection (5) of this section. (7) (a) In submitting its budget request for the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the department shall estimate the amount of savings measured under this section and shall request the amount necessary to distribute or allocate those savings as provided in subsection (5) of this section.
    2. In submitting its budget request for the 2012-2014 fiscal biennium and each fiscal biennium thereafter, the judicial branch shall request the amount necessary to distribute or allocate those savings as provided in subsection (5) of this section.

History. Enact. Acts 2011, ch. 2, § 68, effective June 8, 2011; 2015 ch. 66, § 3, effective March 25, 2015; 2017 ch. 167, § 14, effective June 29, 2017; 2018 ch. 61, § 2, effective April 2, 2018.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, H, 5, d, (1) at 891.

Kentucky Law Journal.

Article: Pretrial Detention in Kentucky: An Analysis of the Impact of House Bill 463 During the First Two Years of Its Implementation, 102 Ky. L.J. 777.

Division of Hospitals and Mental Hygiene

196.350. Functions of the Division of Hospitals and Mental Hygiene. [Repealed.]

Compiler’s Notes.

This section (263b-2) was repealed by Acts 1952, ch. 50, § 34.

196.360. Director — Appointment — Duties. [Repealed.]

Compiler’s Notes.

This section (263b-4, 263b-6) was repealed by Acts 1952, ch. 50, § 34.

196.370. Appointment of assistant director and superintendents. [Repealed.]

Compiler’s Notes.

This section (263b-6) was repealed by Acts 1952, ch. 50, § 34.

196.380. Duties of superintendents. [Repealed.]

Compiler’s Notes.

This section (263b-8) was repealed by Acts 1952, ch. 50, § 34.

196.390. Removal of officers and employees. [Repealed.]

Compiler’s Notes.

This section (263b-7) was repealed by Acts 1952, ch. 50, § 34.

196.400. Transfer of personnel. [Repealed.]

Compiler’s Notes.

This section (263b-13) was repealed by Acts 1952, ch. 50, § 34.

196.410. Political activities prohibited. [Repealed.]

Compiler’s Notes.

This section (263b-15) was repealed by Acts 1952, ch. 50, § 34.

196.420. Duties of field liaison officer — Use of other employees. [Repealed.]

Compiler’s Notes.

This section (263b-11) was repealed by Acts 1952, ch. 50, § 34.

196.430. Qualifications of officers and employes. [Repealed.]

Compiler’s Notes.

This section (263b-9) was repealed by Acts 1952, ch. 50, § 34.

196.440. Minimum salary of certain officers and employees. [Repealed.]

Compiler’s Notes.

This section (263b-10) was repealed by Acts 1950, ch. 123, § 29 and Acts 1952, ch. 50, § 34.

196.450. Inspection of institutions. [Repealed.]

Compiler’s Notes.

This section (263b-14) was repealed by Acts 1952, ch. 50, § 34.

Farm Management

196.460. Bureau of corrections — Commissioner — Appointment — Qualifications. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. VI, § 1; 1974, ch. 74, Art. V, § 24(19), (20)) was repealed by Acts 1978, ch. 155, § 165.

196.470. Functions of division. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. VI, § 2) was repealed by Acts 1978, ch. 155, § 165.

196.480. Advisory Board of Farm Management. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. VI, § 3) was repealed by Acts 1962, ch. 106, Art. X, § 11.

196.490. Funds for administering KRS 196.460 to 196.490. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956 (1st Ex. Sess.), ch. 7, Art. VI, § 4; 1974, ch. 74, Art. V, § 24(19)) was repealed by Acts 1978, ch. 155, § 165, effective June 17, 1978.

Division of Mental Retardation

196.510. Division of Mental Retardation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VI, § 1) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.520. Functions of division. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VI, § 2) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.530. Power to enter into cooperative agreements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VI, § 3) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.540. Duties of division. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VI, § 4) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

196.550. Mental Retardation Board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VI, § 5) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

Interstate Corrections Compact

196.610. Interstate Corrections Compact.

The Interstate Corrections Compact is hereby enacted into law and entered into by this state with any other states legally joining therein in the form substantially as follows:

History. Enact. Acts 1970, ch. 154, § 3; 1988, ch. 283, § 4, effective July 15, 1988; 2012, ch. 146, § 25, effective July 12, 2012.

INTERSTATE CORRECTIONS COMPACT

ARTICLE I Purpose and Policy

The party states, desiring by common action to fully utilize and improve their institutional facilities and provide adequate programs for the confinement, treatment and rehabilitation of various types of offenders, declare that it is the policy of each of the party states to provide such facilities and programs on a basis of cooperation with one another, thereby serving the best interests of such offenders and of society and effecting economies in capital expenditure and operational costs. The purpose of this compact is to provide for the mutual development and execution of such programs of cooperation for the confinement, treatment and rehabilitation of offenders with the most economical use of human and material resources.

ARTICLE II Definitions

As used in this compact, unless the context clearly requires otherwise:

  1. “State” means a state of the United States; the United States of America; a territory or possession of the United States; the District of Columbia; the Commonwealth of Puerto Rico.
  2. “Sending state” means a state party to this compact in which conviction or court commitment was had.
  3. “Receiving state” means a state party to this compact to which an inmate is sent for confinement other than a state in which conviction or court commitment was had.
  4. “Inmate” means a male or female offender who is committed, under sentence to or confined in a penal or correctional institution.
  5. “Institution” means any penal or correctional facility, including but not limited to a facility for the mentally ill or individuals with an intellectual disability, in which inmates as defined in (d) above may lawfully be confined.

ARTICLE III Contracts

  1. Each party state may make one or more contracts with any one or more of the other party states for the confinement of inmates on behalf of a sending state in institutions situated within receiving states. Any such contract shall provide for:
    1. Its duration.
    2. Payments to be made to the receiving state by the sending state for inmate maintenance, extraordinary medical and dental expenses, and any participation in or receipt by inmates of rehabilitative or correctional services, facilities, programs or treatment not reasonably included as part of normal maintenance.
    3. Participation in programs of inmate employment, if any; the disposition or crediting of any payments received by inmates on account thereof; and the crediting of proceeds from or disposal of any products resulting therefrom.
    4. Delivery and retaking of inmates.
    5. Such other matters as may be necessary and appropriate to fix the obligations, responsibilities and rights of the sending and receiving states.
  2. The terms and provisions of this compact shall be a part of any contract entered into by the authority of or pursuant thereto, and nothing in any such contract shall be inconsistent therewith.

ARTICLE IV Procedures and Rights

  1. Whenever the duly constituted authorities in a state party to this compact, and which has entered into a contract pursuant to article III, shall decide that confinement in, or transfer of an inmate to, an institution within the territory of another party state is necessary or desirable in order to provide adequate quarters and care or an appropriate program of rehabilitation or treatment, said officials may direct that the confinement be within an institution within the territory of said other party state, the receiving state to act in that regard solely as agent for the sending state.
  2. The appropriate officials of any state party to this compact shall have access, at all reasonable times, to any institution in which it has a contractual right to confine inmates for the purpose of inspecting the facilities thereof and visiting such of its inmates as may be confined in the institution.
  3. Inmates confined in an institution pursuant to the terms of this compact shall at all times be subject to the jurisdiction of the sending state and may at any time be removed therefrom for transfer to a prison or other institution within the sending state, for transfer to another institution in which the sending state may have a contractual or other right to confine inmates, for release on probation or parole, for discharge, or for any other purpose permitted by the laws of the sending state; provided that the sending state shall continue to be obligated to such payments as may be required pursuant to the terms of any contract entered into under the terms of Article III.
  4. Each receiving state shall provide regular reports to each sending state on the inmates of that sending state in institutions pursuant to this compact including a conduct record of each inmate and certify said record to the official designated by the sending state, in order that each inmate may have official review of his or her record in determining and altering the disposition of said inmate in accordance with the law which may obtain in the sending state and in order that the same may be a source of information for the sending state.
  5. All inmates who may be confined in an institution pursuant to the provisions of this compact shall be treated in a reasonable and humane manner and shall be treated equally with such similar inmates of the receiving state as may be confined in the same institution. The fact of confinement in a receiving state shall not deprive any inmate so confined of any legal rights which said inmate would have had if confined in an appropriate institution of the sending state.
  6. Any hearing or hearings to which an inmate confined pursuant to this compact may be entitled by the laws of the sending state may be had before the appropriate authorities of the sending state, or of the receiving state if authorized by the sending state. The receiving state shall provide adequate facilities for such hearings as may be conducted by the appropriate officials of a sending state. In the event such hearing or hearings are had before officials of the receiving state, the governing law shall be that of the sending state and a record of the hearing or hearings as prescribed by the sending state shall be made. Said record together with any recommendations of the hearing officials shall be transmitted forthwith to the official or officials before whom the hearing would have been had if it had taken place in the sending state. In any and all proceedings had pursuant to the provisions of this subdivision, the officials of the receiving state shall act solely as agents of the sending state and no final determination shall be made in any matter except by the appropriate officials of the sending state.
  7. Any inmate confined pursuant to this compact shall be released within the territory of the sending state unless the inmate, and the sending and receiving states, shall agree upon release in some other place. The sending state shall bear the cost of such return to its territory.
  8. Any inmate confined pursuant to the terms of this compact shall have any and all rights to participate in and derive any benefits or incur or be relieved of any obligations or have such obligations modified or his status changed on account of any action or proceeding in which he could have participated if confined in any appropriate institution of the sending state located within such state.
  9. The parent, guardian, trustee, or other person or persons entitled under the laws of the sending state to act for, advise, or otherwise function with respect to any inmate shall not be deprived of or restricted in his exercise of any power in respect of any inmate confined pursuant to the terms of this compact.

ARTICLE V Acts Not Reviewable in Receiving State: Extradition

  1. Any decision of the sending state in respect of any matter over which it retains jurisdiction pursuant to this compact shall be conclusive upon and not reviewable within the receiving state, but if at the time the sending state seeks to remove an inmate from an institution in the receiving state there is pending against the inmate within such state any criminal charge or if the inmate is formally accused of having committed within such state a criminal offense, the inmate shall not be returned without the consent of the receiving state until discharged from prosecution or other form of proceeding, imprisonment or detention for such offense. The duly accredited officers of the sending state shall be permitted to transport inmates pursuant to this compact through any and all states party to this compact without interference.
  2. An inmate who escapes from an institution in which he is confined pursuant to this compact shall be deemed a fugitive from the sending state and from the state in which the institution is situated. In the case of an escape to a jurisdiction other than the sending or receiving state, the responsibility for institution of extradition or rendition proceedings shall be that of the sending state, but nothing contained herein shall be construed to prevent or affect the activities of officers and agencies of any jurisdiction directed toward the apprehension and return of an escapee.

ARTICLE VI Federal Aid

Any state party to this compact may accept federal aid for use in connection with any institution or program, the use of which is or may be affected by this compact or any contract pursuant hereto and any inmate in a receiving state pursuant to this compact may participate in any such federally aided program or activity for which the sending and receiving states have made contractual provisions, provided that if such program or activity is not part of the customary correctional regimen the express consent of the appropriate official of the sending state shall be required therefor.

ARTICLE VII Entry Into Force

This compact shall enter into force and become effective and binding upon the states so acting when it has been enacted into the law by any two states. Thereafter, this compact shall enter into force and become effective and binding as to any other of said states upon similar action by such state.

ARTICLE VIII Withdrawal and Termination

This compact shall continue in force and remain binding upon a party state until it shall have enacted a statute repealing the same and providing for the sending of formal written notice of withdrawal from the compact to the appropriate officials of all other party states. An actual withdrawal shall not take effect until one year after the notices provided in said statute have been sent. Such withdrawal shall not relieve the withdrawing state from its obligations assumed hereunder prior to the effective date of withdrawal. Before the effective date of withdrawal, a withdrawing state shall remove to its territory, at its own expense, such inmates as it may have confined pursuant to the provisions of this compact.

ARTICLE IX Other Arrangements Unaffected

Nothing contained in this compact shall be construed to abrogate or impair any agreement or other arrangements which a party state may have with a non-party state for the confinement, rehabilitation or treatment of inmates nor to repeal any other laws of a party state authorizing the making of cooperative institutional arrangements.

ARTICLE X Construction and Severability

The provisions of this compact shall be liberally construed and shall be severable. If any phrase, clause, sentence or provision of this compact is declared to be contrary to the constitution of any participating state or of the United States or the applicability thereof to any government, agency, person or circumstance is held invalid, the validity of the remainder of this compact and the applicability thereof to any government, agency, person or circumstance shall not be affected thereby. If this compact shall be held contrary to the constitution of any state participating therein, the compact shall remain in full force and effect as to the remaining states and in full force and effect as to the state affected as to all severable matters.

NOTES TO DECISIONS

1.Transfer of Prisoners.

The transfer of a prisoner pursuant to the Interstate Corrections Compact did not increase or make his punishment more onerous any more than would a transfer to a new institution that did not exist when he was convicted and did not violate any constitutional protection he may have had as of the time the offense was committed and before the effective date of the act. Nolan v. Cowan, 501 S.W.2d 586, 1973 Ky. LEXIS 138 ( Ky. 1973 ).

2.Application of Prison Rules and Regulations.

Inmate transferred from a Virginia correctional facility to a Kentucky correctional facility was not entitled to have Virginia’s prison disciplinary rules and regulations applied while incarcerated in the Kentucky facility under the Interstate Corrections Compact (ICC) because both the implementing transfer contract and art. IV(e) of the ICC indicated that the prison rules and regulations of the receiving state, Kentucky, applied and requiring receiving states to learn the policies and procedures of each sending state would have thwarted the ICC’s purpose of developing a cooperative prison program. Vigue v. Underwood, 139 S.W.3d 168, 2004 Ky. App. LEXIS 24 (Ky. Ct. App. 2004).

3.Contracts.

Circuit Court erroneously ordered the Commonwealth to compensate an inmate for work the inmate performed while incarcerated in a Florida penitentiary under the Interstate Corrections Compact, KRS 196.610 ; the Circuit Court ignored Article III(a)(3) of KRS 196.610 , and Section 14 of the contract between Kentucky and the State of Florida, which led to an erroneous interpretation of the statute. Commonwealth v. Crum, 250 S.W.3d 347, 2008 Ky. App. LEXIS 90 (Ky. Ct. App. 2008).

Cited in:

Ault v. Holmes, 369 F. Supp. 288, 1973 U.S. Dist. LEXIS 12226 (W.D. Ky. 1973 ), aff’d in part, vacated in part, 506 F.2d 288, 1974 U.S. App. LEXIS 6042 (6th Cir. Ky. 1974 ).

Opinions of Attorney General.

The Department of Corrections may enter into a contract with the federal bureau of prisons to permit the confinement of a person under sentence of confinement, issued by the Jefferson Circuit Court, within the institutions of the Federal Bureau of Prisons under the provisions of the Interstate Corrections Compact (this section). OAG 71-328 .

The Interstate Corrections Compact (this section) does meet the constitutional requirements of Const., § 253, “within the walls of the penitentiary.” OAG 71-328 .

County would be banned under Ky. Const., § 162 from paying any claim under an agreement or contract for a project involving the leasing of a detention facility (prison) used to house prisoners from outside as well as within the state, as there is no express authority of law for a county’s entry into such endeavor. OAG 90-115 .

Long-term housing of prisoners of the state of Kentucky is a function constitutionally mandated to the state, and the role sought to be assumed by a county in housing not only state prisoners, but prisoners of jurisdictions outside Kentucky, is not provided for by statute and is not a function necessary for operation of the county; accordingly, the county may not lawfully lease and operate a 336-bed detention center or prison for such purpose; such action is not necessary for operation of the county and handling the types of prisoners envisioned under this project is “otherwise provided for” by statute and the Kentucky Constitution. OAG 90-115 .

196.620. Commissioner’s powers as to compact.

  1. The commissioner of the Department of Corrections is hereby authorized and directed to do all things necessary or incidental to the carrying out of the compact in every particular and he may in his discretion delegate this authority.
  2. KRS 196.610 may be cited as the Interstate Corrections Compact.

History. Enact. Acts 1970, ch. 154, §§ 2, 4; 1982, ch. 344, § 19, effective July 15, 1982; 1992, ch. 211, § 40, effective July 14, 1992.

Community Corrections Programs

196.700. Definitions for KRS 196.700 to 196.735.

As used in KRS 196.700 to 196.735 , unless the context otherwise requires:

  1. “Commission” means the Kentucky State Corrections Commission created in KRS 196.701 ;
  2. “Community corrections program” means a local government agency, private nonprofit, or charitable organization within the judicial circuit which shall perform one (1) or more of the following:
    1. Prepare community penalties plans;
    2. Directly provide, arrange, or contract with public and private agencies for sentencing services for offenders; and
    3. Monitor the progress of offenders placed on community penalty plans or who receive sentencing services through provisions of KRS 196.700 to 196.735 ;
  3. “Community corrections programs plan” means a written plan for the development, implementation, operation, and improvement of a community corrections program;
  4. “Community penalties plan” means a plan presented in writing to the sentencing judge which provides a detailed description of and rationale for the targeted offender’s proposed sentence to a community corrections program or to one (1) or more special programs, conditions of probation, community punishments, or sanctions in lieu of lengthy incarceration;
  5. “Conditions of supervision” means conditions of probation, parole, mandatory reentry supervision, or other form of post-prison supervision;
  6. “Judicial circuit” means the circuits prescribed by KRS 23A.020 ;
  7. “Supervised individual” means an individual placed on probation by a court or serving a period of parole or other form of post-release supervision; and
  8. “Targeted offenders” means persons charged with or convicted of one (1) or more felonies who under application of law are eligible for probation or suspension of sentence.

History. Enact. Acts 1992, ch. 255, § 2, effective July 14, 1992; 2003, ch. 71, § 7, effective June 24, 2003; 2011, ch. 2, § 70, effective June 8, 2011.

196.701. Kentucky State Corrections Commission — Membership.

  1. To develop and implement a statewide strategic plan for the state and community corrections programs, the Kentucky State Corrections Commission is created and is attached to the Office of the Secretary of the Justice and Public Safety Cabinet. The commission shall consist of twenty-three (23) members as follows:
    1. The secretary of the Justice and Public Safety Cabinet or his or her designee in writing;
    2. The commissioner of the Department of Corrections or his or her designee in writing;
    3. The deputy commissioner of the Office of Community Services and Facilities;
    4. The deputy commissioner of the Office of Adult Institutions;
    5. The director of the Division of Parole and Victim Services or his or her designee in writing;
    6. The executive director of the Office of Legislative and Intergovernmental Services of the Justice and Public Safety Cabinet or his or her designee in writing;
    7. Two (2) Circuit Court Judges appointed by the Chief Justice;
    8. A county judge/executive appointed by the Governor;
    9. A county jailer appointed by the Governor;
    10. A Commonwealth’s attorney appointed by the Governor;
    11. A practicing attorney appointed by the Governor;
    12. A victim, as that term is defined in KRS 49.280 , appointed by the Governor;
    13. Four (4) service providers from the field of mental health, substance abuse treatment, or vocational and educational training, appointed by the Governor;
    14. A public member who is qualified to express the views of organized labor, appointed by the Governor;
    15. A public member who is qualified to express the views of business and industry, appointed by the Governor;
    16. The public advocate or his or her designee in writing; and
    17. Three (3) at-large members appointed by the Governor.
  2. The terms of those members appointed by the appointing authority shall be three (3) years. These members shall serve at the pleasure of the appointing authority and shall be eligible for reappointment. The appointed members may be removed for cause. All others serve during their terms of office. If there is a vacancy, the appointing authority shall immediately make an appointment effective for the unexpired term.
  3. The chairperson of the commission shall be the secretary of justice and public safety. The commissioner of the Department of Corrections shall serve as the vice chairperson who shall preside and exercise the functions of the chairperson during absence or disability of the chairperson.
  4. Regular meetings of the commission shall be held at least once every four (4) months at a place, day, and hour determined by the commission. Special meetings shall be held when needed as determined by the chairperson. If five (5) or more members of the commission request in writing that the chairperson call a special meeting, then the chairperson shall call a special meeting.
  5. Members of the commission shall receive reimbursement for necessary expenses for attendance at official commission meetings or public hearings. The administrative functions of the commission shall be performed by a full-time employee of the department who is selected by the commissioner. All public members of the commission shall, in addition to expenses, receive twenty-five dollars ($25) per day for attending each meeting.

HISTORY: Repealed, reenact. and amend., Acts 2003, ch. 71, § 1, effective June 24, 2003; 2007, ch. 85, § 227, effective June 26, 2007; 2013, ch. 72, § 2, effective June 25, 2013; 2017 ch. 74, § 93, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 196.081 .

196.702. Functions of the commission.

The commission shall:

  1. Develop a statewide strategic plan for the development and implementation of goals and objectives, target populations, and program criteria for community corrections programs;
  2. Conduct, in collaboration with community corrections boards, a statewide assessment of community corrections programs;
  3. Award all grant moneys to community corrections programs;
  4. Review community correction program plans and their implementation to ensure compliance with the statewide strategic plan, including the following goals:
    1. Effectiveness of community corrections programs in maintaining public safety;
    2. Reduction of local commitments to the department;
    3. Reduction in the rate of recidivism; and
    4. Reduction in revocations of probation and parole;
  5. Provide technical assistance, support, and training to local boards;
  6. Submit an annual report no later than September 1 of each year to the commissioner, the Governor, and the General Assembly which includes at least the following information:
    1. The status of the implementation of the statewide strategic plan;
    2. The effectiveness of community corrections programs in achieving the goals outlined in subsection (4) of this section; and
    3. An accounting of the distribution of grants and other funds;
  7. Administer the provisions of KRS 196.700 to 196.735 ;
  8. Advise the Governor and the commissioner concerning correctional policy and programs, including particularly the following:
    1. The need for, and the development of, new or specialized institutions, facilities, or programs;
    2. The need for, and the effectuation of, collaboration and liaison within the department, and between the department and community agencies and resources, including the bench and bar, in order to promote the readjustment and rehabilitation of offenders in institutions or under parole or probation supervision in the community; and
    3. The need for, and the development of, useful research in penology, correctional treatment, criminal law, or in the disciplines relevant thereto; and
  9. Establish a Parole Board Nominating Committee which shall:
    1. Include five (5) ex officio members of the commission:
      1. The secretary of the Justice and Public Safety Cabinet, who shall serve as chairperson of the committee;
      2. The commissioner of the Department of Corrections, who shall serve as the vice chairperson of the committee;
      3. The director of the Division of Parole and Victim Services;
      4. The deputy commissioner of the Office of Adult Institutions; and
      5. The deputy commissioner of the Office of Community Services and Facilities;
    2. Include ten (10) other members of the commission:
      1. Two (2) Circuit Judges;
      2. Two (2) service providers with backgrounds in mental health or education;
      3. A person representing the views of business and industry;
      4. A person representing the views of organized labor;
      5. A practicing attorney; and
      6. Three (3) at-large members;
    3. Publicize vacancies and impending term expirations on the Parole Board in accordance with standards set forth in KRS 424.180 ;
    4. Submit the names of three (3) candidates to the commission for every vacancy or expired term on the Parole Board;
    5. Forward a statement of qualifications of each nominee to the commission along with the nomination. This statement shall identify the experience which meets the qualifications for Parole Board membership outlined in KRS 439.320(1); and
    6. Maintain the statement of qualifications as a public record in accordance with KRS 61.870 to 61.884 .

History. Enact. Acts 2003, ch. 71, § 2, effective June 24, 2003; 2007, ch. 85, § 228, effective June 26, 2007; 2013, ch. 72, § 3, effective June 25, 2013.

196.703. Inspection powers of commission.

The commission or one (1) or more of its members may visit and inspect any state penal institution and may inform and advise the commissioner of the Department of Corrections in regard to the institution’s physical or other condition, its discipline, management, and program, and its general adequacy or inadequacy. The commission or a majority of its members shall have full access to the grounds and buildings and to the books and records belonging or relating to the institution, as well as the right to subpoena witnesses, take proof, or hear testimony under oath relating to the institution.

History. Enact. Acts 2007, ch. 85, § 229, effective June 26, 2007.

196.704. Commission’s duties relating to Prison Industry Enhancement Certification Program.

For a Prison Industry Enhancement Certification Program (PIECP) administered pursuant to KRS 197.105 , the Kentucky State Corrections Commission shall:

  1. Develop a statewide strategic plan for the development and implementation of goals, objectives, and criteria for Prison Industry Enhancement Certification Programs (PIECPs);
  2. Conduct a statewide assessment of business opportunities for the Kentucky Correctional Industries operating locations and private business opportunities;
  3. Conduct an assessment of any private business that applies to partner with PIECPs;
  4. Review any information provided to the commission by companies, organized labor, the Department of Corrections, or any agency of state government in regard to:
    1. Potential job displacements relating to PIECPs;
    2. Appropriate leased-labor pay rates for proposed business participants;
    3. Opportunities to partner with businesses;
    4. Reduction in the rate of recidivism; and
    5. Business plans presented to the commission;
  5. Provide technical assistance and support to potential partners;
  6. Submit an annual report no later than September 1 of each year to the commissioner, the Governor, and the General Assembly, which shall include at least the following information:
    1. The status of the implementation of the statewide strategic plan;
    2. The effectiveness of the commission in achieving the goals outlined in this section; and
    3. An accounting of the distribution of profits and losses for the fiscal year;
  7. Advise the Governor and the commissioner concerning PIECPs’ policies and programs, including particularly the following:
    1. The need for, and the development of, new or specialized facilities or programs;
    2. The need for, and the effectuation of, collaboration and liaison within the department and between the department and community agencies and resources, including the bench and bar, in order to promote the readjustment and rehabilitation of offenders in institutions; and
    3. The need for, and the development of, useful research in development of PIECPs; and
  8. Promulgate administrative regulations in accordance with KRS Chapter 13A for businesses and the operating procedures of the Kentucky State Corrections Commission, and the procedures for addressing the handling of injury to inmates participating in the PIECPs, such as workers’ compensation insurance or another program.

HISTORY: 2017 ch. 158, § 28, effective June 29, 2017.

196.705. Administration of programs by Kentucky State Corrections Commission — Purposes of programs.

The purposes of the commission and community corrections programs shall be to:

  1. Provide the judicial system with sentences to be used in lieu of incarceration;
  2. Develop community-based sentencing alternatives to incarceration for certain individuals convicted of a felony;
  3. Monitor and enforce the payment of restitution to victims of crime and the community through financial reimbursement, community service, or both;
  4. Stimulate local involvement in community corrections programs to assure that they are specifically designed to meet the needs of the sentencing court and the community; and
  5. Reduce expenditures of state funds by increasing community-based sentencing, reducing the rate of recidivism, and reducing revocations of probation and parole.

History. Enact. Acts 1992, ch. 255, § 1, effective July 14, 1992; 1994, ch. 227, § 9, effective July 15, 1994; 2003, ch. 71, § 3, effective June 24, 2003.

196.710. Awarding of grants — Criteria.

  1. The commission shall award grants to community corrections programs in accordance with the policies established by KRS 196.700 to 196.735 and in accordance with any laws enacted or promulgated for that purpose, including any branch budget bill and appropriation provisions.
  2. Grants shall be awarded to community corrections programs whose community corrections program plans meet the requirements set forth in KRS 196.720 and which, in the commission’s judgment, promise to meet the goals set forth in KRS 196.700 to 196.735 . Grants shall be awarded to encourage a range of services in each judicial circuit.
  3. Grants may be awarded only to community corrections programs which have established community corrections boards as provided in KRS 196.725 unless the commission determines that the community corrections program is governed by a board which will serve the same functions as described in KRS 196.700 to 196.735 , and that establishment of a new or additional board as described in KRS 196.725 would impose an administrative burden upon or pose a conflict of interest for the program.
  4. Grants shall not be awarded to programs that have failed to accomplish the goals set forth in KRS 196.702(4) and that show no promise of doing so in the future, as determined pursuant to KRS 196.735 .
  5. Preference in funding may be given to judicial circuits in which programs and services do not exist or are largely inadequate.

History. Enact. Acts 1992, ch. 255, § 3, effective July 14, 1992; 1994, ch. 387, § 28, effective July 15, 1994; 2003, ch. 71, § 4, effective June 24, 2003.

196.715. Services for targeted offenders — Assessment of victims’ needs.

  1. A community corrections program shall be responsible for providing services for targeted offenders which shall include one (1) or more of the following:
    1. Preparing detailed community penalty plans for presentation to the prosecution, the sentencing judge, and by the offender’s attorney.
    2. Providing treatment, punishment, management, supervision, rehabilitation, mentoring, employment, and other services to targeted offenders, or contracting or arranging with public or private agencies for services for targeted offenders, as described in the community corrections plan.
    3. Monitoring the progress of offenders under community penalty plans.
  2. A community corrections program shall be responsible for assessing the needs of victims for restitution or other types of assistance resulting from the crime, and for tailoring community-based sanctions for the offender which correspond to the needs of the victim and the community.

History. Enact. Acts 1992, ch. 255, § 4, effective July 14, 1992.

196.720. Plan requirements.

Community corrections programs applying for grants under KRS 196.700 to 196.735 shall prepare a community corrections program plan for the judicial circuit, as prescribed by the commission. More than one (1) community corrections program plan may be prepared, submitted, and approved for any one (1) judicial circuit. The plan shall include:

  1. Objectives of the community corrections program described in the community corrections program plan.
  2. Realistic goals for reduction of offenders committed to prison for each county within the judicial circuit, and a system of monitoring the number of commitments to prison.
  3. Procedures for identifying targeted offenders, and a plan for referral of targeted offenders to the community corrections program.
  4. Procedures for preparing and presenting community penalty plans to the court, when applicable.
  5. Procedures for obtaining services from existing public or private agencies, and a detailed budget for staff, contracted services, and all other costs.
  6. Procedures for monitoring the progress of offenders on community penalty plans and for cooperating with the probation personnel who have supervisory responsibility for the offender, when applicable.
  7. Procedures for returning offenders who do not comply with their community penalty plan to court for action by the court.
  8. Procedures for evaluating the program’s effect on numbers of prison commitments and revocations of probation and parole.

History. Enact. Acts 1992, ch. 255, § 5, effective July 14, 1992; 2003, ch. 71, § 5, effective June 24, 2003.

196.725. Community corrections boards — Membership — Meetings — Duties.

Each community corrections program shall establish a community corrections board to provide direction and assistance to the community corrections program in the design, implementation and evaluation of the community corrections program plan. Community corrections boards shall be organized as nonprofit corporations under KRS Chapter 273. The community corrections board shall consist of not less than eight (8) members, and shall include, insofar as possible, judges, Commonwealth’s attorneys, defense attorneys, crime victims or survivors, community leaders, social workers, law-enforcement officers, probation officers, and other interested persons. Members of the board shall receive no compensation for their duties as board members. The board shall be subject to the open meetings law and the open records law as provided for in KRS Chapter 61. The community corrections board shall meet on a regular basis, and its duties shall include, but are not limited to, the following:

  1. Development and recommendation of an annual budget for the community corrections program;
  2. Selection of new or additional board members;
  3. Arranging for a private and independent annual audit; and
  4. Development of procedures for contracting for services.

History. Enact. Acts 1992, ch. 255, § 6, effective July 14, 1992.

196.730. Restriction on use of funds.

Funds provided for use under the provisions of KRS 196.700 to 196.735 shall not be used for the operating costs, construction, or any other costs associated with local jail confinement.

History. Enact. Acts 1992, ch. 255, § 7, effective July 14, 1992.

196.731. Pilot projects to grant performance incentive funding to community corrections programs — Annual calculations of cost savings of state funds.

  1. The commission may:
    1. Approve up to five (5) pilot projects to grant performance incentive funding to community corrections programs in judicial circuits with high rates of targeted offenders who are ordered to serve a term of imprisonment; and
    2. Approve up to five (5) pilot projects to grant performance incentive funding to community corrections programs in judicial circuits with high rates of supervised individuals who are revoked for violations of their conditions of supervision and ordered to serve a term of imprisonment.
  2. Upon development of an approved pilot project described in subsection (1)(a) of this section, the commission shall annually calculate:
    1. The percentage of targeted offenders in the judicial circuit for that pilot project who are convicted of a felony offense and sentenced to a term of imprisonment. This calculation shall be based on the fiscal year prior to the fiscal year in which the report is required pursuant to KRS 196.736 . The baseline shall be the percentage of targeted offenders convicted and imprisoned for that judicial circuit in the fiscal year prior to the implementation of the pilot project; and
    2. Any state expenditures that have been avoided by reductions in the baseline percentage as calculated in paragraph (a) of this subsection.
  3. Upon development of an approved pilot project described in subsection (1)(b) of this section, the commission shall annually calculate:
    1. The percentage of supervised individuals in the judicial circuit for that pilot project who are revoked for violations of their conditions of supervision and ordered to serve a term of imprisonment. This calculation shall be based on the fiscal year prior to the fiscal year in which the report is required pursuant to KRS 196.736 . The baseline revocation percentage shall be the percentage of revocations for that judicial circuit in the fiscal year prior to the implementation of the pilot project; and
    2. Any state expenditures that have been avoided by reductions in the revocation percentage as calculated in paragraph (a) of this subsection.

History. Enact. Acts 2011, ch. 2, § 71, effective June 8, 2011.

196.732. Community corrections funds — Deposit of state funds saved via pilot projects — Purposes of appropriated funds.

  1. Beginning in the fiscal year after a pilot project has been implemented pursuant to KRS 196.731 , fifty percent (50%) of any state expenditures that are avoided as calculated in KRS 196.731 shall be deposited by the department in the community corrections fund, which shall be a separate, interest-bearing account within the State Treasury. The remaining fifty percent (50%) shall be deposited in the general fund. Amounts deposited in the community corrections fund, including interest, are hereby appropriated to the commission for the following purposes:
    1. Fifty percent (50%) to the community corrections program responsible for those savings; and
    2. Fifty percent (50%) to the Division of Probation and Parole.
  2. Notwithstanding KRS 45.229 , any moneys remaining in the community corrections fund at the close of the fiscal year shall not lapse but shall carry forward into the next fiscal year to be used for the purposes outlined in this subsection.
  3. None of the calculated savings shall be appropriated to the commission for distribution if:
    1. In a pilot project developed pursuant to KRS 196.731(1)(a), there is an increase in the percentage of targeted offenders on probation who are convicted of a new felony offense and sentenced to a term of imprisonment; or
    2. In a pilot project developed pursuant to KRS 196.731(1)(b), there is an increase in the percentage of supervised individuals who are convicted of a new felony offense.
  4. The moneys appropriated pursuant to this section shall be used to supplement, not supplant, any other state or county appropriations for probation, parole or other post-prison supervision services, or community corrections programs.
  5. Moneys received through appropriations pursuant to this section and KRS 196.731 shall be used for the following purposes:
    1. Implementing evidence-based practices;
    2. Creating, increasing, or improving the availability of risk reduction and treatment programs and interventions, including substance abuse treatment programs, for supervised individuals;
    3. Paying the costs of global positioning monitoring system for offenders of at least medium risk; and
    4. Increasing the number of probation and parole staff, including equipment and office space the officers and staff may need.

History. Enact. Acts 2011, ch. 2, § 72, effective June 8, 2011.

196.735. Annual evaluation — Renewal or continuation of programs.

The commission shall evaluate each community corrections program on an annual basis to determine the degree to which the program has accomplished the goals set forth in KRS 196.702(4). The commission shall not renew or continue a program that has failed to accomplish those goals and that shows no promise of doing so in the future, after allowing for changes in the number of convictions.

History. Enact. Acts 1992, ch. 255, § 8, effective July 14, 1992; 2003, ch. 71, § 6, effective June 24, 2003.

196.736. Annual report on implementation of pilot projects instituted pursuant to KRS 196.731.

The Kentucky State Corrections Commission shall submit an annual report on the implementation and results of any pilot projects developed pursuant to KRS 196.731 to the Legislative Research Commission, the Chief Justice, and the Governor on or before September 1 of each year. The report shall also include the calculations made pursuant to KRS 196.731 and the resulting performance incentive funding appropriated, if any.

History. Enact. Acts 2011, ch. 2, § 73, effective June 8, 2011.

Penalties

196.990. Penalties.

  1. Any officer who violates subsection (1) of KRS 196.230 shall be fined not less than two hundred and fifty dollars ($250) nor more than one thousand dollars ($1,000). Action shall be brought in the county in which the institution is located.
  2. Any officer or employee who violates subsection (3) of KRS 196.230 shall ipso facto forfeit his office or position, and the office or position shall be declared vacant.

History. 216a-3, 216aa-7, 216aa-21, 216aa-32, 423: amend. Acts 1980, ch. 188, § 146, effective July 15, 1980; 1994, ch. 418, § 15, effective July 15, 1994.

CHAPTER 197 Penitentiaries

197.010. Definitions for chapter.

Definitions as used in this chapter, unless the context otherwise requires:

  1. “Cabinet” means the Justice and Public Safety Cabinet;
  2. “Classification” means the systematic assignment of a prisoner to a custody level, program, and penitentiary;
  3. “Department” means Department of Corrections;
  4. “Eligible sexual offender” means a sexual offender for whom the sentencing court, department officials, or both have determined that he or she:
    1. Has demonstrated evidence of a mental, emotional, or behavioral disorder, but not active psychosis or an intellectual disability; and
    2. Is likely to benefit from the program;
  5. “Life skills program” means a program that provides strategies for offenders to assist in removing barriers to successful reintegration into the community and addresses skill areas, including time management, money management, use of technology, communication, and social skills;
  6. “Penitentiaries” includes the state penal institutions for males at Eddyville, LaGrange, the Green River Correctional Complex, the Luther Luckett Correctional Complex, the Kentucky Correctional Institute for Women, the Northpoint Training Center, the Roederer Correctional Complex, the Eastern Kentucky Correctional Complex, the Western Kentucky Correctional Complex, Frankfort Career Development Center, Blackburn Correctional Complex, and Bell County Forestry Camp, together with the branches thereof, any private prison as provided by KRS 197.500 , and any other similar institutions hereafter established;
  7. “Promising practices” means programs and strategies that have some research or data showing positive outcomes, but do not have enough evidence yet to meet the standard of an evidence-based program;
  8. “Sexual offender” means any person convicted of, pleading guilty to, or entering an Alford plea to a sex crime as defined in KRS 17.500 ; and
  9. “State agency” means any department, board, commission, or agency of the state government.

History. 3828c-1: amend. Acts 1962, ch. 106, Art. X, § 9; 1964, ch. 165, § 1; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 20, effective July 15, 1982; 1984, ch. 106, § 2, effective July 13, 1984; 1990, ch. 315, § 1, effective July 13, 1990; 1990, ch. 497, § 9, effective July 13, 1990; 1992, ch. 211, § 43, effective July 14, 1992; 1992, ch. 445, § 4, effective July 14, 1992; 1994, ch. 418, § 3, effective July 15, 1994; 2006, ch. 182, § 21, effective July 12, 2006; 2007, ch. 85, § 230, effective June 26, 2007; 2012, ch. 146, § 26, effective July 12, 2012; 2019 ch. 116, § 1, effective June 27, 2019.

NOTES TO DECISIONS

Cited in:

Harris v. Commonwealth, 342 S.W.2d 535, 1960 Ky. LEXIS 98 ( Ky. 1960 ).

Research References and Practice Aids

Cross-References.

Child welfare, commitment of child to cabinet for families and children, KRS 605.090 to 605.130 .

Conveying convicts to prison, expenses, KRS 64.070 .

Curator for convicts, district court may appoint, KRS 387.290 .

Department of Corrections, KRS Chapter 196.

Execution of death sentence, KRS 431.215 to 431.270 .

Juvenile code, KRS Chapters 600 to 645.

Penitentiaries may be used to confine military prisoners, KRS 35.055 .

Prisoners in custody of an officer may be removed to penitentiary to protect them from violence, KRS 441.540 .

Superintendents of institutions to deliver unclaimed dead bodies to colleges, KRS 311.330 .

197.011. Name of women’s institution.

The institution for women shall be known as “The Kentucky Correctional Institution for Women.”

History. Enact. Acts 1964, ch. 165, § 2.

197.020. Administrative regulations to be promulgated by Department of Corrections — Fee for use of medical facilities — Reimbursement of telehealth consultations — Use of jail medical facilities by state prisoner governed by KRS 441.045.

  1. The Department of Corrections shall:
    1. Promulgate administrative regulations for the government and discipline of the penitentiary, for the government and official conduct of all officials connected with the penitentiary, and for the government of the prisoners in their deportment and conduct;
    2. Promulgate administrative regulations for the character of food and diet of the prisoners; the preservation of the health of the prisoners; the daily cleansing of the penitentiary; the cleanliness of the persons of the prisoners; the general sanitary government of the penitentiary and prisoners; the character of the labor; the quantity of food and clothing; and the length of time during which the prisoners shall be employed daily;
    3. Promulgate administrative regulations, as the department deems necessary, for the disposition of abandoned, lost, or confiscated property of prisoners;
    4. Promulgate administrative regulations for the administration of a validated risk and needs assessment to assess the criminal risk factors and correctional needs of all inmates upon commitment to the department;
    5. Promulgate administrative regulations to create a certification process for county jails that may house female state inmates. The administrative regulations shall include a requirement of a physical barrier between male and female inmates; and
    6. Cause the administrative regulations promulgated by the department, together with the law allowing commutation of time to prisoners for good conduct, to be printed and posted in conspicuous places in the cell houses and workshops.
  2. The department may impose a reasonable fee for the use of medical facilities by a prisoner who has the ability to pay for the medical and dental care. These funds may be deducted from the prisoner’s inmate account. A prisoner shall not be denied medical or dental treatment because he or she has insufficient funds in his or her inmate account.
  3. The department may promulgate administrative regulations in accordance with KRS Chapter 13A to implement a program that provides for reimbursement of telehealth consultations.
  4. Fees for the use of medical facilities by a state prisoner who is confined in a jail pursuant to KRS 532.100 or other statute shall be governed by KRS 441.045 .

History. 216c-4: amend. Acts 1966, ch. 255, § 188; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 21, effective July 15, 1982; 1992, ch. 211, § 44, effective July 14, 1992; 1992, ch. 445, § 5, effective July 14, 1992; 1998, ch. 406, § 3, effective July 15, 1998; 2000, ch. 376, § 23, effective July 14, 2000; 2007, ch. 85, § 231, effective June 26, 2007; 2010, ch. 8, § 2, effective July 15, 2010; 2011, ch. 2, § 27, effective June 8, 2011; 2018 ch. 115, § 3, effective July 14, 2018; 2020 ch. 109, § 4, effective April 24, 2020.

Legislative Research Commission Notes.

(7/14/2018). Pursuant to 2018 Ky. Acts ch. 115, sec. 12, that Act shall be known as the Women's Dignity in the Justice System Act. This statute was amended in Section 3 of that Act.

NOTES TO DECISIONS

Analysis

1.In General.

Kentucky Department of Corrections was required by Kentucky law to promulgate a regulation as to all portions of the lethal injection protocol, KRS 431.220 , as the “private rights” of those individuals being executed by the Commonwealth were invariably affected by the manner in which the lethal injection was administered; the Department was not prohibited from adopting regulations to implement the death penalty through lethal injection simply because KRS 431.220 contained no express reference to the adoption of regulations. Bowling v. Ky. Dep't of Corr., 301 S.W.3d 478, 2009 Ky. LEXIS 291 ( Ky. 2009 ), writ denied, 336 S.W.3d 98, 2011 Ky. LEXIS 31 ( Ky. 2011 ).

2.Transfer of Prisoner to Mental Hospital.

Where a convict sentenced to the penitentiary is found to be insane, and is transferred to a state mental hospital, it is the duty of the prison authorities to furnish maintenance, and his estate cannot be held liable for board and maintenance. Department of Welfare v. Brock, 306 Ky. 243 , 206 S.W.2d 915, 1947 Ky. LEXIS 983 ( Ky. 1947 ).

3.Good-time Credit.

Since the legislature authorized the Secretary of the Justice and Public Safety Cabinet, in overseeing the Department of Corrections, to regulate, reward, and punish prisoner conduct, and the secretary, without ceding or relinquishing that authority, properly delegated much of it to the wardens who, under properly adopted policies, had final say in the forfeiture of good-time credit, the only entities with the authority to restore good-time credit or expunge a prison record were the Department of Corrections and the warden, and, although the inmate had named the warden in the lawsuit in the trial court, the inmate’s failure to include the warden as an appellee in the notice of appeal was fatal. Watkins v. Fannin, 278 S.W.3d 637, 2009 Ky. App. LEXIS 34 (Ky. Ct. App. 2009).

Cited in:

Coleman v. Commonwealth, 100 S.W.3d 745, 2002 Ky. LEXIS 247 ( Ky. 2002 ); Million v. Raymer, 136 S.W.3d 460, 2004 Ky. LEXIS 146 ( Ky. 2004 )

Notes to Unpublished Decisions

1.No Private Right of Action.

Unpublished decision: Physician was properly granted summary judgment dismissing an administratrix’s claim of a violation of a deceased inmate’s statutory right to medical care, because KRS 197.020(1)(b) and its corresponding regulations did not provide any private right of action for inmates to sue the corrections facility, its employees, or its agents. Runkle v. Fleming, 558 Fed. Appx. 628, 2014 FED App. 0199N, 2014 U.S. App. LEXIS 5005 (6th Cir. Ky. 2014 ).

Research References and Practice Aids

Cross-References.

Discipline and supplies for convicts, Ky. Const., § 254.

197.022. Personal attendance of state prisoner in civil action — Transportation orders — Payment of costs — Participation of prisoner in action by alternative methods allowed.

  1. Whenever a court finds the personal attendance of a state prisoner is necessary in a civil action and orders the Justice and Public Safety Cabinet or its agent or any law enforcement officer to transport a prisoner in connection with the civil action, the party requesting that the state prisoner be transported to the hearing shall pay the transportation cost, which shall include the estimated round trip cost, including the state mileage rate and the estimated associated salary cost of correctional staff.
  2. The court shall cause all transportation orders to be delivered to the warden or jailer of the detention facility where the prisoner resides. As soon as practicable after the receipt of the order, the warden or jailer shall notify the prisoner and the court of the total transportation cost. If the payment is not received twenty-four (24) hours in advance of the scheduled hearing, no transportation shall be provided, irrespective of the order of the court commanding the Justice and Public Safety Cabinet or its agent or other law enforcement officer to transport a prisoner.
  3. To the extent practicable, any action concerning a prisoner in which the court has determined that the prisoner’s participation is required or permitted may be conducted by telephone, video conference, or other telecommunications technology without removing the prisoner from the facility in which the prisoner is confined.
  4. The provisions of this section pertaining to payment of transportation costs shall not apply to parties who have been determined by the court to be indigent within the meaning of KRS Chapter 31 or other applicable law.
  5. The Justice and Public Safety Cabinet shall promulgate an administrative regulation or regulations governing this process.

History. Enact. Acts 2007, ch. 139, § 9, effective June 26, 2007.

Legislative Research Commission Notes.

(6/26/2007). 2007 Ky. Acts ch. 85, relating to the creation and organization of the Justice and Public Safety Cabinet, instructs the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in that Act. Such a correction has been made in this section.

197.023. Duty to maintain grievance reports — Open record — Content — Destruction.

  1. Each facility operated by the Department of Corrections or under contract to the department shall maintain reports of all grievances by inmates during a calendar year. A grievance report shall be an open public record and made available to any person who requests to see the file at the site as long as the inmate has signed a waiver of confidentiality.
  2. Each grievance report shall contain the date the grievance was filed, the nature of the grievance, the name of the individual filing the grievance as well as the name of the person preparing the report, the residence, the county, actions taken by the facility, and the date the report was filed. The report shall be signed by an administrator or officer of the facility.
  3. With the written permission of the inmate, a photocopy of the file may be made and the content may be released to the public. The facility may require a ten cent ($0.10) per page copying fee.
  4. All grievance reports may be destroyed after December 31 of the following year.

History. Enact. Acts 1998, ch. 606, § 135, effective July 15, 1998.

197.025. Restrictions on access to inmate and facility records — Appeal procedure — Restrictions on access to policies and procedure.

  1. KRS 61.870 to 61.884 to the contrary notwithstanding, no person shall have access to any records if the disclosure is deemed by the commissioner of the department or his designee to constitute a threat to the security of the inmate, any other inmate, correctional staff, the institution, or any other person.
  2. KRS 61.870 to 61.884 to the contrary notwithstanding, the department shall not be required to comply with a request for any record from any inmate confined in a jail or any facility or any individual on active supervision under the jurisdiction of the department, unless the request is for a record which contains a specific reference to that individual.
  3. KRS 61.870 to 61.884 to the contrary notwithstanding, all persons confined in a penal facility shall challenge any denial of an open record with the Attorney General by mailing or otherwise sending the appropriate documents to the Attorney General within twenty (20) days of the denial pursuant to the procedures set out in KRS 61.880(2) before an appeal can be filed in a Circuit Court.
  4. KRS 61.870 to 61.884 to the contrary notwithstanding, the Department of Corrections shall refuse to accept the hand delivery of an open records request from a confined inmate.
  5. KRS 61.870 to 61.884 to the contrary notwithstanding, all records containing information expunged pursuant to law shall not be open to the public.
  6. The policies and procedures or administrative regulations of the department which address the security and control of inmates and penitentiaries shall not be accessible to the public or inmates. The Administrative Regulations Review Subcommittee’s review process for any of these policies and procedures or administrative regulations, which may be filed with the regulations compiler, shall be conducted in closed sessions and held confidential.
  7. KRS 61.870 to 61.884 to the contrary notwithstanding, upon receipt of a request for any record, the department shall respond to the request within five (5) days after receipt of the request, excepting Saturdays, Sundays, and legal holidays, and state whether the record may be inspected or may not be inspected, or that the record is unavailable and when the record is expected to be available.

History. Enact. Acts 1990, ch. 497, § 22, effective July 13, 1990; 1992, ch. 211, § 45, effective July 14, 1992; 1992, ch. 445, § 6, effective July 14, 1992; 1994, ch. 418, § 4, effective July 15, 1994; 1996, ch. 334, § 1, effective July 15, 1996; 1998, ch. 406, § 4, effective July 15, 1998; 2000, ch. 345, § 2, effective July 14, 2000; 2002, ch. 11, § 1, effective July 15, 2002; 2007, ch. 139, § 8, effective June 26, 2007.

NOTES TO DECISIONS

1.Inmate Files.

Because the General Assembly had not seen fit to limit an inmates’ access to public records, other than the limitations contained in KRS 197.025 , the Attorney General’s decision to extend its treatment of school employees’ personnel files to an inmate’s request to see his own inmate file was logical, and it was not arbitrary. Commonwealth v. Chestnut, 250 S.W.3d 655, 2008 Ky. LEXIS 116 ( Ky. 2008 ).

2.Unreasonable Burden.

Although the task of determining what materials were properly subject to an inmate’s open records request was tedious and time-consuming work, complying with the request did not automatically constitute an unreasonable burden. Regardless of the specificity of the open records request, the Department of Corrections personnel were still obligated to sift through any requested materials in order to determine which documents (or portions of a document) had to be redacted or excised by reasons of privacy or for institutional safety under KRS 197.025 . Commonwealth v. Chestnut, 250 S.W.3d 655, 2008 Ky. LEXIS 116 ( Ky. 2008 ).

Winnowing process required of the Department of Corrections by the General Assembly under KRS 197.025 did not rise to the level of an unreasonable burden under KRS 61.872(6), especially in light of the fact that the General Assembly had already mandated that all public agencies had to separate materials exempted from disclosure in a document from materials that were subject to disclosure. The obvious fact that complying with an open records request would have consumed both time and manpower was, standing alone, not sufficiently clear and convincing evidence of an unreasonable burden. Commonwealth v. Chestnut, 250 S.W.3d 655, 2008 Ky. LEXIS 116 ( Ky. 2008 ).

3.Inadvertent Disclosure.

Department of Correction’s possible inadvertent disclosure of any matter that was protected under KRS 197.025 was not a reason to deny an inmate’s open records requests. Commonwealth v. Chestnut, 250 S.W.3d 655, 2008 Ky. LEXIS 116 ( Ky. 2008 ).

Opinions of Attorney General.

As a matter of policy “conflict sheets” are not released to inmates unless the requester’s name appears at the top of the page, indicating that it was he who reported the “conflict.” OAG 91-136 .

Inmate could not review the psychological evaluation contained in his medical file because this section, which is incorporated into the Open Records Act by operation of KRS 61.878(1)(j) (now 61.878(1)( l )), prohibits disclosure of records or information made confidential by enactment of the General Assembly, and precludes release of psychological evaluations pursuant to corrections cabinet policy and procedure. OAG 92-25 .

Facilities operating under the jurisdiction of the cabinet may invoke this section when, in the exercise of their discretion, they conclude that release of a record may constitute a threat to the security of the inmate, another inmate, or the staff of the institution. OAG 92-26 .

A correctional facility properly denied a request by an inmate for a copy of the facility’s lab certification as such certification did not pertain to the inmate making the request. OAG 99-ORD-15.

Subsection (7) controls over KRS 61.880(1) and allows a penitentiary five (5) days to respond to an open records request. OAG 99-ORD-102.

The Kentucky State Penitentiary properly denied a request for records containing the names and home addresses of all penitentiary employees and the penitentiary’s master menu as such records did not pertain to the inmate himself. OAG 99-ORD-102.

A correctional facility properly denied an inmate’s request for copies of walk logs showing inmates on restricted privileges and for receipts for how much the penitentiary spent on cassette tapes for court call records since the inmate’s name did not appear on the requested records and he was not entitled to records of other inmates or records that did not pertain to him. OAG 99-ORD-188.

Although the presence of litigation and simultaneously filed open records and discovery requests may engender staff confusion, neither relieves a correctional facility of its duties under KRS 61.880(1) when read in conjunction with subsection (7) of this section. OAG 00-ORD-83.

A correctional facility properly denied an inmate’s request for, inter alia, records pertaining to disciplinary actions against employees of the facility as such records did not pertain to the inmate. OAG 00-ORD-83.

The custodian of the records office at a correctional institution could not selectively respond to only those requests for records over which she had personal custody and control and require an inmate to resubmit his requests to other departments within the institution as such other records were within the custody and control of the correctional institution on whose behalf she responded; the proper course would have been to confer with the open records coordinator, and possibly the deputy warden of security’s office and the medical department, in formulating the proper response to the inmate’s request and to have rerouted each portion of the request to the appropriate department that maintained the requested records, rather than requiring the inmate to resubmit his request to the different departments. OAG 99-ORD-157.

Because the incident reports at issue did not mention an inmate by name, he was prohibited from inspecting the records, even though he was affected by the incidents covered by the reports. OAG 99-ORD-157.

A county division of community corrections did not violate the Open Records Act when it denied a request by an inmate for various records, including names of various persons on floors of a detention center, on the ground that such records did not specifically relate to the inmate. OAG 00-ORD-153.

A county jailer properly denied a request for various records pertaining to the jail, including names and other information about jail employees and inmates housed in a certain dormitory, as such information did not specifically pertain to the inmate requesting the records and disclosure would have constituted a threat to their security as well as to the security of their families. OAG 00-ORD-182.

An inmate was not entitled to disclosure of raw data from psychological tests that were contained in his sexual offense treatment program file; access to those records was properly denied to prevent the dissemination of the test and data to other inmates prior to their taking the examination and because the inmate was not qualified to utilize or interpret the information. OAG 00-ORD-204.

Although neither KRS 197.025 nor KRS 197.400 et seq. invests a participant in the sexual offender treatment program with an unfettered right of access to all records in his treatment file, neither statute establishes an absolute bar to his access. As in all matters pertaining to records access, it is incumbent on the agencies to identify all records in the file that were withheld, and to articulate a basis for denying him access to them in terms of the requirements of the Open Records Act. If no legally defensible basis exists for denying the offender access to the other records in his file, these agencies are obligated to disclose them to him. OAG 00-ORD-221.

A correctional facility properly denied an inmate’s request for a copy of 501 KAR 6:080 since that administrative regulation does not pertain to the inmate, and because the correctional facility did not possess a copy of that administrative regulation. OAG 01-ORD-5.

Although the Open Records Law, and in particular KRS 61.880 , contains no statute of limitations for initiating open records appeals, KRS 197.025(3) requires inmates confined in penal facilities to initiate an appeal of “any denial of an open record” with the Attorney General within twenty days. OAG 02-ORD-54.

BCFC properly denied the inmate’s request for a copy of the memorandum outlining changes in work programs for inmates diagnosed with Hepatitis, notwithstanding the fact that he has been diagnosed with this illness, because that memorandum does not specifically reference him. OAG 03-ORD-73.

The Fayette County Detention Center properly denied an inmate’s request for copies of various contracts with outside vendors, because the contracts do not specifically reference him. OAG 03-ORD-74.

KRS 197.025(2) applies to bar the request of a non-convicted federal pre-trial inmate being held for the U.S. Marshals in a county jail for records related to the jail commissary. OAG 03-ORD-150.

The Correctional Complex properly relied upon KRS 197.025(1) in its denial of the request for copies of the entry/exit logs, the daily rosters for the security staff, the duty rosters, and the time and attendance records for the security staff. Disclosure of the documents would pose a threat to the security of the institution because disclosure of these records could enable a requester to determine (1) when posts filled by these individuals were either unmanned or in a state of change; and (2) when these individuals may be found in close proximity to the institution for purposes of harassment. OAG 04-ORD-180.

KRS 197.025(2) necessarily applies to Corrections Corporation of America. Although the statute does not specifically provide that private providers such as CCA and facilities under its jurisdiction are not required to comply with such requests, to hold otherwise would yield the absurd result that inmates housed at private correctional facilities under the jurisdiction of CCA or other private providers would be able to access records which inmates housed at state facilities under the jurisdiction of the Department of Corrections are unable to access. OAG 04-ORD-205.

Where sufficient objective indicia exist to establish an identity of purpose between an inmate and a non-inmate, the attorney general will not require disclosure of records to the latter, thereby undermining the purpose for which KRS 197.025(2) was enacted. In this case, objective indicia exist to establish an “identity of purpose” between an inmate and the requester, namely, the Power of Attorney and the postal money orders from the inmate to the Kentucky State Treasurer. OAG 04-ORD-214.

Where an inmate receives a disciplinary report for unauthorized use of drugs, and receives a copy of the internal chain of custody form for collection of the urine sample and the laboratory chain of custody forms, to the extent the back pages of original urinalysis chain of custody documentation contains information that is not addressed to or does not specifically refer to an inmate, the Department of Corrections is authorized to except those pages from disclosure to inmates under KRS 61.878(1)( l ) and KRS 197.025(2). OAG 04-ORD-248.

The Department of Corrections may properly withhold the requested personnel record of a deputy warden on the basis of KRS 197.025(1) assuming it satisfies its burden of proof by establishing that disclosure would constitute a threat to the security of any inmate, the staff of the institution, or any other person, and promptly notifies the requester in writing of its decision. OAG 05-ORD-34.

A correctional facility did not violate the Open Records Act in its denial of an inmate’s request to inspect his psychological file—mainly the psychological evaluation. OAG 05-ORD-101.

Lee Adjustment Center properly denied a request to inspect the records regarding the firing of an officer on the basis of KRS 197.025(1) or, in the alternative, KRS 197.025(2), both of which are incorporated into the Open Records Act by operation of KRS 61.878(1)( l ). OAG 05-ORD-143.

Correctional institution did not violate the Open Records Act in denying an inmate access to “still frame pictures . . .from basement control camera” within the institution because photographs created from the camera would show areas where it was capable of focusing and blind spots outside its range and it would be impossible for the institution to redact the photographs and eliminate the security concern. OAG 06-ORD-005.

In responding to the request of an inmate for copies of “all statements/occurrence reports made by any medical department employees” regarding his confinement in segregation, a correctional institution properly relied upon KRS 197.025(1) in redacting the name of a medical staff member who provided a statement that was incorporated into a report concerning the incident. OAG 06-ORD-026.

197.030. Department may contract for construction of railroads on penitentiary property.

The Department of Corrections may enter into a contract with any railroad company for the construction of railroad switches, sidetracks, or spurs into the yards of the penitentiaries of the state, and may sell and convey rights-of-way owned by the state to any railroad company, and may grant rights-of-way to railroads across any penitentiary property of the state.

History. 216c-4: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 22, effective July 15, 1982; 1992, ch. 211, § 46, effective July 14, 1992.

Research References and Practice Aids

Cross-References.

State lands and buildings, KRS Chapter 56.

197.035. Computation of consecutive or concurrent sentence.

  1. A sentence, on conviction of a felony, imposed upon a confined prisoner for a crime committed prior to the date of his instant commitment, if designated to be served consecutively, shall be added to the sentence or sentences being served.
  2. If the additional sentence is designated to be served concurrently, or the commitment is silent, he shall be considered as having started to serve said sentence on the day he was committed on the first sentence.

History. Enact. Acts 1963 (2nd Ex. Sess.), ch. 4, § 8.

NOTES TO DECISIONS

1.Consecutive Terms.

Where the defendant was serving a sentence on his conviction of robbery in Kenton County before his conviction of robbery in Jefferson County, and where the latter conviction was designated to be served consecutively, the Jefferson County sentence was added to the sentence being served from Kenton County. Merritt v. Commonwealth, 447 S.W.2d 625, 1969 Ky. LEXIS 96 ( Ky. 1969 ).

2.Concurrent Sentence in Foreign Jurisdiction.

Where defendant, through plea bargain with Commonwealth’s attorney, was sentenced to three ten-year sentences for armed robbery to run concurrently with sentence then being served in Indiana, was returned to Indiana, and served three years, was paroled and immediately was arrested by Kentucky officials and served three years in Kentucky, he was entitled to a habeas corpus and release since under this section and KRS 532.120 his Kentucky sentence began the day he was confined in Indiana on his Indiana conviction and since he was entitled to Kentucky credit for all time served in Indiana and his Kentucky sentence terminated at the discharge of the term of his longest sentence, a date not apparent from the record. Brock v. Sowders, 610 S.W.2d 591, 1980 Ky. LEXIS 279 ( Ky. 1980 ).

3.Jurisdiction.

Denial of writ of habeas corpus was proper because this situation was one where defendant’s maximum out-of-state sentence had expired and not one where he possibly remained under the jurisdiction of out-of-state authorities and because his Kentucky sentence was longer than the maximum out-of-state sentence, he was now lawfully under the jurisdiction of the Kentucky prison system and incarcerated. Hudson v. Commonwealth, 932 S.W.2d 371, 1996 Ky. LEXIS 104 ( Ky. 1996 ).

4.Concurrent Sentences.

Defendant’s conviction for promoting contraband failed to meet the requirements of KRS 532.080(2)(c)(1) because he did not complete service of the sentence imposed for that offense within five years of the offense date alleged for his burglary conviction, as such, defendant’s persistent felony offender conviction was reversed. Lienhart v. Commonwealth, 953 S.W.2d 70, 1997 Ky. LEXIS 112 ( Ky. 1997 ).

Under KRS 197.035(2), the inmate’s motion for custody credit against his Kentucky sentence for time served on the Florida sentence was properly denied because credit would not be calculated and awarded until completion of the Florida sentence; otherwise, the inmate would receive double credit for time spent in Florida. Richards v. Commonwealth, 305 S.W.3d 443, 2010 Ky. App. LEXIS 50 (Ky. Ct. App. 2010).

Cited in:

Kassulke v. Briscoe-Wade, 105 S.W.3d 403, 2003 Ky. LEXIS 44 ( Ky. 2003 ); Martin v. Chandler, 122 S.W.3d 540, 2003 Ky. LEXIS 265 ( Ky. 2003 ).

197.040. Commutation of sentence. [Repealed.]

Compiler’s Notes.

This section (1136a) was repealed by Acts 1956, ch. 102.

197.041. Credit for period confined on reversal and second conviction.

If a defendant is confined in the penitentiary during the pendency of an appeal and, on reversal, is again convicted, he shall be given credit for the period so confined in determining his date of eligibility for parole and his date of release by expiration of sentence.

History. Enact. Acts 1962, ch. 234, § 17.

NOTES TO DECISIONS

1.Credit for Time Served.

Where the defendant’s conviction for armed assault with intent to rob was vacated, he was entitled to credit for his time of confinement on his subsequent conviction for armed robbery resulting from the same robbery. Brooks v. Commonwealth, 447 S.W.2d 614, 1969 Ky. LEXIS 92 ( Ky. 1969 ).

197.045. Credit on sentence for prior confinement, educational accomplishment, good behavior, or meritorious service — Requirement of completion of sex offender treatment program for eligible sexual offenders — Forfeiture of credit for certain dismissals of inmates’ civil actions.

  1. Any person convicted and sentenced to a state penal institution:
    1. Shall receive a credit on his or her sentence for:
      1. Prior confinement as specified in KRS 532.120 ;
      2. Successfully receiving a High School Equivalency Diploma or a high school diploma, a college degree, a completed vocational or technical education program, or a correspondence postsecondary education program which results in a diploma or degree, as provided, defined, and approved by the department in the amount of ninety (90) days per diploma, degree, or technical education program completed;
      3. Successfully completing a drug treatment program, evidence-based program, or any other promising practice or life skills program approved by the department, in the amount of not more than ninety (90) days for each program completed. The department shall determine criteria to establish whether a life skills or promising practice program is eligible for sentence credits. Programs shall demonstrate learning of skills necessary for reintegration into the community to minimize barriers to successful reentry. Approval of programs shall be subject to review by the cabinet; and
    2. May receive a credit on his or her sentence for:
      1. Good behavior in an amount not exceeding ten (10) days for each month served, to be determined by the department from the conduct of the prisoner;
      2. Performing exceptionally meritorious service or performing duties of outstanding importance in connection with institutional operations and programs, awarded at the discretion of the commissioner in an amount not to exceed seven (7) days per month; and
      3. Acts of exceptional service during times of emergency, awarded at the discretion of the commissioner in an amount not to exceed seven (7) days per month.
  2. Except for a sentencing credit awarded for prior confinement, the department may forfeit any sentencing credit awarded under subsection (1) of this section previously earned by the prisoner or deny the prisoner the right to earn future sentencing credit in any amount if during the term of imprisonment, a prisoner commits any offense or violates the rules of the institution.
  3. When two (2) or more consecutive sentences are to be served, the several sentences shall be merged and served in the aggregate for the purposes of the sentencing credit computation or in computing dates of expiration of sentence.
  4. Until successful completion of the sex offender treatment program, an eligible sexual offender may earn sentencing credit. However, the sentencing credit shall not be credited to the eligible sexual offender’s sentence. Upon the successful completion of the sex offender treatment program, as determined by the program director, the offender shall be eligible for all sentencing credit earned but not otherwise forfeited under administrative regulations promulgated by the Department of Corrections. After successful completion of the sex offender treatment program, an eligible sexual offender may continue to earn sentencing credit in the manner provided by administrative regulations promulgated by the Department of Corrections. Any eligible sexual offender, as defined in KRS 197.410 , who has not successfully completed the sex offender treatment program as determined by the program director shall not be entitled to the benefit of any credit on his or her sentence. A sexual offender who does not complete the sex offender treatment program for any reason shall serve his or her entire sentence without benefit of sentencing credit, parole, or other form of early release. The provisions of this section shall not apply to any sexual offender convicted before July 15, 1998, or to any sexual offender with an intellectual disability.
    1. The Department of Corrections shall, by administrative regulation, specify the length of forfeiture of sentencing credit and the ability to earn sentencing credit in the future for those inmates who have civil actions dismissed because the court found the action to be malicious, harassing, or factually frivolous. (5) (a) The Department of Corrections shall, by administrative regulation, specify the length of forfeiture of sentencing credit and the ability to earn sentencing credit in the future for those inmates who have civil actions dismissed because the court found the action to be malicious, harassing, or factually frivolous.
    2. Penalties set by administrative regulation pursuant to this subsection shall be as uniform as practicable throughout all institutions operated by, under contract to, or under the control of the department and shall specify a specific number of days or months of sentencing credit forfeited as well as any prohibition imposed on the future earning of sentencing credit.
  5. Starting in fiscal year 2021-2022 and through fiscal year 2023-2024, if a state prisoner is confined in a jail pursuant to Section 6 of this Act and earns sentencing credits under subsection (1)(a)2. or 3. of this section while confined in that jail, at the end of that prisoner’s period of confinement in that jail, the department shall pay a fee to the unit of local government or regional jail authority responsible for the administration of that jail as follows:
    1. For every Department of Corrections-approved program completed which resulted in the issuance of a ninety (90) day sentencing credit, a payment of one thousand dollars ($1,000) shall be made;
    2. For every Department of Corrections-approved program completed which resulted in the issuance of a sixty (60) day sentencing credit, a payment of six hundred dollars ($600) shall be made; and
    3. For every Department of Corrections-approved program completed which resulted in the issuance of a thirty (30) day sentencing credit, a payment of three hundred dollars ($300) shall be made.
  6. The provisions in subsection (1)(a)2. of this section shall apply retroactively to July 1, 2018.

HISTORY: Enact. Acts 1956, ch. 102, § 1; 1962, ch. 109, § 1; 1970, ch. 90, § 1; 1974, ch. 146, § 1; 1982, ch. 344, § 23, effective July 15, 1982; 1990, ch. 497, § 12, effective July 13, 1990; 1992, ch. 211, § 42, effective July 14, 1992; 1992, ch. 445, § 7, effective July 14, 1992; 1996, ch. 118, § 6, effective July 15, 1996; 1996, ch. 145, § 6, effective July 15, 1996; 1998, ch. 606, § 24, effective July 15, 1998; 2000, ch. 345, § 3, effective July 14, 2000; 2006, ch. 182, § 22, effective July 12, 2006; 2010, ch. 107, § 3, effective July 15, 2010; 2011, ch. 2, § 36, effective June 8, 2011; 2012, ch. 146, § 27, effective July 12, 2012; 2013, ch. 69, § 9, effective June 25, 2013; 2014, ch. 94, § 5, effective July 15, 2014; 2017 ch. 63, § 25, effective June 29, 2017; 2019 ch. 116, § 2, effective June 27, 2019; 2021 ch. 194, § 4, effective March 30, 2021.

Compiler’s Notes.

Section 197 of Acts 1998, ch. 606, provided that the 1998 amendments to this section and the 1998 amendments to KRS 197.070 and 532.060 , together with KRS 532.043 , “may be cited as the Sarah Hansen Act.”

NOTES TO DECISIONS

Analysis

1.Application.

The application of the additional requirements imposed by subsection (4) for earning credit toward parole for good behavior to a defendant who committed third degree sodomy prior to the effective date of the statute was not unconstitutional as an improper ex post facto application of the statute. Lozier v. Commonwealth, 32 S.W.3d 511, 2000 Ky. App. LEXIS 33 (Ky. Ct. App. 2000).

Although statutory law permitted a trial court to grant an inmate sentence credits under certain circumstances, the trial court erred in finding that it was required to give the inmate credit on the inmate’s Kentucky sentence for the time the inmate served on a Missouri sentence imposed on the inmate while the inmate was on parole from the inmate’s Kentucky sentence since a Kentucky parolee was not entitled to credit for the time spent on parole from a sentence. Kassulke v. Briscoe-Wade, 105 S.W.3d 403, 2003 Ky. LEXIS 44 ( Ky. 2003 ), modified, 2003 Ky. LEXIS 134 (Ky. June 12, 2003).

Summary judgment was properly granted to prison psychologists, a guard, and the parole board members because even assuming that a good-time credit statute was retroactively applied to a prisoner, there would not have been an ex post facto violation because its application would not have increased the prisoner’s punishment beyond his original sentence. Froman v. Peterson, 74 Fed. Appx. 484, 2003 U.S. App. LEXIS 16479 (6th Cir. Ky. 2003 ).

Where an inmate alleged that the Department of Corrections improperly denied a petition to enter a KRS 197.045 sex offender treatment program, the inmate alleged the sort of constitutional tort that was subject to a one-year limitations period; because the inmate’s reapplications were essentially requests to reconsider the initial decision, the trial court properly determined that KRS 418.040 et seq. applied, and that the declaratory action was untimely under KRS 413.140 . Tyler v. Taylor, 128 S.W.3d 495, 2003 Ky. App. LEXIS 304 (Ky. Ct. App. 2003).

Although KRS 197.045(4) was applied retrospectively in an inmate’s case, as the statute was passed after the inmate’s initial conviction and sentence, the statute’s requirement of the inmate successfully completing the Sex Offender Treatment Program for the inmate’s eligibility to earn discretionary good time credits towards his subsequent concurrently running sentences following two (2) later convictions for sexual offenses, was not an increase in punishment prohibited by the ex post facto clause. Martin v. Chandler, 122 S.W.3d 540, 2003 Ky. LEXIS 265 ( Ky. 2003 ).

House Bill (HB) 406, 2008 Ky. Acts 127, did not violate KRS 197.045(1) because it did not abrogate the restrictions imposed by § 197.045(1), which limited good time to months served. Commonwealth ex rel. Conway v. Thompson, 300 S.W.3d 152, 2009 Ky. LEXIS 290 ( Ky. 2009 ).

Appellant failed to show any palpable error related to the sentencing testimony of a parole officer concerning good time credits where the officer correctly explained to the jury that an inmate could receive four types of sentence credits, thereby reducing their overall sentence. Little v. Commonwealth, 553 S.W.3d 220, 2018 Ky. LEXIS 282 ( Ky. 2018 ).

2.Forfeiture.

The privilege granted by this statute is not a vested right, but is merely a conditional gratuity which may be forfeited by the prisoner’s misconduct. Fowler v. Black, 364 S.W.2d 164, 1963 Ky. LEXIS 200 ( Ky. 1963 ).

Where a chain of custody of a urinalysis was not flawed, an inmate’s loss of good-time credits for unauthorized drug use was not a violation of due process; the inmate received all due process to which the inmate was entitled. Rhodes v. Phillips, 2003 Ky. App. Unpub. LEXIS 955 (Ky. Ct. App. May 23, 2003).

3.—Hearing Not Required.

Denial or forfeiture of “good time” credits allowed a prisoner by this section does not require an antecedent hearing. McGuffin v. Cowan, 505 S.W.2d 773, 1974 Ky. LEXIS 801 ( Ky. 1974 ).

4.Multiple Life Sentences.

Whether a defendant has been given one or multiple sentences of life imprisonment, all of the multiple life sentences run concurrently and the defendant is eligible for parole as if only one life sentence had been imposed. Berning v. Commonwealth, 550 S.W.2d 561, 1977 Ky. LEXIS 448 ( Ky. 1977 ).

5.Presentence Incarceration.

Where a defendant spent 317 days in county jail prior to the commencement of his sentence, KRS 532.120 mandated that he receive “good time” for those days and such mandate did not conflict with this section. Polsgrove v. Kentucky Bureau of Corrections, 559 S.W.2d 736, 1977 Ky. LEXIS 560 ( Ky. 1977 ).

6.No Vested Right to Credit.

There is no constitutional or inherent right of a convicted person to be conditionally released before the expiration of a valid sentence, and an inmate has no vested right or reasonable entitlement to good time credit, whether it be the non-educational good time credit set forth by KRS 197.045(1) or the meritorious good time credit set forth by KRS 197.045(3); the Department of Corrections did not violate any of an inmate’s liberty interests or his right to due process by refusing to allow him to attend a Sex Offender Treatment Program after he was found to be a “non-admitter,” despite the fact that the inmate’s entitlement to parole and credit were conditioned upon completion of the program. Seymour v. Colebank, 179 S.W.3d 886, 2005 Ky. App. LEXIS 168 (Ky. Ct. App. 2005).

Because a Kentucky prisoner had no right to accumulate good-time credits, his substantive due process rights were not violated by his inability to accumulate them. Grinter v. Knight, 532 F.3d 567, 2008 FED App. 0213P, 2008 U.S. App. LEXIS 12919 (6th Cir. Ky. 2008 ).

When appellant returned to prison for a parole violation, he had no liberty interest in the receipt of meritorious good time under KRS 197.045(3). Hill v. Thompson, 297 S.W.3d 892, 2009 Ky. App. LEXIS 206 (Ky. Ct. App. 2009).

7.Appellate Review.

Since the legislature authorized the Secretary of the Justice and Public Safety Cabinet, in overseeing the Department of Corrections, to regulate, reward, and punish prisoner conduct, and the secretary, without ceding or relinquishing that authority, properly delegated much of it to the wardens who, under properly adopted policies, had final say in the forfeiture of good-time credit, the only entities with the authority to restore good-time credit or expunge a prison record were the Department of Corrections and the warden, and, although the inmate had named the warden in the lawsuit in the trial court, the inmate’s failure to include the warden as an appellee in the notice of appeal was fatal. Watkins v. Fannin, 278 S.W.3d 637, 2009 Ky. App. LEXIS 34 (Ky. Ct. App. 2009).

Because KRS 197.045(1) mandated educational good time (EGT) credits, and because the inmate was assured an award of additional EGT credit if the inmate successfully obtained a general equivalency diploma, despite the fact that the inmate already had college degrees, the trial court erred in dismissing the inmate’s petition for declaration of rights. Richardson v. Rees, 283 S.W.3d 257, 2009 Ky. App. LEXIS 46 (Ky. Ct. App. 2009), overruled in part, Roberts v. Thompson, 2012 Ky. App. LEXIS 173 (Ky. Ct. App. Sept. 14, 2012).

8.Education Credit.

Department of Corrections had no discretion to deny an inmate 90 days of Education Good Time credit for a second associate degree, although the degree was in a related area to the inmate’s first associate degree. Under KRS 197.045(1) as amended in June 2011, the Department was required to extend the credit. Roberts v. Thompson, 2012 Ky. App. LEXIS 173 (Ky. Ct. App. Sept. 14, 2012), op. withdrawn, sub. op., 388 S.W.3d 519, 2012 Ky. App. LEXIS 279 (Ky. Ct. App. 2012).

Inmate had to be awarded educational good time (EGT) credit because KRS 197.045(1) required the Kentucky Department of Corrections to give the credit for both associates degrees that the inmate earned; Kentucky Corrections Policies and Procedures 20.1(II)(C)(1)(c)(b), incorporated into 501 Ky. Admin. Regs. 6:020, had no effect in light of the lack of discretion given to the Department with regards to this credit. Roberts v. Thompson, 388 S.W.3d 519, 2012 Ky. App. LEXIS 279 (Ky. Ct. App. 2012).

9.Evidence.

At defendant’s trial for first-degree possession of a controlled substance and possession of a handgun by a convicted felon, his right to due process was not denied by his parole officer’s testimony during the penalty phase regarding the potential effect of parole and sentence credits on defendant’s sentence under KRS 197.045 . The testimony comported with the aims of the truth-in-sentencing statute, KRS 532.055 , and was not unfair. Cox v. Commonwealth, 399 S.W.3d 431, 2013 Ky. LEXIS 228 ( Ky. 2013 ).

Cited in:

Ivey v. Wilson, 577 F. Supp. 169, 1983 U.S. Dist. LEXIS 13686 (W.D. Ky. 1983 ); Hobbs v. Commonwealth, 690 S.W.2d 771, 1985 Ky. App. LEXIS 596 (Ky. Ct. App. 1985); Gilhaus v. Wilson, 734 S.W.2d 808, 1987 Ky. App. LEXIS 490 (Ky. Ct. App. 1987); Kassulke v. Briscoe-Wade, 105 S.W.3d 403, 2003 Ky. LEXIS 44 ( Ky. 2003 ).

Notes to Unpublished Decisions

1.Application.

Unpublished decision: Application of new policy regarding meritorious good time credits under KRS 197.045 did not violate the Ex Post Facto Clause where it carried only theoretical risk of affecting the inmate’s punishment and seemed to work to the inmate’s advantage; thus, inmate’s habeas petition under 28 U.S.C.S. § 2241 was dismissed. Johnson v. Million, 102 Fed. Appx. 15, 2004 U.S. App. LEXIS 8662 (6th Cir. Ky. 2004 ).

Opinions of Attorney General.

There is nothing in either former KRS 431.155 or in this section from which it could be inferred that the legislature intended that the good-time credit of ten days for each month served provided for in this section would apply to the pre-institutional incarceration referred to in former KRS 431.155 . OAG 68-227 , affirmed OAG 67-227 .

This section does not violate the equal protection clause of the United States Constitution. OAG 74-393 .

Where a defendant received consecutive sentences of 10 years and 20 years as a persistent felony offender in the first degree, the two sentences are merged for the purpose of computing dates of expiration of sentence, thus, the defendant would be eligible for parole after serving the 10 years prescribed in KRS 532.080(7). OAG 80-185 .

A county judge/executive has no authority to award good time to misdemeanants convicted in the District Court. OAG 84-352 .

Research References and Practice Aids

Cross-References.

Calculation of terms of imprisonment, Penal Code, KRS 532.120 .

Determination of release dates by Commissioner of Department of Corrections, KRS 196.070 .

Kentucky Bench & Bar.

Combs, The Calculation and Application of Prison Sentences., Vol. 70, No. 5, September 2006, Ky. Bench & Bar 7.

Coy, A Brief Look at the Kentucky Parole System., Vol. 70, No. 5, September 2006, Ky. Bench & Bar 13.

Kentucky Law Journal.

West, Criminal Law, 74 Ky. L.J. 403 (1985-86).

Northern Kentucky Law Review.

Bartlett, Alternative Sanctions and the Governor’s Crime Bill of 1998 (HB 455): Another Attempt at Providing a Framework for Efficient and Effective Sentencing, 27 N. Ky. L. Rev. 283 (2000).

Treatises

Petrilli, Kentucky Family Law, Juvenile Court, § 32.24.

197.047. Credit on sentence for work on governmental services program-related project — Eligibility — Computation of credit — Forfeiture of credit.

    1. As used in this section, “governmental services program-related project” means a project involving work for: (1) (a) As used in this section, “governmental services program-related project” means a project involving work for:
      1. The Commonwealth or an agency of the Commonwealth; or
      2. A county, urban-county, charter county, city, consolidated local government, special district, or an agency of any of these entities.
    2. Work on a governmental services program shall not confer private benefit on a person except as may be incidental to the public benefit.
  1. The department shall promulgate an administrative regulation governing prisoners working on governmental services program-related projects.
  2. A prisoner shall not begin work on a particular governmental services program-related project without the approval of the director of the relevant entity referred to in subsection (1)(a) of this section, or the director’s designee.
  3. Participation in governmental services program-related projects shall not be deemed employment for any purpose, and a prisoner shall not be deemed an employee or agent of the entity for which he or she performs the community service work.
  4. A Department of Corrections administrative regulation shall set forth the amount of compensation a prisoner shall earn for any work-related project, and any prisoner who works on a governmental services program shall receive an amount equal to one-half (1/2) of the established compensation for such work and shall be eligible to receive a sentence credit as set forth below.
  5. The sentence credit provisions of this section shall not apply to a prisoner who is serving a:
    1. Sentence of imprisonment for life without possibility of parole;
    2. Sentence for a violent offense as defined in KRS 439.3401 ;
    3. Sentence for escape or attempted escape; or
    4. Sentence for a sex crime as defined in KRS 17.500 .
  6. The department may grant sentence credits to inmates confined in a detention facility for labor performed in a governmental services program or within a detention facility for the maintenance of the facility or for the operation of facility services such as food service.
  7. Credit, if granted, shall be uniform and shall be based on the following:
    1. For every eight (8) full hours of work, one (1) sentence credit shall be earned;
    2. For every five (5) sentence credits earned, one (1) day of the sentence to be served by the inmate shall be deducted; and
    3. Sentence credits shall be deducted from the maximum expiration date of the sentence.
  8. The department may forfeit any credit previously earned by the prisoner or deny the prisoner the right to earn this work credit or the right to earn work credit in any amount if, during the term of imprisonment, a prisoner commits any offense or violates the rules of the institution.
  9. Any other provision of law to the contrary notwithstanding, the labor of state inmates shall not be used on any construction, building, or building maintenance project outside the prison where use of such labor would reduce skilled employment opportunities of citizens of the Commonwealth. Skilled employment includes but is not limited to labor ordinarily performed by skilled tradespersons.

History. Enact. Acts 2003, ch. 79, § 1, effective June 24, 2003.

NOTES TO DECISIONS

1. In General.

By employing Ky. Rev. Stat. Ann. § 532.120 to define the way multiple consecutive sentences are to be summed into an aggregate, a single whole or total formed by combining several elements, the General Assembly made clear its intent that the several consecutive sentences imposed in a judgment be viewed as a single unit. Thus, a violent offender confined under consecutive sentences must be regarded as undergoing a single, continuous term of confinement, which is satisfied by discharge of that unit of time, rather than a series of distinct, independent terms. Without authority in either the general sentencing statute or Ky. Rev. Stat. Ann. § 197.047 for unpacking an aggregate sentence, neither the Kentucky Department of Corrections nor the courts are at liberty to do so. Ky. Dep't of Corr. v. Dixon, 572 S.W.3d 46, 2019 Ky. LEXIS 141 ( Ky. 2019 ).

By its terms, Ky. Rev. Stat. Ann. § 197.047(6)(b) applies to a prisoner serving a violent-offense sentence rather than to the sentence for that specific violent offense, i.e., the emphasis is on any inmate serving a violent offender sentence. Nothing in the work-credit statute authorizes a violent offender serving an aggregate sentence for both violent and nonviolent crimes to have his sentence partitioned into violent and nonviolent portions, just as nothing in the general sentencing statute allows such breaking of an aggregate sentence into discrete parts. Ky. Dep't of Corr. v. Dixon, 572 S.W.3d 46, 2019 Ky. LEXIS 141 ( Ky. 2019 ).

Inmate’s habeas petition which alleged an unfair parole revocation hearing in violation of his constitutional rights was denied because KRS 439.344 applied to the inmate rather than a subsequently enacted law, KRS 197.047 did not require the Department of Corrections to award “work for time” credit, there was no constitutional right to parole, and there was no due process violation with regard to the parole hearing. Lang v. Ky. State Parole Bd., 2005 U.S. Dist. LEXIS 19406 (E.D. Ky. Sept. 6, 2005).

Ky. Rev. Stat. Ann. § 197.047 allows work-time sentence credit to inmates, but the credit is not available to a prisoner who is serving a sentence for a violent offense. Ky. Dep't of Corr. v. Dixon, 572 S.W.3d 46, 2019 Ky. LEXIS 141 ( Ky. 2019 ).

Prohibition in Ky. Rev. Stat. Ann. § 197.047(6)(b) applies to the aggregate sentence rather than disallowing work-time credit for only a component violent-offense sentence. Ky. Dep't of Corr. v. Dixon, 572 S.W.3d 46, 2019 Ky. LEXIS 141 ( Ky. 2019 ).

When a criminal defendant is serving consecutive, indeterminate sentences, Ky. Rev. Stat. Ann. § 532.120(1)(b) directs that those sentences are to be combined into an aggregate term, i.e., a single, continuous sentence. The disallowance of work-time sentence credit to a violent offender in Ky. Rev. Stat. Ann. § 197.047 applies to the single, continuous sentence; the violent offender cannot receive work-time credit on nonviolent sentences which have merged into the whole. Ky. Dep't of Corr. v. Dixon, 572 S.W.3d 46, 2019 Ky. LEXIS 141 ( Ky. 2019 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Combs, The Calculation and Application of Prison Sentences., Vol. 70, No. 5, September 2006, Ky. Bench & Bar 7.

197.050. Warden to inform prisoners of law on escapes.

The warden of the penitentiary shall cause each prisoner, when received into the penitentiary, to be informed of the contents of Chapter 520 and KRS 506.010 .

History. 1233: amend. Acts 1980, ch. 188, § 147, effective July 15, 1980; 1984, ch. 401, § 3, effective July 13, 1984.

Research References and Practice Aids

Cross-References.

Escape of convicts, KRS 440.010 , 502.020 , 506.010 , 520.020 to 520.040 , 520.110 to 520.130 .

197.055. Education program on AIDS — Policies for inmates — Testing program.

  1. The Department of Corrections, in conjunction with the Cabinet for Health and Family Services, shall establish a mandatory introductory and continuing education program on human immunodeficiency virus and acquired immunodeficiency syndrome for all inmates. Programs shall be specifically designed for inmates while incarcerated and in preparation for release into the community. Consideration shall be given to cultural and other relevant differences among inmates in the development of educational materials and shall include emphasis on behavior and attitude change. The education program shall be continuously updated to reflect the latest medical information available.
  2. If there is evidence that an inmate, while in the custody of the department, has engaged in behavior which places the inmate at a high risk of transmitting or contracting a human immunodeficiency disorder, the department shall begin a testing program which is consistent with guidelines of the Centers for Disease Control and recommendations of the correctional medical authority and shall target persons who have been involved in or reasonably thought to have been involved in a high-risk behavior. For purposes of this subsection, “high-risk behavior” includes:
    1. Sexual contact with any person within the institution;
    2. The use of intravenous drugs;
    3. Tattooing; and
    4. Any other activity medically known to transmit the virus.
  3. The results of the tests shall become a part of that inmate’s medical file, accessible only to persons designated by agency administrative regulations.
  4. The department shall establish policies consistent with guidelines of the Centers for Disease Control and recommendations of the correctional medical authority on the housing, physical contact, dining, recreation, and exercise hours or locations for inmates with immunodeficiency disorders as are medically indicated and consistent with the proper operation of its facilities.
  5. The department shall report to the General Assembly by July 1 each year as to the implementation of this program and the participation by inmates and staff.
  6. If an inmate is involved in a situation with a department employee which could result, according to the institution’s physician, in the transmission of the human immunodeficiency virus infection, the inmate shall be tested.
  7. All testing procedures, disclosure, and payment shall be pursuant to KRS 438.250 .

History. Enact. Acts 1990, ch. 443, § 36, effective July 13, 1990; 1992, ch. 211, § 47, effective July 14, 1992; 1994, ch. 309, § 3, effective July 15, 1994; 1998, ch. 426, § 131, effective July 15, 1998; 2005, ch. 99, § 171, effective June 20, 2005.

Legislative Research Commission Notes.

(11/19/91). No subsection (3) was contained in this statute as enacted in 1990 Acts ch. 443, § 36. Pursuant to KRS 7.136(1), the Reviser of Statutes has renumbered the subsections of this statute to correct this problem.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

197.057. Course for inmates on prevention of pediatric abusive head trauma.

  1. The department shall make available a one and one-half (1.5) hour course for inmates that addresses the prevention of pediatric abusive head trauma, as defined in KRS 620.020 . In addition to presenting the consequences of vigorously shaking an infant or young child, this course shall suggest methods of calming crying infants, techniques for caregivers to use to calm themselves when confronted with an infant that is crying inconsolably, and discuss selecting appropriate care providers for infant children. Training in recognizing pediatric abusive head trauma may be designed in collaboration with organizations and agencies that specialize in the prevention and recognition of pediatric abusive head trauma approved by the secretary of the Cabinet for Health and Family Services.
  2. The department shall encourage local jails to provide a course similar to that described in subsection (1) of this section.

History. Enact. Acts 2010, ch. 171, § 5, effective July 15, 2010.

197.060. Classification of prisoners. [Repealed.]

Compiler’s Notes.

This section (216c-4, 3828b-10) was repealed by Acts 1942, ch. 31, § 3.

197.061. Property of inmates — Preservation of evidence or contraband. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, ch. 497, § 21, effective July 13, 1990) was repealed by Acts 1992, ch. 445, § 14, effective July 14, 1992.

Legislative Research Commission Notes.

(7/14/92). This section was amended by the 1992 Regular Session of the General Assembly and also repealed. Pursuant to KRS 446.260 , the repeal prevails.

197.065. Classification and segregation of prisoners in penal institutions — Transfer between institutions.

  1. The commissioner shall classify all prisoners and segregate the prisoners in all of the state penal institutions and reformatories according to their past records, the probability of their being rehabilitated, the influence such prisoners might exert upon fellow prisoners, and for any other purpose that the commissioner, in his discretion, may deem sufficient for the discipline of the prisoners in any institution or reformatory, and for the rehabilitation of any prisoners.
  2. For the purposes of carrying out subsection (1) of this section, the commissioner shall direct and compel the transfer of any prisoner from any penal institution or reformatory, irrespective of the order of the court committing the prisoner to any one (1) institution or reformatory.

History. Enact. Acts 1942, ch. 31, §§ 1, 2; 1982, ch. 344, § 24, effective July 15, 1982; 1992, ch. 211, § 49, effective July 14, 1992.

NOTES TO DECISIONS

1.Constitutionality.

This section and KRS 196.070 are constitutional. Swanners v. Thomas, 387 S.W.2d 307, Ky. LEXIS 468 (Ky.), cert. denied, 382 U.S. 865, 86 S. Ct. 131, 15 L. Ed. 2d 103, 1965 U.S. LEXIS 893 (U.S. 1965).

2.Liberty Interest.

This section and KRS 439.600 and 197.140 establish no liberty interest for prison inmates. Canterino v. Wilson, 869 F.2d 948, 1989 U.S. App. LEXIS 2907 (6th Cir. Ky. 1989 ).

Cited in:

Harris v. Commonwealth, 342 S.W.2d 535, 1960 Ky. LEXIS 98 ( Ky. 1960 ); Campbell County v. Commonwealth, Kentucky Corrections Cabinet, 762 S.W.2d 6, 1988 Ky. LEXIS 50 ( Ky. 1988 ).

197.070. Employment of prisoners — Manufacture of clothing — Industrial training.

  1. The Department of Corrections shall provide employment for all prisoners in the penitentiaries and it shall exhaust every resource at its command to provide employment for all prisoners in its custody.
  2. The department shall acquire necessary equipment and materials and have manufactured all clothing, except that privately furnished, that is needed for the usual and suitable clothing of all state prisoners, and of all inmates in all state institutions, who are required to be clothed by the state. The department shall acquire equipment for the manufacture and production of all other state supplies, that in the reasonable discretion of the department is deemed practicable, and shall have the products manufactured, sold, and distributed as provided in this chapter.
  3. The department shall establish industrial training in the penitentiaries and shall classify state prisoners according to the uses for prison labor and ability and talent of the prisoners, utilizing the best available local talent and other talent that may be obtained at an economical and practical cost, and shall select a suitable number of guards with the qualifications, when possible, and thereby avoid duplicate expense.

History. 3828c-3: amend. Acts 1968, ch. 76, § 1; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 25, effective July 15, 1982; 1992, ch. 211, § 50, effective July 14, 1992.

NOTES TO DECISIONS

1.Workers’ Compensation.

The word “employment” as used in subsection (1) of this section does not mean that prisoners are thereby constituted “employees” as the word is commonly understood; it is simply a direction that the department (now cabinet) should make work available to occupy the time of prisoners rather than to allow them to remain idle and thus a prisoner working inside prison during his term of confinement is not an employee of the state and is not entitled to workers’ compensation benefits under KRS 342.640 (1) and (3). Tackett v. Lagrange Penitentiary, 524 S.W.2d 468, 1975 Ky. LEXIS 110 ( Ky. 1975 ).

Cited in:

Preston v. Ford, 378 F. Supp. 729, 1974 U.S. Dist. LEXIS 7329 (E.D. Ky. 1974 ).

Research References and Practice Aids

Cross-References.

Acquisition of farm lands for use of inmates of institutions, KRS 196.120 .

Interference with work of convicts or furnishing them with liquor, narcotics, weapons or explosives; penalty, KRS 506.010 , 520.050 , 520.060 .

197.080. Prisoners to manufacture license plates. [Repealed.]

Compiler’s Notes.

This section (3836a) was repealed by Acts 1954, ch. 46, § 9.

197.090. Prisoners may be required to manufacture road signs. [Repealed.]

Compiler’s Notes.

This section (3836a-1) was repealed by Acts 1954, ch. 46, § 9.

197.100. Sale of products of prison labor. [Repealed.]

Compiler’s Notes.

This section (3828c-5) was repealed by Acts 1954, ch. 46, § 9.

197.105. Prison Industry Enhancement Certification Program (PIECP) — Lease of labor of state prisoners within department’s facilities for production of nonagricultural goods for sale to public and private buyers.

  1. The department may administer a Prison Industry Enhancement Certification Program (PIECP) and may lease the labor of state prisoners within the boundaries of the state’s Department of Corrections facilities for the production of nonagricultural goods for sale to both public and private buyers, if the department meets the conditions set out in this section. This section shall apply only to the leasing of labor in accordance with a PIECP and not to programs otherwise operated by Kentucky Correctional Industries.
  2. The department shall not lease the labor of a prisoner who does not consent in writing to the leasing of that prisoner’s labor.
  3. The department shall retain full responsibility for the care, custody, and control of the prisoner and shall supply appropriate security and custody services without cost to the person leasing the labor.
  4. The department shall ensure that the prisoner is paid wages at a rate not less than that paid for work of a similar nature in the locality in which the work takes place, as determined by the Labor Cabinet, and never less than the federal minimum wage. The final decision on the appropriate wage, in keeping with federal and state labor and wage laws, shall be made by the Labor Cabinet.
  5. The department shall not allow a prisoner whose labor has been leased under this section to:
    1. Engage in work that would result in the displacement of employed workers in the specific Department of Corrections locale. As used in this paragraph, a displaced employed worker is:
      1. A civilian worker employed in the same task by the employer leasing or applying to lease prisoner labor, who would lose his or her job if the prisoner labor were leased; or
      2. A civilian worker who is employed full-time and, as a result of the prisoner labor lease, is forced to work part-time, regardless of wage increase.

        A civilian worker is not considered displaced for the purposes of this paragraph if the civilian worker remains employed in a job acceptable to that worker and at equal or higher wages than that worker previously received. The employer shall provide whatever retraining is required of the civilian worker at no cost to the civilian worker;

    2. Labor in a skill, craft, or trade in which there is a surplus of labor for that skill, craft, or trade in that specific Department of Corrections locale;
    3. Perform any work that would impair existing contracts for goods or services;
    4. Perform leased work outside of Department of Corrections facilities; or
    5. Perform leased construction work inside or outside Department of Corrections facilities.
  6. Before the commencement of any leased labor project at a Department of Corrections facility under this section, the department shall:
    1. Receive a written projection from the Labor Cabinet that the leased labor project shall not result in acts prohibited by subsection (5)(a) to (c) of this section;
    2. Receive written documentation from the employer leasing or applying to lease prisoner labor agreeing to not displace any of its nonprisoner employees with leased prisoner labor;
    3. Have written documentation of consultation with local unions representing labor in the specific Department of Corrections facility’s locale in any skill, craft, or trade in which a prisoner may labor at that facility. If a local union is not available, the department shall consult with a similar statewide union. The department shall present this information to the Kentucky State Corrections Commission;
    4. Have written documentation of consultation with local private businesses that may be economically impacted by the leased labor project. The department shall present this information to the Kentucky State Corrections Commission; and
    5. Have written documentation of compliance with the National Environmental Policy Act (NEPA).
  7. The leasing of prisoner labor shall not be deemed to create an employer-employee relationship between the person leasing the labor of the prisoner and the prisoner. However, the person leasing the labor of the prisoner shall provide for workers’ compensation coverage for the prisoner and, if applicable, Social Security coverage for the prisoner.
  8. A prisoner, as a condition of participation in a program operating under the provisions of this section, shall agree to the deductions from the prisoner’s earnings set out in this subsection. The department or the person leasing the labor of the prisoner shall deduct, in the following order, from a prisoner’s gross wages:
    1. If the prisoner is the subject of a court or administrative order for the support of a dependent, no less than twenty-five percent (25%) for the payment of the court or administratively ordered support. These deducted wages shall be paid to the Cabinet for Health and Family Services’ Child Support Enforcement Program for disbursement in accordance with federal and state law;
    2. Twenty percent (20%) to be paid to the crime victim’s compensation fund established in KRS 49.480 ;
    3. Applicable federal, state, and local taxes, including Social Security if applicable; and
    4. Reasonable room and board fees established by the department by administrative regulation. Total deductions from a prisoner’s gross wages shall not exceed eighty percent (80%).
  9. The department shall require any person leasing the labor of a prisoner to post bond, with good surety, in an amount determined by the department, against any judgment that may be entered against the department arising from the leasing of prisoner labor to that person.
  10. In leasing prisoner labor under this section, the department shall seek to have the labor leased to the highest responsible bidder.
  11. The department shall provide for reasonable access to the grounds of the Department of Corrections facilities for the person leasing the inmate labor and for the location of the work and the transporting and siting of equipment and supplies, with the security of the public being paramount.
  12. The department may promulgate administrative regulations to implement the provisions of this section.

HISTORY: Enact. Acts 2017 ch. 158, § 27, effective June 29, 2017; 2017 ch. 167, § 21, effective June 29, 2017.

Legislative Research Commission Notes.

(6/28/2019). Subsection (8)(b) of this statute, as created under 2017 Ky. Acts ch. 158, sec. 27, and amended in ch. 167, sec. 21, contained a reference to “the crime victims' compensation fund created under KRS 346.185 .” This reference has been changed to read “the crime victims' compensation fund created under KRS 49.480 .” KRS 346. 185 was repealed, reenacted as KRS 49.480 , and amended by 2017 Ky. Acts ch. 74, sec. 48, but the reference noted above was not changed to conform with renumbering during codification. The Reviser of Statutes has made this change under the authority of KRS. 7.136(1)(e).

(6/29/2017). The text of this statute was created in 2017 Ky. Acts ch. 158, sec. 27 and amended in 2017 Ky. Acts ch. 167, sec. 21.

197.110. Administrative regulations relating to classification, work, and pay of prisoners.

The Department of Corrections shall promulgate administrative regulations it deems necessary and proper in relation to:

  1. The classification of prisoners;
  2. The terms and conditions under which prisoners may be assigned to work under the direction of any other state agency;
  3. The adequate care, supervision, guarding, discipline, maintenance, transportation, and housing of prisoners when assigned to work outside of the prison. The department shall ascertain from the jailer of the county in which the work is being carried on if accommodations are available, and shall place as many prisoners as possible under the care of the jailer;
  4. The payment of money to prisoners and their dependents for work performed, including the amount to be paid and the manner of the payment and distribution thereof;
  5. Any other purposes as the department deems necessary and proper for carrying out the intent of this chapter.

History. 3828b-11: amend. Acts 1958, ch. 126, § 26; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 26, effective July 15, 1982; 1992, ch. 211, § 51, effective July 14, 1992; 2007, ch. 85, § 232, effective June 26, 2007.

NOTES TO DECISIONS

1.Custody and Transfer.

Rule of Criminal Procedure 11.22, KRS 431.215 and 532.100 , and Ky. Const., § 254, dictate the Correction Cabinet (now Department of Corrections) must accept custody or transfer of convicted felons and parole violators, despite that body’s promulgation of a controlled intake policy pursuant to KRS 196.030 and this section. Campbell County v. Commonwealth, Kentucky Corrections Cabinet, 762 S.W.2d 6, 1988 Ky. LEXIS 50 ( Ky. 1988 ).

Correction Cabinet’s (now Department of Corrections) defense to contempt charges based on its inability to comply with orders to take custody of certain prisoners was fundamentally flawed; the Kentucky Constitution assigns the responsibility for care and custody of convicted felons to state government as a whole; therefore, state government, which bears the burden for correcting overcrowding in prisons, was not unable to perform, even if this individual agency of the government could claim otherwise. Campbell County v. Commonwealth, Kentucky Corrections Cabinet, 762 S.W.2d 6, 1988 Ky. LEXIS 50 ( Ky. 1988 ).

2.Immunity.

Where an inmate working as part of a work program was injured and sued the county and the jailers, since the record established that the acts of the defendants complained of were performed within the scope of their discretionary authority, and there being no evidence offered from which reasonable jurors could conclude that any of the acts complained of were performed in “bad faith,” the defendants are entitled to the protection of qualified official immunity. Rowan County v. Sloas, 201 S.W.3d 469, 2006 Ky. LEXIS 237 ( Ky. 2006 ).

3.Payment for Work.

The payment of prisoners for their work was not prohibited by Ky. Const., § 3. State Board of Charities & Corrections v. Hays, 190 Ky. 147 , 227 S.W. 282, 1920 Ky. LEXIS 554 ( Ky. 1920 ) (decided under prior law).

Payments to convicts were gratuities, and the power to grant them was a legislative function that could not be delegated to an administrative agency, but the power to determine amount of compensation within prescribed limits was administrative and not legislative. State Board of Charities & Corrections v. Hays, 190 Ky. 147 , 227 S.W. 282, 1920 Ky. LEXIS 554 ( Ky. 1920 ), overruled in part, D & W Auto Supply v. Department of Revenue, 602 S.W.2d 420, 1980 Ky. LEXIS 243 ( Ky. 1980 ), overruled on other grounds, D & W Auto Supply v. Department of Revenue, 602 S.W.2d 420, 1980 Ky. LEXIS 243 ( Ky. 1980 ) (decided under prior law).

197.120. Employment of prisoners by other state agencies — Restriction.

  1. The Department of Corrections may enter into contracts with any other state agency for the use and employment of prisoners who may be eligible for the assignments. The contracts shall specifically set forth the compensation to be paid to the Department of Corrections for the use and employment of the prisoners, for the payment of the expenses of transporting, guarding, housing, disciplining, and maintaining the prisoners while so employed. The amount to be paid shall be certified by the contracting parties to the Finance and Administration Cabinet at the end of each month and shall be charged to the appropriation of the agency liable for the payment thereof and credited to the budget of the department to be disbursed and expended as it directs. Any contract may provide for a fixed per diem compensation to be paid to the department for each day’s work performed by the prisoner and the department shall pay, out of the per diem compensation, the expenses of transporting, guarding, disciplining, housing, and maintaining prisoners as may be provided in the contracts.
  2. The Department of Corrections shall not enter into any contract with the Department of Revenue for the use or employment of prisoners in any capacity that allows prisoners access to taxpayer information, including, but not limited to, tax returns, informational reporting returns, social security numbers, telephone numbers, or addresses.

History. 3828b-12: amend. Acts 1974, ch. 74, Art. II, § 9(1), Art. V, § 24(14); 1982, ch. 344, § 27, effective July 15, 1982; 1992, ch. 211, § 52, effective July 14, 1992; 1998, ch. 383, § 1, effective July 15, 1998; 2005, ch. 85, § 618, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Cooperation between departments, KRS 12.090 .

197.130. Prisoners not to be required to work outside prison — Exceptions.

  1. Prisoners confined in the penitentiaries shall not be required to work outside of the walls or enclosures of the prison except:
    1. On the construction or maintenance of public roads and bridges;
    2. On the making and preparing of materials for public roads and bridges;
    3. On work upon the public works of the state;
    4. On state farms; or
    5. During pestilence or in the case of the destruction of prison buildings when such prisoners cannot be confined within the prison walls or enclosures.
  2. Prisoners shall not be used in any county for work in the construction, improvement or maintenance of any highway without the consent of the fiscal court of the county.

History. 3828b-13.

Research References and Practice Aids

Cross-References.

Convicts not to be worked outside prison walls, exceptions, Ky. Const., § 253.

197.140. Prisoners not eligible to be worked outside prison.

No prisoner who is serving a sentence for rape, attempted rape, or who has been convicted of robbery in the first degree, assault in the first degree, or who has been sentenced to life imprisonment shall be worked or released for work outside of the walls of the prison until he has actually served within the walls of the prison for at least one (1) year of his sentence and has been classified as minimum custody according to the Department of Corrections classification system. No prisoner who has escaped or attempted to escape from an adult correctional institution or local detention center or jail within the past five (5) years shall be worked or released for work outside of the walls of the prison.

History. 3828b-10: amend. Acts 1948, ch. 120, § 1; 1964, ch. 166, § 1; 1974, ch. 386, § 34; 1990, ch. 497, § 10, effective July 13, 1990; 1992, ch. 211, § 53, effective July 14, 1992.

NOTES TO DECISIONS

1.Constitutionality.

This section does not violate the due process and equal protection clauses of U.S. Const., amends. V & XIV. Canterino v. Wilson, 869 F.2d 948, 1989 U.S. App. LEXIS 2907 (6th Cir. Ky. 1989 ).

2.Classification of Prisoners.

Since this section focuses upon those prisoners who, because of their conviction for violent offenses or propensity for escape, would be most likely to abuse the temporary freedom of the work release program by attempting escape or causing further violence, such classification was reasonable and did not violate the equal protection clause. Wagner v. Holmes, 361 F. Supp. 895, 1973 U.S. Dist. LEXIS 12454 (E.D. Ky. 1973 ).

3.Liberty Interest.

This section and KRS 439.600 and 197.065 establish no liberty interest for prison inmates. Canterino v. Wilson, 869 F.2d 948, 1989 U.S. App. LEXIS 2907 (6th Cir. Ky. 1989 ).

Cited in:

Tate v. Frey, 673 F. Supp. 880, 1987 U.S. Dist. LEXIS 10654 (W.D. Ky. 1987 ).

Opinions of Attorney General.

In light of the history of this section, the fact that its context relates to a state prison, the fact that it is located in a chapter labelled “penitentiaries” and the fact there is no definitional statute providing otherwise, the phrase “escape from an adult correctional institution” must refer to a prison or institution of the Bureau of Corrections (now Department of Corrections); accordingly, this section does not embrace escape from a county jail and such an escape would not preclude prisoner’s transfer to a minimum security facility. OAG 81-292 .

197.150. Prisoners or dependents to receive compensation for work outside prison — Prisoners with dependents to have preference.

  1. The administrative regulations made by the Department of Corrections shall provide some definite compensation to be paid to each prisoner or his dependents for each day he works outside of the prison. The department shall collect information concerning the number and requirements of the dependents of each prisoner, and those with families of greatest dependency shall be given preference in assignments to work outside of the prison, if the record, physical ability, and conduct of the prisoner warrants preference.
  2. The administrative regulations may provide that any infraction of the regulations or of the regulations governing the discipline of the prisoners, either while confined within the walls of the prison, or while engaged in employment outside the prison, shall work a forfeiture of the benefits authorized in this section, either in whole or in part, in the discretion of the department. Payments to the prisoners or their dependents as authorized by this section shall be made subject to the regulations, as other expenses of the department, but only out of the funds made available under the provisions of the particular contract under which the prisoners have been employed.

History. 3828b-14: amend. Acts 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 28, effective July 15, 1982; 1992, ch. 211, § 54, effective July 14, 1992.

NOTES TO DECISIONS

1.Payment for Work.

The payment of prisoners for their work was not prohibited by Ky. Const., § 3. State Board of Charities & Corrections v. Hays, 190 Ky. 147 , 227 S.W. 282, 1920 Ky. LEXIS 554 ( Ky. 1920 ) (decided under prior law).

Payments to convicts were gratuities, and the power to grant them was a legislative function that could not be delegated to an administrative agency, but the power to determine amount of compensation within prescribed limits was administrative and not legislative. State Board of Charities & Corrections v. Hays, 190 Ky. 147 , 227 S.W. 282, 1920 Ky. LEXIS 554 ( Ky. 1920 ), overruled in part, D & W Auto Supply v. Department of Revenue, 602 S.W.2d 420, 1980 Ky. LEXIS 243 ( Ky. 1980 ), overruled on other grounds, D & W Auto Supply v. Department of Revenue, 602 S.W.2d 420, 1980 Ky. LEXIS 243 ( Ky. 1980 ) (decided under prior law).

197.160. Governor or his designee to approve contracts.

Before any contract authorized by KRS 197.120 becomes effective, it shall be approved by the Governor, or his designee in the Finance and Administration Cabinet, in writing.

History. 3828b-15: amend. Acts 1990, ch. 497, § 20, effective July 13, 1990.

197.170. Release of prisoner — Parties to be notified — Means of providing notice — Posting of notice received by law enforcement officers.

    1. The wardens of the state penitentiaries upon the release of any prisoner or inmate from confinement shall immediately notify: (1) (a) The wardens of the state penitentiaries upon the release of any prisoner or inmate from confinement shall immediately notify:
      1. The Circuit Court, the Commonwealth’s attorney of the district, and the sheriff of the county where the inmate was sentenced;
      2. The Circuit Court, the Commonwealth’s attorney of the district, the county attorney and sheriff of the county, and the chief of police of the city and county, to which the inmate is released; and
      3. Any victim, as defined in KRS 421.500 , who has requested that he or she be notified on release of a particular inmate who victimized him or her and who has forwarded a current address and telephone number to the Department of Corrections.
    2. The notice shall give the residence of the person released and the name of the person to whom he or she was released. The provisions of KRS Chapter 202A notwithstanding, the Department of Corrections may release to the public the information that a petition to involuntarily hospitalize a prisoner has been filed concerning any inmate who is scheduled to be released from custody.
  1. Notice under subsection (1) of this section shall be given by mail, fax, or electronic means at the discretion of the Department of Corrections in a manner to insure receipt.
  2. Notices received by sheriffs and chiefs of police shall be posted in a conspicuous location where personnel employed by the department may see it. Notices posted under this subsection shall remain posted for not less than seven (7) days.

History. 3827-1: amend. Acts 1976, ch. 293, § 1; 1990, ch. 435, § 2, effective July 13, 1990; 1994, ch. 396, § 8, effective July 15, 1994; 1998, ch. 606, §§ 96, 121, effective July 15, 1998; 2002, ch. 150, § 1, effective July 15, 2002.

Compiler’s Notes.

Section 197 of Acts 1998, ch. 606, provided that the 1998 amendments to this section and the 1998 amendments to KRS 197.070 and 532.060 , together with KRS 532.043 , “may be cited as the Sarah Hansen Act.”

Opinions of Attorney General.

When any one of the local officers named in this section receives formal notice from the superintendent of the penitentiary that a named convict has been released to reside in his jurisdiction, the formal notice is a public record which any person has a right to inspect under the Open Records Law; however, the local officer is not required to make any publication of the fact that he has received notice of a prisoner’s release and, therefore, any person desiring such information will have to make an inquiry from time to time and request to inspect any notices which the local officer has received. OAG 82-115 .

197.175. Release of prisoners on first day of month of sentence expiration.

The commissioner of the Department of Corrections may permit the release of the prisoners on the first day of the month in which their sentences would expire; if the first day of the month falls on Saturday, Sunday, or a legal holiday, the prisoners may be released on the last weekday of the preceding month.

History. Enact. Acts 1990, ch. 497, § 11, effective July 13, 1990; 1992, ch. 211, § 55, effective July 14, 1992.

Research References and Practice Aids

Kentucky Bench & Bar.

Combs, The Calculation and Application of Prison Sentences., Vol. 70, No. 5, September 2006, Ky. Bench & Bar 7.

197.180. Clothing and transportation to be furnished convict upon release.

The Department of Corrections shall furnish to each convict, upon the termination of his sentence, or his release by pardon or parole, a suit of serviceable clothing, suitable to the season, and transportation to a county within the borders of the Commonwealth. The transportation shall be paid by the state and shall be nontransferable.

History. 3797: amend. Acts 1974, ch. 145, § 1; 1982, ch. 344, § 29, effective July 15, 1982; 1990, ch. 497, § 17, effective July 13, 1990; 1992, ch. 211, § 56, effective July 14, 1992; 1992, ch. 445, § 12, effective July 14, 1992.

Legislative Research Commission Notes.

(7/14/92). This section was amended by two 1992 Acts. Where those Acts are not in conflict, they have been compiled together. Where a conflict exists, the Act which was last enacted by the General Assembly prevails, pursuant to KRS 446.250 .

197.200. Department may establish facilities for manufacture of products for use of governmental agencies.

The department may purchase in the manner provided by law, equipment, raw materials, and supplies, and employ the supervisory personnel necessary to establish and maintain, industries at the penitentiary or any penal farm or institution of the department, for the purpose of utilizing the services of prisoners in the manufacture or production of articles or products, including license plates, road signs, and other articles and products needed for the construction, operation, maintenance, or use of any office, department, institution, or agency supported in whole or in part by this state or its political subdivisions.

History. Enact. Acts 1954, ch. 46, § 1; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 30, effective July 15, 1982; 1992, ch. 211, § 57, effective July 14, 1992.

197.210. Purchases of prison-made products by state agencies and political subdivisions.

    1. On and after June 17, 1954, all offices, departments, institutions, agencies, and all political subdivisions which are supported in whole or in part by the Commonwealth shall purchase, when economically feasible, from the department all articles or products required which are produced or manufactured by prison labor, as provided by KRS 197.200 to 197.250 . No article or product shall be purchased by any office, department, institution, or agency, from any source except as specified in this subsection. (1) (a) On and after June 17, 1954, all offices, departments, institutions, agencies, and all political subdivisions which are supported in whole or in part by the Commonwealth shall purchase, when economically feasible, from the department all articles or products required which are produced or manufactured by prison labor, as provided by KRS 197.200 to 197.250 . No article or product shall be purchased by any office, department, institution, or agency, from any source except as specified in this subsection.
    2. Exceptions may be made in any case where, in the opinion of the Finance and Administration Cabinet, the articles or products produced or manufactured do not meet the reasonable requirements of the offices, departments, institutions, agencies, or where the requisition cannot be reasonably complied with because of an insufficient supply of the articles or products required. However, no office, department, institution, or agency shall be allowed to evade the intent and meaning of KRS 197.200 to 197.250 by slight variations from standards adopted by the Office of Material and Procurement Services within the Office of the Controller, when the articles or products produced or manufactured by the department in accordance with the standards, are reasonably adapted to the actual needs of the office, department, institution, or agency.
  1. All purchases under KRS 197.200 to 197.250 shall be made through the Finance and Administration Cabinet upon requisition by the proper authority of the office, department, institution, agency, or political subdivision of the Commonwealth.

History. Enact. Acts 1954, ch. 46, § 2; 1974, ch. 74, Art. II, § 9(1), Art. V, § 24(14); 1980, ch. 293, § 2, effective July 15, 1980; 1982, ch. 344, § 31, effective July 15, 1982; 1992, ch. 211, § 58, effective July 14, 1992; 2000, ch. 5, § 10, effective July 14, 2000; 2005, ch. 85, § 619, effective June 20, 2005.

197.220. Priority of state agencies in obtaining prison-made products.

The articles or products manufactured or produced by prison labor in accordance with the provisions of KRS 197.200 to 197.250 shall be devoted, first, to fulfilling the requirements of the offices, departments, institutions, and agencies which are supported in whole or in part by the Commonwealth, and, second, to supply the political subdivisions of this state with these articles and products.

History. Enact. Acts 1954, ch. 46, § 3; 1992, ch. 211, § 59, effective July 14, 1992.

197.230. Prices.

The department, with the approval of the Finance and Administration Cabinet, shall establish the prices at which all articles or products manufactured or produced shall be furnished.

History. Enact. Acts 1954, ch. 46, § 4; 1974, ch. 74, Art. II, § 9(1), Art. V, § 24(14); 1982, ch. 344, § 32, effective July 15, 1982; 1992, ch. 211, § 60, effective July 14, 1992.

197.240. Use of moneys from sale of products.

All moneys collected by the department from the sale or disposition of articles and products manufactured or produced by prison labor in accordance with the provisions of KRS 197.200 to 197.250 , shall be deposited with the State Treasurer and maintained as special revolving accounts, each designated as a “Trust and Agency Account.” The moneys collected and deposited shall be used for the purposes of carrying out KRS 197.200 to 197.250 , except that the moneys may be used for other than prison industry purposes within the department with the approval of the commissioner of the Department of Corrections and the Finance and Administration Cabinet.

History. Enact. Acts 1954, ch. 46, § 5; 1974, ch. 74, Art. II, § 9(1), Art. V, § 24(14); 1982, ch. 344, § 33, effective July 15, 1982; 1992, ch. 211, § 61, effective July 14, 1992.

197.250. Contracts for equipment, tools, supplies, and materials.

The department may enter into contracts approved by the State Property and Buildings Commission with any person or persons upon a self-liquidating basis respecting the acquisition and purchase of any equipment, tools, supplies, and materials, so that it may be paid for over a period of not exceeding five (5) years. The aggregate amount of the purchases or acquisitions shall not exceed two hundred and fifty thousand dollars ($250,000) unless specifically approved by the Governor and the amounts shall be payable solely out of the revenues derived from the activities authorized by KRS 197.200 to 197.250 . Nothing in this section shall be so construed or interpreted as to authorize or permit the incurring of a state debt of any kind or nature as contemplated by the Constitution.

History. Enact. Acts 1954, ch. 46, § 6; 1974, ch. 74, Art. V, § 24(14); 1982, ch. 344, § 34, effective July 15, 1982; 1992, ch. 211, § 62, effective July 14, 1992.

197.260. Prohibited sales of prison made products. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 46, § 7) was repealed by Acts 1968, ch. 152, § 168.

197.270. Voluntary chaplain program.

  1. The administrator for each facility operated by the Department of Corrections or under contract to the department is encouraged to work with local religious leaders to provide a voluntary chaplain program.
  2. An inmate shall be allowed at least one (1) visit per week by a minister, priest, or rabbi of the inmate’s choice.

History. Enact. Acts 1998, ch. 606, § 131, effective July 15, 1998.

197.275. Access to religious publications or instructional materials.

Subject to restrictions for violations of rules, any inmate of a facility operated by or under contract to the department who requests religious publications or other religious instructional materials may receive them provided:

  1. They have been purchased by or donated to the inmate; or
  2. Donated to the institution for use by inmates; and
  3. Do not constitute a threat to the security of the institution.

History. Enact. Acts 1998, ch. 606, § 133, effective July 15, 1998.

Treatment Program for Sexual Offenders

197.400. Specialized treatment program for sexual offenders.

The department shall operate a specialized treatment program for sexual offenders, hereinafter referred to as the “program.”

History. Enact. Acts 1986, ch. 478, § 1, effective July 15, 1986; 1992, ch. 211, § 63, effective July 14, 1992.

NOTES TO DECISIONS

Analysis

1.Ex Post Facto.

The application of KRS 197.400 et seq. to an appellant who was charged with criminal acts that occurred prior to the effective date of the statutes was not an improper ex post facto law since the statutes did not disadvantage the appellant. Garland v. Commonwealth, 997 S.W.2d 487, 1999 Ky. App. LEXIS 98 (Ky. Ct. App. 1999).

Kentucky Parole Board’s application of sex offender statutes, KRS 439.340(11) and KRS 197.400 to 197.440 , which had not been in effect when an inmate committed rape, did not violate the Ex Post Facto clause as there was no enhancement of punishment or elongation of a sentence. Stewart v. Commonwealth, 153 S.W.3d 789, 2005 Ky. LEXIS 12 ( Ky. 2005 ).

2.Denial of Admission to Program.

Department’s failure to provide an individualized treatment plan to enable a sex offender to qualify for the Sex Offender Treatment Program (SOTP) was not in derogation of the considerable leeway afforded the Kentucky Department of Corrections or of anything else set forth in KRS 197.400 to 197.440 ; nothing of substance was presented that showed any “personal bias or prejudice” towards an inmate who was found to be a “non-admitter” and for that reason denied admission to the full SOTP. Seymour v. Colebank, 179 S.W.3d 886, 2005 Ky. App. LEXIS 168 (Ky. Ct. App. 2005).

Notes to Unpublished Decisions

1.Class action

Unpublished decision: Where an inmate asserted that his 28 U.S.C.S. § 2241 petition for a writ of habeas corpus was not time-barred, the district court correctly found that a state class action challenging the Kentucky Sexual Offender Treatment program did not qualify as a properly filed application for state post-conviction or other collateral review, in order to toll the running of the statute of limitations under 28 U.S.C.S. § 2244(d)(2). Seaton v. Kentucky, 92 Fed. Appx. 174, 2004 U.S. App. LEXIS 1727 (6th Cir. Ky. 2004 ).

197.410. Definitions of “sexual offender,” “eligible sexual offender,” and “department.”

  1. A person is considered to be a “sexual offender” as used in this chapter when he or she has been adjudicated guilty of a sex crime, as defined in KRS 17.500 , or any similar offense in another jurisdiction.
  2. A sexual offender becomes an “eligible sexual offender” when the sentencing court or department officials, or both, determine that the offender:
    1. Has demonstrated evidence of a mental, emotional, or behavioral disorder, but not active psychosis or an intellectual disability; and
    2. Is likely to benefit from the program.
  3. “Department” is the Department of Corrections.

History. Enact. Acts 1986, ch. 478, § 2, effective July 15, 1986; 1990, ch. 497, § 18, effective July 13, 1990; 1992, ch. 211, § 64, effective July 14, 1992; 1998, ch. 606, § 186, effective July 15, 1998; 2000, ch. 401, § 31, effective April 11, 2000; 2012, ch. 146, § 28, effective July 12, 2012.

NOTES TO DECISIONS

1.Denial of Admission to Program.

Department’s failure to provide an individualized treatment plan to enable a sex offender to qualify for the Sex Offender Treatment Program (SOTP) was not in derogation of the considerable leeway afforded the Kentucky Department of Corrections or of anything else set forth in KRS 197.400 to 197.440 ; nothing of substance was presented that showed any “personal bias or prejudice” towards an inmate who was found to be a “non-admitter” and for that reason denied admission to the full SOTP. Seymour v. Colebank, 179 S.W.3d 886, 2005 Ky. App. LEXIS 168 (Ky. Ct. App. 2005).

Cited in:

Ladriere v. Commonwealth, 329 S.W.3d 278, 2010 Ky. LEXIS 259 ( Ky. 2010 ).

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Juvenile Court, § 32.24.

197.420. Department of Corrections to administer program — Treatment in inpatient and outpatient environments — Transfer — Staff — Data collection.

  1. The department shall have the sole authority and responsibility for establishing by regulation the design of the specialized program created in KRS 197.400 to 197.440 .
  2. The program shall include diagnostic and treatment services in both inpatient and outpatient environments:
    1. “Diagnostic services” shall include social and family histories, medical history, educational development, interpersonal development, criminal history, psychological screening, and pre-release evaluation;
    2. “Treatment services” shall include individualized treatment plans to include individual, group, marital, and family counseling; psychoeducational courses to include sex education and victim personalization; and social skills development to include assertiveness training, stress management, and aggression management; and
    3. The department shall have the authority and responsibility for establishing other educational and work programs necessary to complement treatment program objectives.
  3. The department may transfer sexual offenders sentenced to its custody to the program and shall adopt administrative regulations concerning the transfer of sexual offenders.
  4. All sexual offenders participating in the program may be housed separately from all other incarcerated inmates but shall be housed in accordance with the department’s standard classification system.
  5. The treatment staff of the program shall minimumly consist of the following staff:
    1. A program director who has at least a master’s degree in a recognized mental health field and six (6) years’ clinical experience or a doctoral degree in a recognized mental health field and four (4) years’ clinical experience. The director shall decide program policies and supervise all staff;
    2. A clinical psychologist or a master’s degree level psychologist for each two hundred (200) participants. At least one (1) clinical psychologist shall be a member of the staff at all times; and
    3. A counselor for each fifty (50) participants.
  6. The department shall establish a system of data collection and program evaluation so as to allow study of participating sexual offenders and their offenses and to measure the impact of the program on recidivism.

History. Enact. Acts 1986, ch. 478, § 3, effective July 15, 1986; 1992, ch. 211, § 65, effective July 14, 1992.

NOTES TO DECISIONS

1.Denial of Admission to Program.

Department’s failure to provide an individualized treatment plan to enable a sex offender to qualify for the Sex Offender Treatment Program (SOTP) was not in derogation of the considerable leeway afforded the Kentucky Department of Corrections or of anything else set forth in KRS 197.400 to 197.440 ; nothing of substance was presented that showed any “personal bias or prejudice” towards an inmate who was found to be a “non-admitter” and for that reason denied admission to the full SOTP. Seymour v. Colebank, 179 S.W.3d 886, 2005 Ky. App. LEXIS 168 (Ky. Ct. App. 2005).

197.430. Agreements with public or private agencies.

The department may enter into agreements with public or private agencies in order to implement and operate the program created by KRS Chapter 197.

History. Enact. Acts 1986, ch. 478, § 4, effective July 15, 1986; 1992, ch. 211, § 66, effective July 14, 1992.

197.440. Sexual offender’s communications which are privileged.

Communications made in the application for or in the course of a sexual offender’s diagnosis and treatment in the program between a sexual offender or member of the offender’s family and any employee of the department who is assigned to work in the program, or approved provider, as defined in KRS 17.500 , shall be privileged from disclosure in any civil or criminal proceeding, other than proceedings to determine the sentence, unless the offender consents in writing to the disclosure or the communication is related to an ongoing criminal investigation. The privilege created by this section shall not extend to disclosures made for the purpose of determining whether the offender should continue to participate in the program. The provisions of KRS 620.030 shall not apply to a communication made, received, or overheard if the communication is made pursuant to this section. The offender shall be informed in writing of the limits of the privilege created in this section.

History. Enact. Acts 1986, ch. 478, § 5, effective July 15, 1986; 1992, ch. 211, § 67, effective July 14, 1992; 1992, ch. 445, § 8, effective July 14, 1992; 2000, ch. 401, § 32, effective April 11, 2000; 2006, ch. 182, § 23, effective July 12, 2006.

NOTES TO DECISIONS

1.Waiver.

Defendant’s privilege against self-incrimination was not violated by a sexual offender treatment program’s requirement that he admit his guilt where the record showed that he was aware of this requirement at the time of sentencing or shortly thereafter and neither appealed the denial of a motion to modify this requirement nor requested an alternative punishment. Razor v. Commonwealth, 960 S.W.2d 472, 1997 Ky. App. LEXIS 143 (Ky. Ct. App. 1997).

Opinions of Attorney General.

A public agency cannot grant access to documents relative to a person’s participation in a program when the agency’s records reflect that the person is not a participant in that particular program. OAG 88-30 .

Although neither KRS 197.025 nor KRS 197.400 et seq. invests a participant in the sexual offender treatment program with an unfettered right of access to all records in his treatment file, neither statute establishes an absolute bar to his access. As in all matters pertaining to records access, it is incumbent on the agencies to identify all records in the file that were withheld, and to articulate a basis for denying him access to them in terms of the requirements of the Open Records Act. If no legally defensible basis exists for denying the offender access to the other records in his file, these agencies are obligated to disclose them to him. OAG 00-ORD-221.

The communications at issue were made in the application of or in the course of diagnosis and treatment in the Sexual Offender Treatment Program consisting of factual admissions relating to the offense for which the defendant was convicted in October 1989 that he made to employees of the Department assigned to the SOTP. These communications therefore fall squarely within the parameters of the privilege contained in KRS 197.440 and access under the Open Records Act was properly denied. Moreover, the communications did not, at the time they were made, relate to an ongoing criminal investigation within the meaning of KRS 197.440 . OAG 03-ORD-39.

Privatization of Prisons

197.500. Definitions for KRS 197.505 to 197.525.

As used in KRS 197.505 to 197.525 , unless the context otherwise requires:

  1. “Adult correctional facility” means any minimum or medium adult penal or correctional facility operated for the purpose of housing convicted felons for the department; and
  2. “Private provider” means a private legal entity authorized to do business in the Commonwealth and which is in the business of establishing, operating, and managing adult correctional facilities.

History. Enact. Acts 1988, ch. 234, § 1, effective July 15, 1988; 1992, ch. 211, § 68, effective July 14, 1992; 1992, ch. 445, § 9, effective July 14, 1992; 1994, ch. 418, § 17, effective July 15, 1994; 1998, ch. 606, § 93, effective July 15, 1998; 2007, ch. 85, § 233, effective June 26, 2007.

Opinions of Attorney General.

County would be banned under Ky. Const., § 162 from paying any claim under an agreement or contract for a project involving the leasing of a detention facility (prison) used to house prisoners from outside as well as within the state, as there is no express authority of law for a county’s entry into such endeavor. OAG 90-115 .

Long-term housing of prisoners of the state of Kentucky is a function constitutionally mandated to the state, and the role sought to be assumed by a county in housing not only state prisoners, but prisoners of jurisdictions outside Kentucky, is not provided for by statute and is not a function necessary for operation of the county; accordingly, the county may not lawfully lease and operate a 336-bed detention center or prison for such purpose; such action is not necessary for operation of the county and handling the types of prisoners envisioned under this project is “otherwise provided for” by statute and the Kentucky Constitution. OAG 90-115 .

Research References and Practice Aids

Treatises

UK/CLE Public Procurement for Cities, Counties, Their Boards and Commrs § 4.37.UK/CLE Public Procurement for Cities, Counties, Their Boards and Commrs § 4.38.

197.505. Privatization of prisons — Maintenance of designated security level of the facility — Locations restricted.

  1. The state may enter into contracts with a private provider to establish, operate, and manage adult correctional facilities. In all such contracts the state shall retain clear supervisory and monitoring powers over the operation and management of the adult correctional facility to insure that the inmates are properly cared for and that the employees of the facility and the public are adequately protected.
  2. Any adult correctional facility operated by a private provider under this section shall ensure that all inmates housed in the facility, including those inmates housed under contract with another state, shall meet classification requirements as set forth by the department for the designated security level of the facility.
  3. Any adult correctional facility contracted for pursuant to this section shall be constructed only in a county with an established Department of Kentucky State Police post or in a county in which at least two (2) State Police officers reside as a result of a duty assignment or in a county with a full-time police department.

History. Enact. Acts 1988, ch. 234, § 2, effective July 15, 1988; 1994, ch. 418, § 18, effective July 15, 1994; 2003, ch. 107, § 1, effective March 18, 2003; 2007, ch. 85, § 234, effective June 26, 2007.

Opinions of Attorney General.

An adult correctional facility may be operated by a private provider only where statutory requirements for resident law enforcement personnel are met. All statutory elements must be met before privatization of a prison may be accomplished. OAG 2004-13 .

197.510. Terms of contract — Budget — Annual audit — Space requirements — Staffing requirements — Failure to provide required services, products, or facilities.

Any contract entered on or after July 15, 1988, between the state and a private provider for the operation and management of an adult correctional facility shall include terms which comply with at least the following:

  1. Unless otherwise provided by KRS 197.505 to 197.525 , any adult correctional facility contracted for pursuant to KRS 197.505 shall submit a plan to the department for achieving American Correctional Association standards within five (5) years, which is appropriate for the specific type of adult correctional facility;
  2. The provisions of KRS Chapter 45A shall apply to any contract or any proposal for a contract authorized by KRS 197.505 to 197.525 for an adult correctional facility;
  3. The adult correctional facility shall prepare an annual written budget of anticipated revenues and expenditures which is approved by the appropriate governing authority. The facility shall have written policies which govern revisions in the budget. The facility shall have a fiscal system which accounts for all income and expenditures on an on-going basis;
  4. The adult correctional facility shall prepare and distribute to its governing authority and appropriate agencies including the department, at a minimum, the following documents: annual budget income and expenditure statements; funding source financial reports; and annual independent audit report;
  5. The adult correctional facility shall have written fiscal policies and procedures adopted by the governing authority which include, at a minimum, internal controls, petty cash, bonding, signature control on checks, resident funds, and employee expense reimbursement;
  6. There shall be an annual independent audit of the adult correctional facility. The facility shall have a written policy for inventory control of all property and assets and for purchasing and requisitioning supplies and equipment. The facility shall use a method which documents and authorizes wage payment to employees and consultants;
  7. The private provider shall develop and implement a plan for the dissemination of information about the adult correctional facility to the public, government agencies, and the media. The plan shall be made available to all persons. All documents and records, except financial records, maintained by the private provider shall be deemed public records as defined by KRS 61.870 and be subject to the provisions of KRS 61.872 to 61.884 ;
  8. The adult correctional facility shall conform to all applicable zoning ordinances and all applicable state and local building codes, including the Kentucky Building Code, 1983 edition and subsequent modifications or replacements thereto;
  9. The adult correctional facility shall comply with all applicable laws and regulations of the local and state government regarding sanitation, food service, safety, and health. Copies of inspections completed by the appropriate authorities shall be sent to the department;
  10. The adult correctional facility shall comply with the provisions of the Life Safety Code, 1983 edition, National Fire Protection Association 101 and the regulations of the state or the local fire safety authority, whichever has primary jurisdiction over the adult correctional facility. Copies of the inspections completed by the appropriate authorities shall be sent to the department;
  11. A minimum of sixty (60) square feet of floor space per resident shall be provided in the living area of the adult correctional facility. Other areas to be provided shall include space and furnishings to accommodate group meetings of the residents, private counseling space with adequate furniture, and a visiting area;
  12. The adult correctional facility shall provide a variety of indoor and outdoor recreational and leisure time activities to include but not be limited to television, radio, library materials, and recreational facilities. Telephone facilities shall be available on the premises which are accessible to residents;
  13. The adult correctional facility shall provide a level and quality of programs at least equal to those provided by state-operated facilities that house similar types of inmates and at a cost that provides the state with a savings of not less than ten percent (10%) of the cost of housing inmates in similar facilities and providing similar programs to those types of inmates in state-operated facilities;
  14. The adult correctional facility shall be staffed twenty-four (24) hours per day seven (7) days per week. The staffing pattern shall be adequate to insure close inmate surveillance and maintenance of security within the facility. The staffing pattern shall address the program, transportation, and security needs of the facility. In determining security need, the proximity of the facility to neighborhood and schools shall be considered;
  15. The adult correctional facility shall have a written personnel policy and employees shall be given a copy. The personnel policies shall include, at a minimum:
    1. Organization chart;
    2. Employment practices and procedures including in-service training and staff developing;
    3. Promotions;
    4. Job qualifications and job descriptions;
    5. Grievance and appeal procedures;
    6. Employee evaluation;
    7. Personnel records;
    8. Benefits;
    9. Holidays;
    10. Leave;
    11. Hours of work;
    12. Salaries or the base for determining salaries;
    13. Disciplinary procedures;
    14. Termination; and
    15. Resignation;
  16. The adult correctional facility shall maintain written job descriptions and job qualifications for all positions in the facility, including job title, responsibilities of the positions, and required minimum experience and education. An affirmative action program shall be adopted by the governing authority. The correctional facility shall maintain a current, accurate, and confidential personnel record on each employee. The facility shall have written policy and procedures requiring an annual performance evaluation of all employees. This evaluation shall be reviewed and discussed with the employee;
  17. Prior to employment, all employees of the adult correctional facility shall be subject to thorough background investigation to include criminal, medical, and employment history. All security employees of the facility shall be at least eighteen (18) years of age. The facility shall provide initial orientation for all new employees during the first week of employment. The facility shall comply with all governmental regulatory requirements related to employment and personnel practices. Personnel selection and assignments shall be based on merit;
  18. The administrator of the adult correctional facility shall have a minimum of five (5) years’ experience in corrections or law enforcement and five (5) years’ experience in administration. The remaining staff of the facility shall have the same qualifications and training as the staff employed in similar positions in adult correctional facilities operated by the department;
  19. The adult correctional facility shall provide the following services and programs, the extent to which shall be set forth in the contract between the state and the private provider but shall be consistent with the standards of the American Correctional Association:
    1. Health and medical services;
    2. Food services;
    3. Mail, telephone use, and visitation;
    4. Access to legal services and legal materials;
    5. Vocational training;
    6. Educational programs;
    7. Counseling services including personal counseling;
    8. Drug and alcohol counseling; and
    9. Sanitation services;
  20. The adult correctional facility shall have a written fire and emergency plan for the facility which shall be communicated to all employees and inmates and updated, if needed. The facility’s written emergency plan shall be conspicuously posted in the facility. The facility staff shall document the conduct of quarterly emergency drills;
  21. The adult correctional facility shall have a written policy restricting the use of physical force to instances of justifiable self-protection, prevention of property damage, and prevention of escapes, and only to the degree necessary. In compliance with applicable laws, the facility shall maintain and make public, written policies and procedures for conducting searches of residents and all areas of the facility, to control contraband and locate missing or stolen property. The facility shall have a written plan to control movement in and out of the facility. The facility shall have written procedures to account for the whereabouts of the residents at all times;
  22. The adult correctional facility shall establish a procedure for inspecting all facility areas accessible to inmates for contraband and physical security at least weekly. Isolated security spot-checks shall be conducted daily. Items considered as contraband or items permitted in the facility shall be clearly defined in the facility’s rules;
  23. The adult correctional facility shall report all suspected felonies to the Department of Kentucky State Police for investigation. A written report shall be made of all extraordinary or unusual occurrences within twenty-four (24) hours of the occurrence. This report shall be placed in the inmate’s folder and a copy forwarded to the department. All these occurrences shall be promptly reported to the department verbally prior to submission of the written report. Extraordinary or unusual occurrences shall include but not be limited to:
    1. Death of a resident;
    2. Attempted suicide or suicide;
    3. Serious injury, whether accidental or self-inflicted;
    4. Attempted escape or escape from confinement;
    5. Fire;
    6. Riot;
    7. Battery, whether by a staff member or resident;
    8. Sexual assaults; and
    9. Occurrence of contagious or infectious disease or illness within the facility;
  24. Each adult correctional facility shall have written policy and procedures for emergency situations including but not limited to:
    1. Escapes;
    2. Taking of hostages;
    3. Riots;
    4. Food poisoning;
    5. Civil disturbances in the community;
    6. Natural disaster;
    7. Suicides; and
    8. Other deaths and disorder;
  25. The adult correctional facility shall adopt a written policy and procedures which shall insure that the constitutional rights of inmates to voluntarily practice their own religious activities are protected, subject only to those limitations necessary to maintain order and security of the facility;
  26. The adult correctional facility shall adopt a written policy which shall be implemented to insure that no inmate or group of inmates is in a position of control or authority over other inmates;
  27. The adult correctional facility shall have a policy and procedure for recommending awarding of meritorious good time for inmates in accordance with policies and procedures of the department. The procedures shall include formation of a committee to include an administrator to screen all recommendations. The recommendations shall be sent to the department. Recommendations for restoration of good time shall be screened by the same committee and forwarded to the department;
  28. If the adult correctional facility operates a canteen, all profits shall be spent for recreational programs for inmates. Prices shall be in accordance with those established by the Department of Corrections Inmate Canteen Board;
  29. The department shall have the authority to conduct periodic, scheduled, and unannounced inspections of the adult correctional facility during the term of the contract. The department shall generally observe and monitor the operations of the adult correctional facility at least once per week;
  30. The contract shall provide a hold harmless clause by which the private provider agrees to indemnify, defend, and hold harmless the Commonwealth, its officers, agents, and employees from:
    1. Any claims or losses for service rendered by the private provider, person, or firm performing or supplying services in connection with performance of the contract;
    2. Any claims or losses to any person or firm injured or damaged by the erroneous or negligent acts of the private provider, its officers, or employees in the performance of the contract;
    3. Any claims or losses resulting to any person or firm injured or damaged by the private provider, its officers, or employees by the publication, translation, reproduction, delivery, performance, use, or disposition of any data processed under the contract in a manner not authorized by the contract, or by federal or Commonwealth regulations or statutes; and
    4. Any failure of the private provider, its officers, or employees to observe Kentucky laws, including but not limited to labor laws and minimum wage laws;
  31. The contract shall require that the private provider give a performance bond to the Commonwealth as obligee, in form satisfactory to the Commonwealth, executed by a surety company authorized to do business in Kentucky and in the penal sum equal to: twenty percent (20%) multiplied by the maximum number of inmates to be housed in the adult correctional facility multiplied by three hundred sixty-five (365) and further multiplied by the rate to be paid the private provider per inmate per day;
  32. The private provider shall provide public liability, property damage, and workers’ compensation insurance, insuring, as they may appear, the interest of all parties of agreement against any and all claims which may arise out of the private provider’s operations under the terms of this contract. If any carrier of the insurance exercises cancellation, notice shall be made immediately to the Commonwealth of the cancellation; and
  33. As set forth within the contract between the Department of Corrections and the private provider:
    1. Failure of the private provider to provide the required services, products, or facilities shall entitle the department to withhold from the contract an amount up to two (2) times the estimated value per day per inmate for the service, product, or facility during the entire length of time which the failure to provide exists;
    2. The department shall in writing notify the provider of any failure to provide services, products, or facilities as required. A copy of the written notice shall be sent to the Finance and Administration Cabinet. The private provider shall have fourteen (14) calendar days from its receipt of the notice to abate the failure to provide and to notify the department of the corrective action taken by the private provider;
    3. In the event the department determines that the failure to provide has not been abated within fourteen (14) calendar days after the initial notice, the commissioner of the Department of Corrections shall hold, or assign the matter to a hearing officer for, a hearing and issue findings of fact, conclusions of law, and a recommended order;
    4. Failure to provide services, products, or facilities as required in this agreement shall result in an order to withhold from the contract an amount up to two (2) times the estimated value, as determined after a hearing, per day per inmate for the service, product, or facility during the entire length of time which the failure to provide exists;
    5. The withholding shall continue until such time as the failure to provide is corrected in the manner stated in the order;
    6. The department and private provider shall in good faith negotiate the actual fair value of the omitted service, product, or facility which shall be subtracted from the amount withheld. The balance of the withholding, if any, shall be promptly returned to the private provider upon final agreement of the department and private provider. Additional withholding from the contract shall be made by the department if an additional amount is due; and
    7. The provider may appeal, within thirty (30) days, any order of the department to the Franklin Circuit Court.

History. Enact. Acts 1988, ch. 234, § 3, effective July 15, 1988; 1992, ch. 211, § 69, effective July 14, 1992; 1992, ch. 445, § 10, effective July 14, 1992; 1994, ch. 418, § 5, effective July 15, 1994; 2006, ch. 90, § 1, effective July 12, 2006; 2007, ch. 85, § 235, effective June 26, 2007.

Legislative Research Commission Notes.

(7/14/92). This section was amended by two 1992 Acts. Where those Acts are not in conflict, they have been compiled together. Where a conflict exists, the Act which was last enacted by the General Assembly prevails, pursuant to KRS 446.250 .

Opinions of Attorney General.

County would be banned under Ky. Const., § 162 from paying any claim under an agreement or contract for a project involving the leasing of a detention facility (prison) used to house prisoners from outside as well as within the state, as there is no express authority of law for a county’s entry into such endeavor. OAG 90-115 .

Long-term housing of prisoners of the state of Kentucky is a function constitutionally mandated to the state, and the role sought to be assumed by a county in housing not only state prisoners, but prisoners of jurisdictions outside Kentucky, is not provided for by statute and is not a function necessary for operation of the county; accordingly, the county may not lawfully lease and operate a 336-bed detention center or prison for such purpose; such action is not necessary for operation of the county and handling the types of prisoners envisioned under this project is “otherwise provided for” by statute and the Kentucky Constitution. OAG 90-115 .

The Department of Corrections properly denied a request for records relating to canteen operations at the Lee and Marion Adjustment Centers pursuant to KRS 61.878(1)(k) (now KRS 61.878(1)( l )), which incorporates the prohibition on release of financial records maintained by the private provider found at subsection (7) of this section. OAG 94-ORD-27.

197.515. Performance evaluations.

The department shall annually conduct a performance evaluation of any adult correctional facility for which a private provider has contracted to operate. The department shall make a written report of its findings and submit this report along with any recommendations to the private provider and the Legislative Research Commission.

History. Enact. Acts 1988, ch. 234, § 4, effective July 15, 1988; 1992, ch. 211, § 70, effective July 14, 1992.

197.520. Experience requirements.

In order for a private provider to enter into a contract with the state for the establishment, operation or management of an adult correctional facility, it shall submit to the state specific documentation that it has demonstrated experience in the establishment, operation or management of adult correctional facilities.

History. Enact. Acts 1988, ch. 234, § 5, effective July 15, 1988.

197.525. Regulatory authority of department.

  1. In any provision of KRS 197.505 to 197.525 which requires the private provider or adult correctional facility to establish or implement a policy or procedure governing a particular activity or duty, the department shall first approve the policy or procedure before it shall become effective.
  2. Consistent with the provisions of KRS 197.505 to 197.525 , the department shall promulgate administrative regulations governing the standards, operation, and management of adult correctional facilities which may be contracted for pursuant to KRS 197.505 .

History. Enact. Acts 1988, ch. 234, § 6, effective July 15, 1988; 1992, ch. 211, § 71, effective July 14, 1992.

197.530. Assessment of fine or penalty against private provider — Notice — Hearing — Appeal.

  1. As set forth within the contract between the Department of Corrections and the private provider: The department may recommend to the secretary of the Finance and Administration Cabinet the assessment of an administrative fine against the private provider of not more than five thousand dollars ($5,000) for the violation of each and any term of the contract, or of KRS 197.510 . Recommendation of fine or penalty assessment by the department shall occur only after a notice of intent to do so has been presented by registered mail to the private provider. The notice of intent shall incorporate the findings of the department and other agencies, if appropriate.
  2. The private provider may, within seventy-two (72) hours of the receipt of the notice of intent, request in writing a hearing before an objective hearing officer of the Attorney General’s Office. The secretary of the Finance and Administration Cabinet shall by order issue, modify, or repeal the recommended fine or penalty. The amount of any fine or penalty shall be consistent with the hearing officer’s recommendations resulting from the administrative hearing. The private provider may, at its discretion, waive its right to an administrative hearing.
  3. Appeals from any fine or penalty assessed pursuant to this section shall be granted as a matter of right, and shall be taken to the Franklin Circuit Court within thirty (30) days from the date the fine or penalty is issued by the secretary of the Finance and Administration Cabinet.

History. Enact. Acts 1994, ch. 418, § 6, effective July 15, 1994.

197.535. Authority of persons acting as private provider.

All persons, while acting for a private provider pursuant to the provisions of KRS 197.505 to 197.525 in any capacity entailing the maintenance of custody over any prisoners, shall have the power and authority of peace officers, including the authority granted to Department of Corrections employees pursuant to KRS 196.037(2).

History. Enact. Acts 1998, ch. 606, § 94, effective July 15, 1998.

197.540. Irrevocable letter of credit as substitute for performance bond — Protection of state’s interest in continual level of prison beds.

  1. When KRS 197.510 or any other statute relating to contracting for the private operation of prisons requires a performance bond, an irrevocable letter of credit or a performance bond in a form satisfactory to the Commonwealth may be substituted.
  2. The contract shall also protect the state’s interest in providing a continual level of prison beds available without a sudden drop in the number of prison beds available or the need to release inmates or provide for their transfer to other facilities.

History. Enact. Acts 1998, ch. 606, § 95, effective July 15, 1998.

Penalties

197.990. Penalties.

Any person who willfully violates any of the provisions of KRS 197.200 to 197.250 for which no other penalty is herein provided, shall be fined not less than ten dollars ($10) nor more than five hundred dollars ($500), or confined in jail for not less than ten (10) days nor more than one (1) year, or both.

History. Enact. Acts 1954, ch. 46, § 8.

Compiler’s Notes.

Former subsection (2) of this section was repealed by Acts 1968, ch. 152, § 168.

CHAPTER 198 Houses of Reform [Repealed]

198.010. Department of Welfare to accept gifts to houses of reform. [Repealed.]

Compiler’s Notes.

This section (2095b-4) was repealed by Acts 1952, ch. 161, § 61.

198.020. Type of buildings; segregation of inmates. [Repealed.]

Compiler’s Notes.

This section (2095b-7) was repealed by Acts 1952, ch. 161, § 61.

198.030. Boys and girls to be in separate institutions; races separated. [Repealed.]

Compiler’s Notes.

This section (2095b-24, 2095b-28) was repealed by Acts 1952, ch. 161, § 61.

198.040. Aim of houses of reform; qualifications of employes. [Repealed.]

Compiler’s Notes.

This section (2095b-8) was repealed by Acts 1952, ch. 161, § 61.

198.050. Education and training of inmates. [Repealed.]

Compiler’s Notes.

This section (2095b-18, 2095b-25) was repealed by Acts 1952, ch. 161, § 61.

198.060. Employment of inmates; use of products. [Repealed.]

Compiler’s Notes.

This section (2095b-20) was repealed by Acts 1952, ch. 161, § 61.

198.070. Bonds of officers and employes. [Repealed.]

Compiler’s Notes.

This section (2095b-20) was repealed by Acts 1946, ch. 27, § 33.

198.080. Fees for conveyance of child to house of reform. [Repealed.]

Compiler’s Notes.

This section (2095b-13, 2095b-13a, 2095b-29) was repealed by Acts 1952, ch. 161, § 61.

198.090. Counties to contribute to maintenance. [Repealed.]

Compiler’s Notes.

This section (2095b-13a, 2095b-29) was repealed by Acts 1952, ch. 161, § 61.

198.100. Removal of convicts from penitentiary to house of reform. [Repealed.]

Compiler’s Notes.

This section (2095b-19) was repealed by Acts 1942, ch. 31, § 3.

198.110. Girls may be released on trial; visiting agents. [Repealed.]

Compiler’s Notes.

This section (2095b-27) was repealed by Acts 1952, ch. 161, § 61.

CHAPTER 198A Low-Cost Housing

198A.010. Definitions for chapter.

As used in this chapter, the following words and terms, unless the context clearly indicates a different meaning, shall have the following respective meanings:

  1. “Area median income” means the greater of the statewide median family income or the median family income for the area in which the residence is located, as calculated each year by the federal Department of Housing and Urban Development for use in determining eligibility for housing programs;
  2. “Bonds” or “notes” means the bonds or bond anticipation notes authorized to be issued by the corporation under this chapter but shall not include any fund notes;
  3. “Commonwealth” means the Commonwealth of Kentucky;
  4. “Corporation” means the Kentucky Housing Corporation created by this chapter;
  5. “Sponsors” means persons, corporations, associations, partnerships, or other entities, consumer housing cooperatives and limited dividend housing corporations, associations, partnerships, or other entities organized pursuant to the Kentucky Revised Statutes for the primary purpose of providing housing to persons and families of lower and moderate income, and shall include without limitation organizations engaged in the production, origination, and development of residential housing units intended to qualify for financial assistance pursuant to Section 8 of the United States Housing Act of 1937, as amended;
  6. “Development costs” means the costs approved by the corporation as appropriate expenditures and credits which may be incurred by sponsors of residential housing, prior to commitment and initial advance of the proceeds of a construction loan or of a mortgage loan, including but not limited to:
    1. Payments for options to purchase properties on the proposed residential housing site, deposits on contracts of purchase, or, with prior approval of the corporation, payments for the purchase of properties;
    2. Legal and organizational expenses, including payments of attorney’s fees, project manager, clerical, and other staff salaries, office rent, and other incidental expenses;
    3. Payment of fees for preliminary feasibility studies and advances for planning, engineering, and architectural work;
    4. Expenses for tenant surveys and market analyses;
    5. Necessary application and other fees; and
    6. Credits allowed by the corporation to recognize the value of service provided at no cost by the sponsors, builders, and/or developers;
  7. “Fund notes” means the notes authorized to be issued by the corporation under the provisions of KRS 198A.080 ;
  8. “Governmental agency” means any city, county, or other political subdivision of the Commonwealth, the Commonwealth and any department, division, or public agency thereof, the federal government or any political subdivision of any other state, any public housing authority or any nonprofit corporation or other entity legally empowered to act on behalf of any of the foregoing to perform the duties of a public housing authority, or any two (2) or more thereof;
  9. “Housing development fund” means the housing development fund created by KRS 198A.080 ;
  10. “Insured construction loan” means a construction loan for land development or residential housing which is secured by a mortgage either insured or guaranteed by or for which there is a commitment to insure or guarantee by:
    1. The United States of America or any agency or instrumentality thereof; or
    2. Any other entity which has been duly approved for the insuring of such loans by the United States of America or by the Commonwealth of Kentucky or any agency or instrumentality thereof;
  11. “Insured mortgage” or “insured mortgage loan” means a mortgage loan for land development for residential housing or for residential housing either made, insured, or guaranteed by or for which there is a commitment to make, insure, and guarantee by:
    1. The United States of America or any agency or instrumentality thereof; or
    2. Any other entity, including private mortgage insurance, which has been duly approved for the insuring of such loans by the United States of America or by the Commonwealth or any agency or instrumentality thereof and shall also refer to and mean any loan for residential housing not secured by mortgage which is insured or guaranteed to at least eighty-five percent (85%) of its principal amount by the United States of America or any agency or instrumentality thereof;
  12. “Land development” means the process of acquiring land primarily for residential housing construction for persons and families of lower and moderate income and making, installing, or constructing nonresidential housing improvements, including water, sewer, and other utilities, roads, streets, curbs, gutters, sidewalks, storm drainage facilities, and other installations or works, whether on or off the site, which the corporation deems necessary or desirable to prepare the land primarily for residential housing construction;
  13. “Obligations” means any bonds, bond anticipation notes, or fund notes authorized to be issued by the corporation under the provisions of this chapter;
  14. “Persons and families of lower and moderate income” shall include only those individuals whose family income combined does not exceed the income requirements defined under Section 143 of the Internal Revenue Code of 1986, as amended;
  15. “Residential housing” means a specific work or improvement undertaken primarily to provide dwelling accommodations for persons and families of lower and moderate income, including the acquisition, construction, or rehabilitation of land, buildings, and improvements, and other nonhousing facilities as may be incidental; and
  16. “Tenant programs and services” means services and activities for persons and families living in residential housing, including the following:
    1. Counseling on household management, housekeeping, budgeting, and money management;
    2. Child care and similar matters;
    3. Access to available community services related to job training and placement, education, health, welfare, and other community services;
    4. Guard and other matters related to the physical security of the housing residents;
    5. Effective management-tenant relations, including tenant participation in all aspects of housing administration, management, and maintenance;
    6. Physical improvements of the housing, including buildings, recreational and community facilities, safety measures, and removal of code violations;
    7. Advisory services for tenants in the creation of tenant organizations which will assume a meaningful and responsible role in the planning and carrying out of housing affairs; and
    8. Procedures whereby tenants, either individually or in a group, may be given a hearing on questions relating to management policies and practices, either in general or in relation to an individual or family.

History. Enact. Acts 1972, ch. 70, § 3; 1974, ch. 383, § 1; 1976, ch. 364, § 1; 1978, ch. 220, § 1, effective June 17, 1978; 1982, ch. 99, § 1, effective March 23, 1982; 1982, ch. 182, § 1, effective July 15, 1982; 1986, ch. 87, § 1, effective July 15, 1986; 1988, ch. 215, § 1, effective July 15, 1988; 2002, ch. 61, § 1, effective March 15, 2002; 2011, ch. 23, § 1, effective March 15, 2011.

Compiler’s Notes.

Section 8 of the United States Housing Act of 1937, referred to in subsection (5), is compiled as 42 USCS § 1437f.

Opinions of Attorney General.

The phrase “limited dividend housing corporations” as used in subsection (3) [now subsection (4)] of this section has reference to a housing corporation which is relatively nonprofit. OAG 74-447 .

Acts 1982, ch. 99, does not apply retroactively, only prospectively and, thus, it has no retroactive application where the Kentucky Housing Corporation has engaged in contractual commitment and where the originators and/or servicers have engaged in contractual commitment with persons furnished housing under the 1981 - Series A Bond Issue or furnished housing under prior bond issues where new loan commitments are made; the key is prior contractual commitment on the part of KHC, its originators and/or servicers and persons furnished housing under those programs and, in any event, the prohibition of Ky. Const., § 19 must be strictly observed. OAG 82-195 .

The new income guideline concept written into subdivision (13) of this section by the 1982 amendment by ch. 99 is not applicable to the 1981 - Series A Bond Issue; thus the Kentucky Housing Corporation guidelines that were in existence at the time of the subject bond issue apply. OAG 82-195 .

198A.015. Kentucky Housing Corporation’s status as a de jure political subdivision.

The General Assembly of the Commonwealth of Kentucky hereby finds and determines that in order to comply with technical income tax rules and regulations proposed to be adopted by the Department of the Treasury, Internal Revenue Service, with regard to the issuance of securities by states and political subdivisions thereof, it is appropriate and proper that the Kentucky Housing Corporation’s status as a de jure political subdivision of the Commonwealth of Kentucky be confirmed by adoption of appropriate clarifying amendments to the Kentucky Revised Statutes.

History. Enact. Acts 1976, ch. 200, § 1, effective March 29, 1976.

198A.020. Policy and purpose.

  1. The General Assembly hereby finds and declares that as a result of the spread of slum conditions and blight to formerly sound urban and rural neighborhoods and as a result of actions involving highways, public facilities and urban renewal activities there exists in the Commonwealth a serious shortage of decent, safe and sanitary residential housing available at prices or rentals which can be afforded by persons and families of lower and moderate income. This shortage is severe in certain urban areas of the state, is especially critical in the rural areas, and is inimical to the health, safety, welfare and prosperity of all residents of the Commonwealth and to the sound growth of Kentucky communities.
  2. The General Assembly hereby finds and declares further that private enterprise and investment have not been able to produce, without assistance, the needed construction of decent, safe and sanitary residential housing at low prices or rentals which persons and families of lower and moderate income can afford, or to achieve the urgently needed rehabilitation of much of the present supply of residential housing available for persons and families of lower and moderate income. It is imperative that the supply of residential housing for persons and families of lower and moderate income affected by the spread of slum conditions and blight and for persons and families of lower and moderate income displaced by public actions or natural disaster be increased; and that private enterprise and investment be encouraged to sponsor, build and rehabilitate residential housing for such persons and families, to help prevent the recurrence of slum conditions and blight and assist in their permanent elimination throughout the Commonwealth.
  3. The General Assembly hereby finds and declares further that the purposes of this chapter are to provide financing for development costs, land development and residential housing construction, new or rehabilitated, for sale or rental to persons and families of lower and moderate income.
  4. The General Assembly hereby finds and declares further that in accomplishing this purpose, the Kentucky Housing Corporation shall be and constitute a de jure municipal corporation and political subdivision of the Commonwealth of Kentucky created for the performance of essential public functions and the serving of public purposes in improving and promoting the health, welfare and prosperity of the people of the Commonwealth of Kentucky by the production of residential housing.

History. Enact. Acts 1972, ch. 70, § 2; 1976, ch. 200, § 2; 1978, ch. 220, § 2, effective June 17, 1978; 1982, ch. 99, § 2, effective March 23, 1982.

198A.025. State policy on housing.

The General Assembly hereby finds and declares it to be in the public interest to establish a state policy on housing. The objectives of a Kentucky housing policy shall be to:

  1. Encourage the availability of decent and affordable housing for all Kentucky residents;
  2. Identify the basic housing needs of all Kentuckians, including the elderly, persons of low and very low income, the disabled, the homeless, and single-parent households;
  3. Coordinate housing activities and services among state departments and agencies to ensure program flexibility and comprehensive housing production;
  4. Remove administrative and regulatory guidelines to ensure compatibility in the development of affordable housing for all Kentuckians;
  5. Inventory state owned lands and buildings to evaluate utilization for both public and private housing development;
  6. Encourage and strengthen collaborative planning and partnerships among social service providers, all levels of government, and the public and private sectors, including for-profit and nonprofit organizations, in the production of affordable housing;
  7. Reevaluate housing and housing-related programs and policies to ensure proper coordination of those programs and policies;
  8. Coordinate housing into comprehensive community and economic development strategies at the state and local levels;
  9. Encourage local planning commissions to include a housing element in the five (5) year comprehensive plan; and
  10. Discourage housing policies or strategies which concentrate affordable housing in limited sections of metropolitan areas and county jurisdiction.

History. Enact. Acts 1996, ch. 50, § 1, effective July 15, 1996.

198A.030. Kentucky Housing Corporation established — Board of directors — Officers of corporation and duties.

  1. There is hereby created and established an independent, de jure municipal corporation and political subdivision of the Commonwealth which shall be a public body corporate and politic to be known as the Kentucky Housing Corporation.
  2. The Kentucky Housing Corporation is created and established as a de jure municipal corporation and political subdivision of the Commonwealth to perform essential governmental and public functions and purposes in improving and otherwise promoting the health and general welfare of the people by the production of residential housing in Kentucky.
  3. The corporation shall be governed by a board of directors, consisting of fifteen (15) members, five (5) of whom shall be the Lieutenant Governor, the secretary of the Finance and Administration Cabinet, the commissioner of the Department for Local Government, the Attorney General, and the secretary of the Cabinet for Economic Development, or their duly appointed designees, as public directors, and ten (10) private directors who shall be appointed by the Governor, subject to confirmation by the Senate as provided by KRS 11.160 , as follows:
    1. One (1) private director representing the interests of financial lending institutions located within the Commonwealth;
    2. One (1) private director representing the interests of the manufactured housing industry within the Commonwealth;
    3. One (1) private director representing the interests of real estate practitioners licensed by the Kentucky Real Estate Commission;
    4. One (1) private director representing the interests of the homeless population within the Commonwealth;
    5. One (1) private director representing the interests of local government;
    6. One (1) private director representing the interests of the home construction industry in the Commonwealth;
    7. One (1) private director representing the interests of consumers in the Commonwealth;
    8. One (1) private director representing the interests of the Kentucky State Building Trades Council;
    9. One (1) director representing the interests of nonprofit housing organizations located within the Commonwealth; and
    10. One (1) director having significant professional experience in auditing, financial accounting, municipal bond financing, or investment banking.
  4. Private directors appointed by the Governor may include previous members of the board, and members may be reappointed for successive terms. All appointments shall be for four (4) years, and the appointees shall serve until a qualified successor is appointed.
  5. In case of a vacancy, the Governor may appoint a person for the vacancy to hold office during the remainder of the term. A vacancy shall be filled in accordance with the requirement and procedures for appointments.
  6. The Governor may remove any private director whom he may appoint in case of incompetency, neglect of duty, gross immorality, or malfeasance in office, and he may declare his office vacant and may appoint a person for the vacancy as provided in this section.
  7. The Governor shall designate a director of the corporation to serve as chairman. The term of the chairman shall extend to the earlier of either the date of expiration of his then current term as a director of the corporation or a date six (6) months after the expiration of the then current term of the Governor designating the chairman.
  8. The board of directors shall annually elect one (1) of its members as vice chairman. The board of directors shall also elect or appoint, and prescribe the duties of, other officers the board of directors deems necessary or advisable, including an executive director and a secretary, and the board of directors shall fix the compensation of the officers.
  9. The executive director shall administer, manage, and direct the affairs and business of the corporation, subject to the policies, control, and direction of the board of directors of the corporation. The secretary of the corporation shall keep a record of the proceedings of the corporation and shall be custodian of all books, documents, and papers filed with the corporation, the minute book or journal of the corporation, and its official seal. The secretary shall have authority to cause copies to be made of all minutes and other records and documents of the corporation and to give certificates under the official seal of the corporation to the effect that copies are true copies, and all persons dealing with the corporation may rely upon the certificates.
  10. A majority of the board of directors of the corporation shall constitute a quorum for the purposes of conducting its business and exercising its powers and for all other purposes. A majority shall be determined by excluding any existing vacancies from the total number of directors.
  11. Action shall be taken by the corporation upon a vote of a majority of the directors present at a meeting at which a quorum shall exist called upon three (3) days’ written notice to each director or upon the concurrence of at least eight (8) directors.
  12. Each private director shall be entitled to a fee of one hundred dollars ($100) for attendance at each meeting of the board of directors or duly called committee meeting of the board.

History. Enact. Acts 1972, ch. 70, § 4; 1974, ch. 257, § 7; 1974, ch. 383, § 2; 1976, ch. 200, § 13; 1976, ch. 210, § 6; 1978, ch. 154, § 16, effective June 17, 1978; 1978, ch. 155, § 121, effective June 17, 1978; 1978, ch. 220, § 3, effective June 17, 1978; 1978, ch. 384, § 571, effective June 17, 1978; 1980, ch. 141, § 6, effective July 15, 1980; 1980, ch. 295, § 46, effective July 15, 1980; 1982, ch. 182, § 2, effective July 15, 1982; 1982, ch. 396, § 49, effective July 15, 1982; 1984, ch. 339, § 3, effective July 13, 1984; 1992, ch. 289, § 1, effective July 14, 1992; 1998, ch. 69, § 69, effective July 15, 1998; 2005, ch. 85, § 620, effective June 20, 2005; 2007, ch. 47, § 86, effective June 26, 2007; 2009, ch. 12, § 46, effective June 25, 2009; 2010, ch. 117, § 82, effective July 15, 2010.

NOTES TO DECISIONS

Cited in:

Bedell v. H.R.C., Ltd., 522 F. Supp. 732, 1981 U.S. Dist. LEXIS 14698 (E.D. Ky. 1981 ).

Opinions of Attorney General.

This section was amended by two acts in 1974 which were compiled together by the Legislative Research Commission pursuant to KRS 7.123 and 7.136 whereby the attorney general and the administrator of the Kentucky program development office were removed from the board of directors of the Kentucky housing corporation and the director of the office for local government was added to the board. OAG 74-521 .

From the standpoint of the incompatible offices provisions of Ky. Const., § 165 and KRS 61.080 , state officers are not prohibited from holding positions on the boards of directors of the Kentucky Housing Corporation and the Kentucky Higher Education Student Loan Corporation when those officers are holding positions specifically authorized by subsection (3) of this section and KRS 164A.050(3) because where a statute provides for the appointment of specifically designated public officers to hold another public office, these public officers hold their second public office in an “ex officio” capacity, which eliminates the possibility of a constitutional or statutory incompatibility. OAG 91-208 .

The Board of Directors for the public agency, the Kentucky Housing Corporation, has the discretion to elect one of its own members as an executive director or may appoint an individual who is not a member of the Board of Directors; however, the Board of Directors has no statutory authority to make this election or appointment by means of a “personal service contract.” OAG 92-18 .

The word “elect” within the meaning of subsection (8) of this section refers to selection of one of the members of the Board of Directors to serve as an executive director or other officer of the public agency. OAG 92-18 .

The word “appoint” as used in subsection (8) of this section refers to the employment of an individual other than a member of the Board of Directors of the public agency. OAG 92-18 .

198A.035. Advisory committee on housing policy.

  1. The Kentucky Housing Corporation shall oversee the development and implementation of the Kentucky housing policy. The corporation shall create an advisory committee on housing policy consisting of the following:
    1. The following nine (9) state government members, or their duly appointed designees: the commissioner of education; commissioner of the Department for Local Government; commissioner of the Department of Housing, Buildings and Construction; secretary of the Energy and Environment Cabinet; secretary of the Cabinet for Health and Family Services; executive director of the Human Rights Commission; state historic preservation officer; secretary of the Transportation Cabinet; and executive director of the Kentucky Housing Corporation;
    2. At-large members shall be appointed by the chairman of the board of directors of the Kentucky Housing Corporation. There shall be one (1) at-large representative for each of the following:
      1. Public housing authorities;
      2. Mortgage banking industry;
      3. Manufactured housing industry;
      4. Realtors;
      5. Homebuilders;
      6. Urban nonprofit housing organizations;
      7. Rural nonprofit housing organizations;
      8. Urban advocates for the homeless;
      9. Rural advocates for the homeless;
      10. Residents of economically diverse urban neighborhoods;
      11. Residents of economically diverse rural neighborhoods;
      12. Rental property providers;
      13. Advocates for persons with physical disabilities;
      14. Advocates for persons with mental disabilities;
      15. The Kentucky State Building Trades Council;
      16. The Kentucky League of Cities; and
      17. The Kentucky Association of Counties; and
    3. One (1) member of the Senate and one (1) member of the House of Representatives.
  2. State government members and General Assembly members shall serve on the advisory committee during the term of their elected or appointed state government positions. Members appointed as provided by subsection (1)(b) of this section shall be appointed for four (4) year terms, except that initially five (5) shall be appointed for two (2) year terms, six (6) shall be appointed for three (3) year terms, and six (6) shall be appointed for four (4) year terms.
  3. The advisory committee shall meet at least quarterly and hold additional meetings as necessary. Eleven (11) members of the committee shall constitute a quorum for the purposes of conducting business and exercising its powers for all purposes.
  4. Any vacancy shall be filled as provided by the requirements and procedures for the initial appointment and only for the remainder of the term of the initial appointment.
  5. Any at-large member may be removed at any time, with or without cause, by resolution of a majority of the board of directors of the corporation.
  6. The advisory committee shall consult with and advise the officers and directors of the corporation concerning matters relating to the Kentucky housing policy.
  7. The corporation shall annually report its findings and recommendations regarding the Kentucky housing policy to the Governor and the Interim Joint Committee on Local Government of the Legislative Research Commission.
  8. The advisory committee shall elect a presiding officer from among its members and may establish its own rules of procedure which shall not be inconsistent with the provisions of this chapter.
  9. Members of the advisory committee shall serve without compensation. Members who are not employees of the Commonwealth shall be entitled to reimbursement for actual expenses incurred in carrying out their duties on the committee.
  10. The Kentucky Housing Corporation shall provide the staff and funding for the administrative activities of the advisory committee. The Kentucky Housing Corporation shall perform all budgeting, procurement, and other administrative activities necessary to the functioning of the advisory committee. The advisory committee may authorize studies as it deems necessary and utilize Kentucky Housing Corporation funds and other available resources from the public or private sector to provide housing needs data.

History. Enact. Acts 1996, ch. 50, § 2, effective July 15, 1996; 1998, ch. 69, § 70, effective July 15, 1998; 1998, ch. 426, § 132, effective July 15, 1998; 2000, ch. 7, § 1, effective July 14, 2000; 2004, ch. 105, § 19, effective July 13, 2004; 2005, ch. 99, § 43, effective June 20, 2005; 2007, ch. 47, § 87, effective June 26, 2007; 2010, ch. 24, § 243, effective July 15, 2010; 2010, ch. 117, § 83, effective July 15, 2010.

Legislative Research Commission Notes.

(7/15/2010). This section was amended by 2010 Ky. Acts chs. 24 and 117, which do not appear to be in conflict and have been codified together.

198A.040. Corporate powers.

The corporation shall have all of the powers necessary or convenient to carry out and effectuate the purposes and provisions of this chapter, including but without limiting the generality of the foregoing the power:

  1. To make or participate in the making of insured construction loans to sponsors of land development or residential housing; provided, however, that such loans shall be made only upon the determination by the corporation that construction loans have been refused in writing, wholly or in part, from private lenders in the Commonwealth of Kentucky upon reasonably equivalent terms and conditions;
  2. To make or participate in the making of insured mortgage loans to sponsors of residential housing; provided, however, that such loans shall be made only upon the determination by the corporation that mortgage loans have been refused in writing, wholly or in part, from private lenders in the Commonwealth of Kentucky upon reasonably equivalent terms and conditions;
  3. To purchase or participate in the purchase of insured mortgage loans made to sponsors of residential housing or to persons of lower and moderate income for residential housing; provided, however, that any such purchase shall be made only upon the determination by the corporation that mortgage loans have been refused in writing, wholly or in part, from private lenders in the Commonwealth of Kentucky upon reasonably equivalent terms and conditions;
  4. To make temporary loans from the housing development fund;
  5. To collect and pay reasonable fees and charges in connection with making, purchasing and servicing its loans, notes, bonds, commitments, and other evidences of indebtedness;
  6. To acquire real property, or any interest therein, by purchase, foreclosure, lease, sublease, or otherwise; to own, manage, operate, hold, clear, improve, and rehabilitate such real property; and to sell, assign, exchange, transfer, convey, lease, mortgage, or otherwise dispose of or encumber such real property where such use of real property is necessary or appropriate to the purpose of the Kentucky Housing Corporation;
  7. To sell, at public or private sale, all or any part of any mortgage or other instrument or document securing a construction, land development, mortgage, or temporary loan of any type permitted by this chapter;
  8. To procure insurance against any loss in connection with its operations in such amounts, and from such insurers, as it may deem necessary or desirable;
  9. To consent, whenever it deems it necessary or desirable in the fulfillment of its corporate purposes, to the modification of the rate of interest, time of payment of any installment of principal or interest, or any other terms of any mortgage loan, mortgage loan commitment, construction loan, temporary loan, contract, or agreement of any kind to which the corporation is a party;
  10. To acquire, establish, operate, lease, and sublease residential housing for persons and families of lower and moderate income and to enter into agreements or other transactions with any federal, state, or local governmental agency for the purpose of providing adequate living quarters for such persons and families in cities and counties where a need has been found for such housing and where no local housing authorities or other organizations exist to fill such need;
  11. To include in any borrowing such amounts as may be deemed necessary by the corporation to pay financing charges, interest on the obligations for a period not exceeding two (2) years from their date, consultant, advisory, and legal fees and such other expenses as are necessary or incident to such borrowing;
  12. To make and publish rules and regulations respecting its lending programs and such other rules and regulations as are necessary to effectuate its corporate purposes;
  13. To provide technical and advisory services to sponsors of residential housing and to residents and potential residents thereof, including but not limited to housing selection and purchase procedures, family budgeting, property use and maintenance, household management, and utilization of community resources;
  14. To promote research and development in scientific methods of constructing low cost residential housing of high durability;
  15. To encourage community organizations to participate in residential housing development;
  16. To make, execute, and effectuate any and all agreements or other documents with any governmental agency or any person, corporation, association, partnership, or other organization or entity, necessary to accomplish the purposes of this chapter;
  17. To accept gifts, devises, bequests, grants, loans, appropriations, revenue sharing, other financing and assistance, and any other aid from any source whatsoever and to agree to, and to comply with, conditions attached thereto;
  18. To sue and be sued in its own name and plead and be impleaded;
  19. To maintain an office in the city of Frankfort and at such other place or places as it may determine;
  20. To adopt an official seal and alter the same at pleasure;
  21. To adopt bylaws for the regulation of its affairs and the conduct of its business and to prescribe rules, regulations, and policies in connection with the performance of its functions and duties;
  22. To employ fiscal consultants, engineers, attorneys, real estate counselors, appraisers, and such other consultants and employees as may be required in the judgment of the corporation and to fix and pay their compensation from funds available to the corporation therefor, provided that any personal service contracts entered into shall be subject to review by the Government Contract Review Committee of the Legislative Research Commission;
  23. To invest any funds held in reserve or in sinking fund accounts or any moneys not required for immediate disbursement in obligations guaranteed by the Commonwealth, the United States, or their agencies or instrumentalities; provided, however, that the return on such investments shall not violate any rulings of the Internal Revenue Service regarding the investment of the proceeds of any federally tax exempt bond issue;
  24. To make or participate in the making of rehabilitation loans to the sponsors or owners of residential housing; provided, however, that any such rehabilitation loan shall be made only upon the determination by the corporation that the rehabilitation loan was not otherwise available wholly or in part from private lenders upon reasonably equivalent terms and conditions;
  25. To insure or reinsure construction, mortgage, and rehabilitation loans on residential housing; provided, however, that any such insurance, reinsurance, or waiver shall be made only upon the determination by the corporation:
    1. That such insurance or reinsurance is not otherwise available wholly or in part from private insurers upon reasonably equivalent terms and conditions; and
    2. That such loan is a reasonably sound business investment; and provided further that insurance may be waived only where the corporation finds that the amount of the loan does not exceed eighty-five percent (85%) of the development costs, or eighty-five percent (85%) of the value of the property secured by the mortgage as determined by at least two (2) appraisers who are independent of the sponsors, builders, and developers;
  26. To make grants from appropriated funds, agency and trust funds, and any other funds from any source available to the corporation, to sponsors, municipalities, local housing authorities, and to owners of residential housing for the development, construction, rehabilitation, or maintenance of residential housing and such facilities related thereto as corporation shall deem important for a proper living environment, all on such terms and conditions as may be deemed appropriate by the corporation;
  27. To make periodic grants to reduce principal and interest payments on mortgages or rentals payable by persons and families of lower and moderate income;
    1. To make a grant to reduce principal and interest payments on a mortgage or a rental payable by a regular member of the United States Armed Forces who names Kentucky as home of record for military purposes, during that member’s deployment on active duty outside the United States, or payable by a member of a state National Guard or a Reserve component who names Kentucky as home of record for military purposes, during that member’s federal active duty. To qualify for a grant, a member shall meet reasonable standards established by the corporation, including having family income equal to or less than two hundred percent (200%) of the state or area median income; and (28) (a) To make a grant to reduce principal and interest payments on a mortgage or a rental payable by a regular member of the United States Armed Forces who names Kentucky as home of record for military purposes, during that member’s deployment on active duty outside the United States, or payable by a member of a state National Guard or a Reserve component who names Kentucky as home of record for military purposes, during that member’s federal active duty. To qualify for a grant, a member shall meet reasonable standards established by the corporation, including having family income equal to or less than two hundred percent (200%) of the state or area median income; and
    2. To provide a member identified in paragraph (a) of this subsection and that member’s Kentucky resident spouse with the educational, technical, and ombudsman services that are necessary to maintain a mortgage during that member’s federal active duty;
  28. To establish a program to assist persons and families of lower and moderate income to help defray the cost of assessment and decontamination services required under KRS 224.1-410 . To qualify for the program, a person shall meet reasonable standards established by the corporation. A person shall not be eligible for the program if convicted of a felony or found by the corporation to be responsible for contamination of the relevant property through methamphetamine production. The corporation shall report on the establishment and use of this program to the Legislative Research Commission by October 1 of each year;
  29. To establish single-family mortgage-lending programs outside of the mortgage revenue bond funds. To qualify for these programs, a person shall meet reasonable standards established by the corporation and shall have a combined family income that is equal to or less than one hundred seventy-five percent (175%) of the greater of the state or area median income; and
  30. To perform the following activities for lenders, holders, housing finance agencies, or other third-party entities, who are located within or without the boundaries of the Commonwealth:
    1. Service mortgage loans;
    2. Administer federal or state program contracts; and
    3. Perform other housing activities to facilitate the delivery or preservation of affordable housing.

The Kentucky Housing Corporation shall be exempt from the regulations of the Department of Insurance and the laws of the Commonwealth relating thereto.

History. Enact. Acts 1972, ch. 70, § 5; 1974, ch. 383, § 3; 1976, ch. 364, § 2; 1978, ch. 220, § 4, effective June 17, 1978; 1982, ch. 99, § 3, effective March 23, 1982; 1982, ch. 182, § 3, effective July 15, 1982; 1998, ch. 486, § 8, effective July 15, 1998; 2006, ch. 252, Part XXVIII, § 7, effective April 25, 2006; 2007, ch. 55, § 1, effective June 26, 2007; 2007, ch. 83, § 2, effective June 26, 2007; 2008, ch. 161, § 3, effective July 15, 2008; 2010, ch. 24, § 244, effective July 15, 2010; 2011, ch. 23, § 2, effective March 15, 2011; 2014, ch. 28, § 1, effective July 15, 2014.

Opinions of Attorney General.

If a letter was mailed by a corporation to all recognized lenders in a given geographical area describing the type of loans proposed to be made by the corporation and inquiring of the private lenders as to whether or not they wished to make loans on similar terms and conditions, written response in the negative from the private lenders would constitute a refusal in writing as contemplated by the 1978 amendment to this section and would satisfy the intent of the Legislature. OAG 78-666 .

Since the “writing” mentioned in subsections (1), (2) and (3) of this section refers to “loans” in the plural, it necessarily follows that the General Assembly must have contemplated that the “writing” in question would refer to more than one loan. OAG 78-666 .

The Legislature did not intend that the Kentucky Housing Corporation require, as a condition precedent to the making of a loan, that the applicant tender a statement as part of his application establishing that he had been turned down by a private lender for a loan of the same type. OAG 78-666 .

Since the Kentucky building code is the controlling authority with respect to the Kentucky board of buildings, housing and construction the board may not promulgate regulations which conflict with the building code but may, however, issue regulations which explain, clarify, or supplement the code and although the building code will control any issue to which it directly refers, any ambiguity or change in circumstances not directly addressed in the code may be controlled by reasonable rules and regulations issued by the department. OAG 80-648 .

The Kentucky Housing Corporation is the only entity with statewide authority to administer performance-based HUD rental subsidy contracts in Kentucky; no out-of-state entity would have authority under Kentucky law to administer such contracts in the Commonwealth. OAG 12-004 , 2012 Ky. AG LEXIS 79.

198A.050. Administration of programs by executive director — Requirements.

  1. In the administration of the programs authorized by or receiving benefits under KRS 198A.040 , the executive director of the Kentucky Housing Corporation shall require:
    1. That to the greatest extent feasible opportunities for training and employment arising in connection with the planning, construction, rehabilitation, and operation of housing assisted under such programs shall be given to persons of lower and moderate income residing in the area of such housing; and
    2. That to the greatest extent feasible contracts for work to be performed pursuant to such programs shall be awarded to business concerns, including but not limited to individuals or firms doing business in the fields of design, architecture, building construction, rehabilitation, maintenance or repair, located in or owned in substantial part by persons residing in the area of such housing.
  2. In the administration of rental residential housing assisted under this chapter, the executive director of the Kentucky Housing Corporation shall require maximum feasible tenant participation and responsibility in tenant programs and services.
  3. The executive director of the Kentucky Housing Corporation shall establish standards of performance for materials, methods and design which meet the minimum requirements of appropriate federal or state agencies.

History. Enact. Acts 1972, ch. 70, § 6; 1974, ch. 383, § 4; 1982, ch. 99, § 4, effective March 23, 1982.

Opinions of Attorney General.

Since the Kentucky Building Code is the controlling authority with respect to the Kentucky Board of Buildings, Housing and Construction the board may not promulgate regulations which conflict with the Building Code but may, however, issue regulations which explain, clarify, or supplement the code and although the Building Code will control any issue to which it directly refers, any ambiguity or change in circumstances not directly addressed in the code may be controlled by reasonable rules and regulations issued by the department. OAG 80-648 .

198A.060. Requirements for loan agreement or articles of incorporation of assisted entities — Limit on return of investment of stockholders or members.

  1. The loan agreement or the articles of incorporation, association, partnership or other governing documents of any sponsor, builder or developer assisted under this chapter shall contain, in addition to other requirements of law:
    1. That the corporation, cooperative or association has been organized to provide housing facilities and such social, recreational, commercial and community facilities as may be incidental or appurtenant thereto for persons or families of lower and moderate income;
    2. That the operations of the corporation, cooperative or association may be supervised by the Kentucky Housing Corporation and that the corporation, cooperative or association shall enter into such agreements with the Kentucky Housing Corporation as the Kentucky Housing Corporation from time to time requires, providing for regulation by the Kentucky Housing Corporation of the planning, development and management of any residential housing undertaken by the corporation, cooperative or association and their disposition of the property and franchises;
    3. That the Kentucky Housing Corporation shall have the power to appoint to the board of directors of the corporation, cooperative or association a number of new directors, which number shall be sufficient to constitute a majority of the board, if the corporation, cooperative or association has received a loan or advance under this chapter and the Kentucky Housing Corporation determines that the loan or advance is in jeopardy of not being repaid, or that the residential housing for which the loan or advance was made is in jeopardy of not being constructed.
  2. The articles of incorporation, association, partnership or other governing documents of any limited dividend corporation, association or entity of any sponsor, builder or developer assisted under this chapter shall provide, in addition to other requirements of law, that every stockholder or member shall be deemed to have agreed that he shall not receive from the corporation, association or entity in repayment of his investment any sums in excess of the face value of the investment attributable to his respective interest plus cumulative dividend payments at such rate as the Kentucky Housing Corporation deems to be reasonable and proper.

History. Enact. Acts 1972, ch. 70, § 7; 1976, ch. 364, § 3; 1982, ch. 99, § 5, effective March 23, 1982; 1982, ch. 182, § 4, effective July 15, 1982.

Legislative Research Commission Notes.

This section was amended by two 1982 Acts which do not appear to be in conflict and have been compiled together.

198A.065. Waiver of income — Eligibility requirements.

  1. The General Assembly of the Commonwealth of Kentucky hereby finds and determines that in order to provide for the greatest possible participation by the corporation in programs for the insurance or guarantee of mortgage loans for the construction or rehabilitation of residential housing projects by the United States of America, or an agency or instrumentality thereof; or by any other entity, including private mortgage insurance, which has been duly approved for these loans by the United States of America or by the Commonwealth or any agency or instrumentality thereof, if the criteria for state approval are specified in administrative regulations promulgated under KRS Chapter 13A by the state agency granting the approval; or for mortgage loans that are insured or reinsured by the corporation under KRS 198A.040(25), it is appropriate and proper that there be provision by which the maximum amounts of income for persons and families of lower and moderate income established by this chapter may be waived in certain circumstances so that the corporation may insure or reinsure mortgage loans or qualify for insurance or guarantee of mortgage loans.
  2. Notwithstanding the requirements of KRS 198A.010(14), 198A.060(1), or any other provisions of law to the contrary, the corporation may, by action of its board of directors, suspend or terminate any income-eligibility requirements established by this chapter, subject to subsection (3) of this section, upon written request of any private mortgage insurance company or any agency or instrumentality of the United States of America which has insured or guaranteed mortgage loans made by the corporation for the construction or rehabilitation of a specific residential housing project or for any mortgage loan insured or reinsured by the corporation under KRS 198A.040(25), upon a finding by the board of directors of the existence of one (1) or more of the following conditions with respect to that project:
    1. Serious rental or occupancy problems which threaten the financial stability of the project, defined as a project which cannot meet its debt service obligation from available rental income; or
    2. A default as to one (1) or more of the terms of the mortgage loan; or
    3. A foreclosure of the mortgage loan; or
    4. A conveyance of real estate by a deed in lieu of foreclosure.
  3. If the corporation suspends or terminates income eligibility requirements relating to a project financed by a loan which is insured or guaranteed by a private mortgage insurance company or the corporation, the corporation shall file with the Legislative Research Commission notice of, and an explanation of the need for, the suspension or termination. The Commission shall refer the notice and explanation to the appropriate interim joint subcommittee for review. The corporation shall also provide to the reviewing subcommittee information relating to the management of, and plans for, the project.

History. Enact. Acts 1988, ch. 215, § 2, effective July 15, 1988; 1994, ch. 310, § 1, effective July 15, 1994; 2011, ch. 23, § 3, effective March 15, 2011.

198A.067. Ordinance required for financing for certain multifamily housing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts. 1988, ch. 215, § 3, effective July 15, 1988; 2002, ch. 346, § 198, effective July 15, 2002) was repealed by Acts 2013, ch. 12, § 3, effective June 25, 2013.

198A.070. State not liable for obligations of the Kentucky Housing Corporation.

  1. Obligations issued under the provisions of this chapter shall not be deemed to constitute a debt, liability or obligation of the state or of any political subdivision thereof or a pledge of the faith and credit of the state or of any such political subdivision, but shall be payable solely from the revenues or assets of the corporation. Each obligation issued under this chapter shall contain on the face thereof a statement to the effect that the corporation shall not be obligated to pay the same nor the interest thereon except from the revenues or assets pledged therefor and that neither the faith and credit nor the taxing power of the state or of any political subdivision thereof is pledged to the payment of the principal of or the interest on such obligation.
  2. Expenses incurred by the corporation in carrying out the provisions of this chapter may be made payable from funds provided pursuant to this chapter and no liability shall be incurred by the corporation hereunder beyond the extent to which moneys shall have been so provided.

History. Enact. Acts 1972, ch. 70, § 8.

Opinions of Attorney General.

“The obligation of contract” within the federal and state prohibitions against impairment extends to contracts between a state or political subdivision and private persons, as well as to contracts between private persons; thus the sweeping prohibition of Ky. Const., § 19, applies to Kentucky Housing Corporation (KHC) business, regardless of this section, relating to the specific nature of the obligations of KHC. OAG 82-195 .

198A.080. Housing development fund — Use to include repair of existing housing.

  1. There is hereby created and established a loan fund to be known as the housing development fund and to be administered by the corporation as a trust fund separate and distinct from all other moneys, funds, or assets administered by the corporation.
  2. The housing development fund shall be comprised of and the corporation is hereby authorized to receive and accept for the housing development fund the proceeds of grants, contributions, appropriations, repayment of loans made from the fund, the proceeds of fund notes, and any other moneys which may be made available to the corporation for the purposes of the housing development fund from any other source. The corporation is hereby authorized to receive and accept from any source whatever any grants or contributions for the housing development fund. The corporation is authorized to provide for the issuance, at one (1) time or from time to time, of housing development fund notes for the purpose of providing funds for such fund; provided, however, that not more than $5,000,000 fund notes or other borrowings shall be outstanding at any one (1) time. The principal of and the interest on any such fund notes shall be payable solely from the housing development fund. The fund notes of each issue shall be dated, shall mature at such time or times not exceeding ten (10) years from their date or dates, and may be made redeemable before maturity, at the option of the corporation, at such price or prices and under such terms and conditions as may be determined by the corporation. The corporation shall determine the form and manner of execution of the fund notes, including any interest coupons to be attached thereto, and shall fix the denomination or denominations and the place or places of payment of principal and interest, which may be any bank or trust company within or without the state or any agent, including the lender. In case any officer whose signature or a facsimile of whose signature shall appear on any fund notes or coupons attached thereto shall cease to be such officer before the delivery thereof, such signature or such facsimile shall nevertheless be valid and sufficient for all purposes the same as if he had remained in office until such delivery. The fund notes may be issued in coupon or in registered form, or both, as the corporation may determine, and provision may be made for the registration of any coupon fund notes as to principal alone and also as to both principal and interest, and for the reconversion into coupon fund notes of any fund notes registered as to both principal and interest, and for the interchange of registered and coupon fund notes. Any such fund notes shall bear interest at such rate or rates as may be determined by the corporation and may be sold in such manner, either at public or private sale, and for such price as the corporation shall determine to be for the best interest of the corporation and best effectuate the purposes of this chapter.
  3. The proceeds of any fund notes shall be used solely for the purposes for which issued and shall be disbursed in such manner and under such restrictions, if any, as the corporation may provide in the resolution authorizing the issuance of such fund notes. The corporation may provide for the replacement of any fund notes which shall become mutilated or shall be destroyed or lost.
  4. Fund notes may be issued under the provisions of this section without obtaining the consent of any department, division, commission, board, body, bureau, or agency of the state, and without any other proceedings or the happening of any conditions or things other than those proceedings, conditions, or things which are specifically required by this chapter and the provisions of the resolution authorizing the issuance of such fund notes.
  5. The purpose of the housing development fund is to provide a source from which the corporation may make loans and grants, and the corporation is authorized to make loans and grants from the housing development fund, at such interest rate or rates and such term or terms as may be determined by the corporation to be for the best interest of the corporation and best effectuate the purpose of this chapter, and with such security for repayment as the corporation deems reasonably necessary and practicable, to:
    1. Defray development costs of sponsors, builders, and developers of residential housing, or
    2. Provide to persons and families of lower and moderate income who are applying for mortgages, either for purchase or rehabilitation of residential housing the amounts required to make down payments, pay closing costs, or make interest payments, or
    3. Make or participate in the making of construction loans which are not federally insured to sponsors, builders, and developers of land development or residential housing; provided, however, that such loans shall be made only upon the determination by the corporation that construction loans are not otherwise available, wholly or in part, from private lenders upon reasonably equivalent terms and conditions.
  6. No temporary loans shall be made by the corporation from the housing development fund except in accordance with a written agreement which shall include, without limitation, the following terms and conditions:
    1. The proceeds of such loan shall be used only for the purpose for which such loan shall have been made as provided in the agreement;
    2. Such loan shall be repaid in full as provided in the agreement;
    3. All repayments in connection with a loan to defray development costs shall be made concurrent with receipt by the borrower of the proceeds of a construction loan or mortgage loan, as the case may be, or at such other times as the corporation deems reasonably necessary or practicable; and
    4. Such security for repayment shall be specified and shall be upon such terms and conditions as the corporation deems reasonably necessary or practicable to insure all repayments.
  7. No funds from the housing development fund shall be used to carry on propaganda or otherwise attempt to influence legislation.
    1. Notwithstanding other provisions of this section, the corporation may make loans secured by a mortgage from the housing development fund to enable a person sixty-two (62) years of age or older who owns the home in which he resides, whose income combined with his spouse does not exceed six thousand dollars ($6,000), and who meets any other reasonable standards established by the corporation to make repairs to his home including but not limited to siding, weatherstripping, roofing, gutters, electrical wiring, plumbing, and installation of sewers. (8) (a) Notwithstanding other provisions of this section, the corporation may make loans secured by a mortgage from the housing development fund to enable a person sixty-two (62) years of age or older who owns the home in which he resides, whose income combined with his spouse does not exceed six thousand dollars ($6,000), and who meets any other reasonable standards established by the corporation to make repairs to his home including but not limited to siding, weatherstripping, roofing, gutters, electrical wiring, plumbing, and installation of sewers.
    2. The maximum principal amount of such loans shall not exceed seven thousand dollars ($7,000) and the maximum interest rate shall not exceed three percent (3%). All loans shall be repayable over a period of thirty (30) years. Upon the death of the borrowers prior to maturity, the unpaid balance shall be paid in full by the person to whom the house has passed by devise or descent.
    3. The corporation shall make loans under this section in an equal number in each of the six (6) congressional districts.

History. Enact. Acts 1972, ch. 70, § 9; 1974, ch. 383, § 5; 1976, ch. 364, § 4; 1980, ch. 308, § 1, effective July 15, 1980; 1982, ch. 99, § 6, effective March 23, 1982; 1982, ch. 182, § 5, effective July 15, 1982; 1992, ch. 235, § 6, effective July 14, 1992.

Compiler’s Notes.

Section 9 of Acts 1992, ch. 235, provides:

“The terms of current members on the boards, commissions, and councils treated by statutes amended by this Act shall continue in force. When a vacancy occurs for a member appointed to be the representatives of one of the former seven congressional districts, whether by resignation, death, expiration of term, or otherwise, the vacancy shall be filled as follows:

  1. A vacancy from the former First Congressional District shall be filled by an appointee from the current First Supreme Court District.
  2. A vacancy from the former Second Congressional District shall be filled by an appointee from the current Second Supreme Court District.
  3. A vacancy from the former Third Congressional District shall be filled by an appointee from the current Fourth Supreme Court District.
  4. A vacancy from the former Fourth Congressional District shall be filled by an appointee from the current Sixth Supreme Court District.
  5. A vacancy from the former Fifth Congressional District shall be filled by an appointee from the current Third Supreme Court District.
  6. A vacancy from the former Sixth Congressional District shall be filled by an appointee from the current Fifth Supreme Court district.
  7. A vacancy from the former Seventh Congressional District shall be filled by an appointee from the current Seventh Supreme Court District.”

Opinions of Attorney General.

Since the Kentucky Building Code is the controlling authority with respect to the Kentucky Board of Buildings, Housing and Construction the board may not promulgate regulations which conflict with the building code but may, however, issue regulations which explain, clarify, or supplement the code and although the building code will control any issue to which it directly refers, any ambiguity or change in circumstances not directly addressed in the code may be controlled by reasonable rules and regulations issued by the department. OAG 80-648 .

198A.090. Corporate authorization and operation of revenue bond financing — Approval of General Assembly required for certain bond or note issuances.

  1. Except as provided in subsection (6) of this section, the corporation may provide for the issuance, at one (1) time or from time to time, of bonds of the corporation if the cumulative outstanding indebtedness of the corporation’s bonds does not exceed five billion dollars ($5,000,000,000), in order to carry out and effectuate its corporate purposes and powers.
  2. In anticipation of the issuance of bonds, the corporation may provide for the issuance, at one (1) time or from time to time, of bond anticipation notes. The principal of and the interest on the bonds or notes shall be payable solely from the funds provided for the payment. Notes may be made payable from the proceeds of bonds or renewal notes or, if bond or renewal note proceeds are not available, notes may be paid from any available revenues or assets of the corporation.
  3. The bonds or notes of each issue shall be dated and may be made redeemable before maturity at the option of the corporation at a price and under terms and conditions determined by the corporation. Bonds or notes shall bear interest at a rate determined by the corporation. Notes shall mature at a time not exceeding ten (10) years from their date and bonds shall mature at a time not exceeding forty (40) years from their date, as determined by the corporation. The corporation shall determine the form and manner of execution of the bonds or notes, including any interest coupons to be attached thereto, and shall fix the denomination and the place of payment of principal and interest, which may be any bank or trust company within or without the Commonwealth. If an officer whose signature or a facsimile of whose signature appears on any bonds, notes, or coupons attached to them shall cease to be an officer before the delivery thereof, the signature or facsimile shall be valid and sufficient for all purposes as if he had remained in office until delivery. The corporation may provide for the authentication of the bonds or notes by a trustee or fiscal agent. The bonds or notes may be issued in coupon or in registered form, or both, as the corporation may determine, and provision may be made for the registration of any coupon bonds or notes as to principal alone and also as to both principal and interest, and for the reconversion into coupon bonds or notes of any bonds or notes registered as to both principal and interest, and for the interchange of registered and coupon bonds or notes. Upon the approval of a resolution of the corporation, authorizing the sale of its bonds or notes, the bonds or notes may be sold in a manner, either at public or private sale, and for a price the corporation shall determine to be for the best interest of the corporation and best effectuate the purposes of this chapter, if the sale is approved by the corporation.
  4. The proceeds of any bonds or notes shall be used solely for the purposes for which they are issued and shall be disbursed in the manner and under the restrictions, if any, the corporation may provide in the resolution authorizing the issuance of bonds or notes or in the trust agreement securing the same.
  5. Prior to the preparation of definitive bonds, the corporation may, under like restrictions, issue interim receipts or temporary bonds, with or without coupons, exchangeable for definitive bonds when the bonds have been executed and are available for delivery. The corporation may also provide for the replacement of any bonds or notes which become mutilated, destroyed, or lost.
    1. Prior to the issuance of any bonds or notes that are not secured by: (6) (a) Prior to the issuance of any bonds or notes that are not secured by:
      1. Direct obligations or obligations guaranteed by the United States of America; or
      2. Obligations of federal agencies to the extent that the obligations are backed by the full faith and credit of the United States of America; or
      3. Repurchase agreements with any primary dealer in securities fully secured by obligations described in subparagraphs 1. and 2. of this paragraph if the market value of the security is maintained at one hundred three percent (103%) of the principal amount of the repurchase agreement and the security is held by an independent third-party custodian financial institution; or
      4. Insured or guaranteed construction loans or mortgage loans as defined by KRS 198A.010(10) and (11); or
      5. Guaranty insurance policies which guarantee payment of the principal and interest on the bonds issued by a nationally recognized entity authorized to issue guarantees and rated in the highest rating category by at least one (1) of the nationally recognized rating services;

        the corporation shall obtain the approval of the issuance from the General Assembly in accordance with the provisions of KRS 56.870(1), unless the provisions of paragraph (b) of this subsection apply. This requirement shall not apply to refunding bond or note issues which are for the purpose of achieving debt service savings and which do not extend the term of the refunded bonds or notes.

    2. The corporation may provide for the issuance, at any one (1) time or from time to time, of bonds which do not satisfy the requirements of paragraph (a) of this subsection without approval of the issuance by the General Assembly if the cumulative outstanding indebtedness of the corporation that does not meet the requirements of paragraph (a) of this subsection does not exceed thirty million dollars ($30,000,000).
    3. The corporation shall annually report on its housing and bonding programs to the Interim Joint Committee on Appropriations and Revenue.
  6. The Finance and Administration Cabinet shall provide to the corporation fiscal consultant services regarding revenue bond management as necessary.

History. Enact. Acts 1972, ch. 70, § 10; 1974, ch. 74, Art. II, § 9(1); 1974, ch. 383, § 6; 1976, ch. 310, § 1; 1978, ch. 220, § 5, effective June 17, 1978; 1982, ch. 99, § 7, effective March 23, 1982; 1992, ch. 365, § 1, effective July 14, 1992; 1994, ch. 53, § 4, effective July 15, 1994; 2000, ch. 15, § 1, effective July 14, 2000; 2008, ch. 76, § 1, effective July 15, 2008; 2011, ch. 23, § 4, effective March 15, 2011.

Opinions of Attorney General.

Although legislative approval of the fiscal obligations created by the issuance, by a “child” corporation of the Kentucky Housing Corporation, of housing construction loan notes and revenue bonds would not normally be necessary under subsection (3) of KRS 56.870 because no appropriations are involved, the specific debt ceiling imposed upon the Kentucky Housing Authority by this section would exempt the “child” corporation from the exclusion of KRS 56.870 , since KRS 56.871 provides such an exemption where a debt ceiling or specific authorization for debt service has been authorized by the General Assembly. OAG 81-242 .

The Kentucky Housing Corporation cannot create a “child” corporation as a vehicle to issue housing construction loan notes and revenue bonds in order to qualify for mortgage financing, since no provision in KRS Chapter 198A expressly or implicitly allows the creation of any other entity than the corporation for that purpose, and since the clear intent of the legislature in passing subsection (1) of this section was to place a maximum $700 million limit on the total bonding capacity of the corporation; thus, even if a “child” corporation could be created, the total bonding limit of both entities could not surpass $700 million. OAG 81-242 .

The bond ceiling authorized by the General Assembly creates a regenerative authorization such that, as bonds are paid off, new bonds may be issued so long as the bonds outstanding do not exceed the bond ceiling. OAG 90-78 .

198A.100. Trust agreement to secure corporate obligations — Operation thereof.

In the discretion of the corporation any obligations issued under the provisions of this chapter may be secured by a trust agreement by and between the corporation and a corporate trustee, which may be any trust company or bank having the powers of a trust company within or without the state. Such trust agreement or the resolution providing for the issuance of such obligations may pledge or assign all or any part of the revenues or assets of the corporation, including, without limitation, mortgage loans, mortgage loan commitments, construction loans, temporary loans, contracts, agreements and other security or investment obligations, the fees or charges made or received by the corporation, the moneys received in payment of loans and interest thereon, and any other moneys received or to be received by the corporation. Such trust agreement or resolution may contain such provisions for protecting and enforcing the rights and remedies of the holders of any such obligations as may be reasonable and proper and not in violation of law, including covenants setting forth the duties of the corporation in relation to the purposes to which obligation proceeds may be applied, the disposition or pledging of the revenues or assets of the corporation, the terms and conditions for the issuance of additional obligations, and the custody, safeguarding and application of all moneys. It shall be lawful for any bank or trust company incorporated under the laws of the state which may act as depository of the proceeds of obligations, revenues or other money hereunder to furnish such indemnifying bonds or to pledge such securities as may be required by the corporation. Any such trust agreement or resolution may set forth the rights and remedies of the holders of any obligations and of the trustee, and may restrict the individual right of action by any such holders. In addition to the foregoing, any such trust agreement or resolution may contain such other provisions as the corporation may deem reasonable and proper for the security of the holders of any obligations. All expenses incurred in carrying out the provisions of such trust agreement or resolution may be paid from the revenues or assets pledged or assigned to the payment of the principal of and the interest on obligations or from any other funds available to the corporation.

History. Enact. Acts 1972, ch. 70, § 11.

198A.110. Pledge of corporate assets on obligations of the corporation.

The pledge of any assets or revenues of the corporation to the payment of the principal of or the interest on any obligations of the corporation shall be valid and binding from the time when the pledge is made and any such assets or revenues shall immediately be subject to the lien of such pledge without any physical delivery thereof or further act, and the lien of any such pledge shall be valid and binding as against all parties having claims of any kind in tort, contract or otherwise against the corporation, irrespective of whether such parties have notice thereof. Nothing herein shall be construed to prohibit the corporation from selling any assets subject to any such pledge except to the extent that any such sale may be restricted by the trust agreement or resolution providing for the issuance of such obligations.

History. Enact. Acts 1972, ch. 70, § 12.

198A.120. All moneys received are trust funds and may be temporarily invested.

Notwithstanding any other provisions of law to the contrary, all moneys received pursuant to the authority of this chapter shall be deemed to be trust funds to be held and applied solely as provided in this chapter. The resolution authorizing any obligations or the trust agreement securing the same may provide that any of such moneys may be temporarily invested pending the disbursement thereof and shall provide that any officer with whom, or any bank or trust company with which, such moneys shall be deposited shall act as trustee of such moneys and shall hold and apply the same for the purposes hereof, subject to such regulations as this chapter and such resolution or trust agreement may provide. Any such moneys or any other moneys of the corporation may be invested as provided in KRS 386.020 .

History. Enact. Acts 1972, ch. 70, § 13.

198A.130. Holders of corporate obligations granted legal rights to enforce duties of the corporation.

Any holder of obligations issued under the provisions of this chapter or any coupons appertaining thereto, and the trustee under any trust agreement or resolution authorizing the issuance of such obligations, except the rights herein given may be restricted by such trust agreement or resolution, may, either at law or in equity, by suit, action, mandamus or other proceeding, protect and enforce any and all rights under the laws of the state or granted hereunder or under such trust agreement or resolution, or under any other contract executed by the corporation pursuant to this chapter, and may enforce and compel the performance of all duties required by this chapter or by such trust agreement or resolution to be performed by the corporation or by any officer thereof.

History. Enact. Acts 1972, ch. 70, § 14.

198A.140. Declaration of negotiability of obligations of the corporation.

Notwithstanding any of the foregoing provisions of this chapter or any recitals in any obligations issued under the provisions of this chapter, all such obligations and interest coupons appertaining thereto shall be and are hereby made negotiable instruments under the laws of this state, subject only to any applicable provisions for registration.

History. Enact. Acts 1972, ch. 70, § 15.

198A.150. Obligations of Kentucky Housing Corporation are authorized investments.

Obligations issued under the provisions of this chapter are hereby made securities in which all public officers and public bodies of the Commonwealth and its political subdivisions, all insurance companies, trust companies, banking associations, investment companies, executors, administrators, trustees and other fiduciaries may properly and legally invest funds, including capital in their control or belonging to them. Such obligations are hereby made securities which may properly and legally be deposited with and received by any state or municipal officer or any agency or political subdivision of the Commonwealth for any purpose for which the deposit of bonds, notes or obligations of the state is now or may hereafter be authorized by law.

History. Enact. Acts 1972, ch. 70, § 16.

198A.160. Authorization for issuance of refunding obligations.

  1. The corporation is hereby authorized to provide for the issuance of refunding obligations for the purpose of refunding any obligations then outstanding which shall have been issued under the provisions of this chapter, including the payment of any redemption premium thereon and any interest accrued or to accrue to the date of redemption of such obligations and, if deemed advisable by the corporation, for any corporate purpose of the corporation. The issuance of such obligations, the maturities and other details thereof, the rights of the holders thereof, and the rights, duties and obligations of the corporation in respect of the same shall be governed by the provisions of this chapter which relate to the issuance of obligations, insofar as such provisions may be appropriate therefor.
  2. Refunding obligations may be sold or exchanged for outstanding obligations issued under this chapter and, if sold, the proceeds thereof may be applied, in addition to any other authorized purposes, to the purchase, redemption or payment of such outstanding obligations. Pending the application of the proceeds of any such refunding obligations, with any other available funds, to the payment of the principal, accrued interest and any redemption premium on the obligations being refunded, and, if so provided or permitted in the resolution authorizing the issuance of such refunding obligations or in the trust agreement securing the same, to the payment of any interest on such refunding obligations and any expenses in connection with such refunding, such proceeds may be invested in direct obligations of, or obligations the principal of and the interest on which are unconditionally guaranteed by, the United States of America which shall mature or which shall be subject to redemption by the holders thereof, at the option of such holders, not later than the respective dates when the proceeds, together with the interest accruing thereon, will be required for the purposes intended.

History. Enact. Acts 1972, ch. 70, § 17.

198A.165. Authorization for establishing reserve and replacement funds.

The corporation shall be authorized and empowered in connection with the issuance of its bonds and notes for housing purposes pursuant to this chapter to establish in respect of such bonds and notes such reserve funds or replacement funds as may be required in the sound discretion of the board of directors of the corporation to enable the corporation to effectuate its proper public purposes. In the event any such reserve fund or replacement fund created by the corporation in connection with any such bond issue or note issue should, in violation of any contract made by the corporation with any bondholder or note holder be monetarily deficient in any respect as of any date of accounting so stipulated by the corporation, the corporation shall immediately make formal request in writing to the secretary of the Finance and Administration Cabinet, and to the Governor of Kentucky that sums adequate to restore such reserve fund or replacement fund to its contractually required level and to pay any overdue principal and interest on any outstanding bonds and notes of the corporation be included in the next succeeding executive budget, and that such budget request with recommendation for approval by the General Assembly to the corporation for the use and benefit of such reserve fund or replacement fund. In the event the next scheduled even-numbered-year regular session of the General Assembly of Kentucky shall occur more than six (6) months after any such request by the corporation, the corporation shall request that sums adequate to restore such reserve fund or replacement fund to such contractually required level and to pay any overdue principal and interest on any outstanding bonds and notes of the corporation be made available from the Governor’s contingency fund, and if such funds are so made available the budget request hereinabove described in this section shall be correspondingly reduced.

History. Enact. Acts 1974, ch. 383, § 8; 2001, ch. 58, § 27, effective June 21, 2001.

198A.170. Annual report and annual audit.

The corporation shall, promptly following the close of each fiscal year, submit an annual report of its activities for the preceding year to the Governor and the General Assembly. Each such report shall set forth a complete operating and financial statement of the corporation during the year. The housing fund shall also cause an annual audit to be made by a resident independent certified public accountant of its books, accounts, and records, with respect to its receipts, disbursements, contracts, mortgages, leases, assignments, loans and all other matters relating to its financial operations. The persons performing such audit shall furnish copies of the audit report to the secretary of the Finance and Administration Cabinet, where they shall be placed on file and made available for inspection by the general public.

History. Enact. Acts 1972, ch. 70, § 18; 1974, ch. 74, Art. II, § 9(2).

198A.180. Limitation of liability for corporate members or officers.

No member or other officer of the corporation shall be subject to any personal liability or accountability by reason of his execution of any obligations or the issuance thereof.

History. Enact. Acts 1972, ch. 70, § 19.

198A.190. Authority to accept and expend funds.

The corporation is authorized to accept and expend such moneys as may be appropriated from time to time by the General Assembly or such moneys as may be received from any source including income from the corporation’s operations, for effectuating its corporate purposes including, without limitation, the payment of the initial expenses of administration and operation and the establishment of a reserve or contingency fund to be available for the payment of the principal of and the interest on any bonds or notes of the corporation.

History. Enact. Acts 1972, ch. 70, § 20; 1974, ch. 383, § 7.

198A.200. Tax exempt status.

The Kentucky Housing Corporation has been duly created as a de jure municipal corporation and political subdivision of the Commonwealth of Kentucky. Accordingly, the Kentucky Housing Corporation shall not be required to pay any taxes and assessments to the Commonwealth of Kentucky, or any county, municipality or other governmental subdivision of the Commonwealth of Kentucky, upon any of its property or upon its obligations or other evidences of indebtedness pursuant to the provisions of this chapter, or upon any moneys, funds, revenues or other income held or received by the corporation and the notes and bonds of the corporation and the income therefrom shall at all times be exempt from taxation, except for death and gift taxes and taxes of transfers; provided, however, that real property owned by the Kentucky Housing Corporation shall be exempt from all property taxation and special assessments of the state or political subdivisions thereof, but the corporation may agree to pay, in lieu of such taxes, such amounts as the corporation finds consistent with the cost to the state or political subdivision of supplying municipal services to the housing development and maintaining the economic feasibility of the housing development, which payments such bodies are hereby authorized to accept.

History. Enact. Acts 1972, ch. 70, § 21; 1974, ch. 383, § 9; 1976, ch. 200, § 4.

198A.210. Disclosure of conflict of interest of member, officer, or employee of the corporation.

If any member, officer, or employee of the corporation shall be interested either directly or indirectly, or shall be an officer or employee of or have an ownership interest in any firm or corporation interested directly or indirectly in any contract with the corporation, including any loan to any sponsor, builder, or developer, such interest shall be disclosed to the corporation and shall be set forth in the minutes of the corporation, and the member, officer, or employee having such interest therein shall not participate on behalf of the corporation in the authorization of any such contract.

History. Enact. Acts 1972, ch. 70, § 22.

198A.220. Provisions of this chapter deemed to be supplemental powers to other laws.

The foregoing sections of this chapter shall be deemed to provide an additional and alternative method for the doing of the things authorized thereby and shall be regarded as supplemental and additional to powers conferred by other laws, and shall not be regarded as in derogation of any powers now existing; provided, however, that the issuance of bonds or notes under the provisions of this chapter need not comply with the requirements of any other law applicable to the issuance of bonds or notes.

History. Enact. Acts 1972, ch. 70, § 23.

198A.230. Disposition of corporation assets upon termination or dissolution.

Upon termination or dissolution, all rights and properties of the corporation shall pass to and be vested in the Commonwealth of Kentucky, subject to the rights of lienholders and other creditors, unless the board of directors directs at such times that they be distributed among one or more corporations, trusts, community chests, funds or foundations organized and operated exclusively for religious, charitable, scientific, literary, or educational purposes, no part of the net earnings of which inures to the benefit of any private shareholder, member or individual and no substantial part of whose activities consists of carrying on propaganda, or otherwise attempting to influence legislation.

History. Enact. Acts 1972, ch. 70, § 24.

Opinions of Attorney General.

Under this section, upon dissolution of the Kentucky Housing Corporation, the corporation is not mandated to transfer any remaining assets to the Commonwealth. OAG 79-452 .

198A.240. Title of chapter.

This chapter shall be known and may be cited as the “Mae Street Kidd Kentucky Housing Corporation Act.”

History. Enact. Acts 1972, ch. 70, § 1; 1974, ch. 50, § 1.

198A.250. Loans to mortgage lenders for residential mortgage loans — Rules and regulations.

  1. The corporation may make loans to mortgage lenders for the purpose of furnishing funds to such mortgage lenders to be used for making residential mortgage loans.
  2. The corporation shall from time to time adopt, modify, amend or repeal rules and regulations governing the making of loans to mortgage lenders and the use of the proceeds thereof, including rules and regulations as to any or all of the following:
    1. Procedures for the application or submission of requests for loans to mortgage lenders;
    2. Standards and requirements as to allocations of loans among all or certain of the mortgage lenders or awards of loans and determining the amounts and interest rates thereof;
    3. Limitations or restrictions as to the number of family units, locations or other qualifications or characteristics of residential housing to be financed by residential mortgage loans;
    4. Restrictions as to the interest rates on residential mortgage loans or the return realized therefrom by mortgage lenders;
    5. Requirements with respect to the application of the proceeds of loans to mortgage lenders, including the time within which the proceeds of any such loan must be committed and disbursed for residential mortgage loans;
    6. Schedules of any fees and charges necessary to provide for expenses and reserves of the corporations; and
    7. Any other matters related to the duties and the exercise of the powers of the corporation under this section.

      Such rules and regulations shall in each case be designed to effectuate the general purposes of this chapter and the following specific objectives: (i) the expansion of the supply of funds in the state available for residential mortgage loans; (ii) the provision of the additional residential housing needed to remedy the shortage of adequate housing in the state and to eliminate the existence of a large number of substandard dwellings; and (iii) the effective participation by mortgage lenders in the program authorized by this chapter and the restriction of the financial return and benefit thereto from such program to that necessary and reasonable to induce such participation.

  3. The obligation to repay loans to mortgage lenders shall be general obligations of the respective mortgage lenders and shall bear such date or dates, shall mature at such time or times, shall be evidenced by such note, bond or other certificate of indebtedness, shall be subject to prepayment and shall contain such other provisions consistent with this section, all as the corporation shall by resolution determine.
  4. Any other provision of this section to the contrary notwithstanding, the interest rate or rates and other terms of the loans to mortgage lenders made from the proceeds of any issue of bonds of the corporation shall be at least sufficient to assure the payment of said bonds and the interest thereon as the same become due from the amounts received by the corporation in repayment of such loans and interest thereon.
  5. The corporation may require that such loans to mortgage lenders be additionally secured as to payment of both principal and interest by a pledge of and lien upon collateral security in such amounts as the corporation by resolution shall determine to be necessary to assure the payment of such loans and the interest thereon as the same become due. Such collateral security shall consist of (i) direct obligations of, or obligations guaranteed by, the United States of America; (ii) bonds, debentures, notes or other evidences of indebtedness, satisfactory to the corporation, issued by any of the following federal agencies: banks for cooperatives, federal intermediate credit banks, federal home loan banks, export-import bank of the United States, federal land banks, the federal national mortgage association or the government national mortgage association; (iii) direct obligations of or obligations guaranteed by the state; or (iv) mortgages insured or guaranteed by the United States of America or an instrumentality thereof as to payments of principal and interest. The corporation may require in the case of any or all mortgage lenders that such collateral be lodged with a bank or trust company located in the state designated by the corporation as custodian therefor. In the absence of such requirement a mortgage lender shall upon receipt of the loan proceeds from the corporation enter into an agreement with the corporation containing such provisions as the corporation shall deem necessary to adequately identify and separately maintain such collateral and service the same and providing that such mortgage lender shall hold such collateral as an agent for the corporation and shall be held accountable as the trustee of an express trust for the application and disposition thereof and the income therefrom solely to the uses and purposes in accordance with the provisions of such agreement. A copy of each such agreement and any revisions or supplements thereto shall be filed with the secretary of state, and no further filing or other action under Article 9 of KRS Chapter 355 or any other law of the state shall be required to perfect the security interest of the corporation in such collateral or any additions thereto or substitutions therefor, and the lien and trust for the benefit of the corporation so created shall be binding from and after the time made against all parties having claims of any kind in tort, contract or otherwise against such mortgage lender. The corporation may also establish such additional requirements as it shall deem necessary with respect to the pledging, assigning, setting aside, or holding of such collateral and the making of substitutions therefor or additions thereto and the disposition of income and receipts therefrom.
  6. The corporation shall require the submission to it by each mortgage lender to which the corporation has made a loan of evidence satisfactory to the corporation of the making of residential mortgage loans as required by this section and prescribed by rules and regulations of the corporation and in connection therewith may inspect the books and records of such mortgage lender.
  7. All residential mortgage loans made as required by this section shall comply with the applicable provisions of the laws of the state, and, where federal law or the law of another jurisdiction governs the affairs of the mortgage lender with the applicable provisions of such law.
  8. The corporation may require agreement by any mortgage lender as a condition of the loan to such mortgage lender, to the payment of penalties to the corporation for violation by the mortgage lender of any provision of this section or its undertaking to the corporation with respect to the making of residential mortgage loans, and such penalties shall be recoverable at the demand of the corporation.
  9. If at any time the corporation shall determine that an adequate supply of funds exists in regular banking channels for residential mortgage loans, the corporation shall discontinue the making of loans to mortgage lenders until such time as the corporation may subsequently determine that the supply of funds available for new residential mortgage loans is again inadequate.
  10. For purposes of this section, the term “residential mortgage loan” means a loan made by a mortgage lender and secured by a mortgage constituting a first lien upon residential housing.

History. Enact. Acts 1976, ch. 364, § 5.

Opinions of Attorney General.

The Legislature intended to give the corporation the power to effectuate a “Loans to Mortgage Lenders” program by enacting this section. OAG 78-821 .

198A.300. Financial assistance program for replacement or rehabilitation of unsafe wells and private water supplies.

The Kentucky Housing Corporation may develop a financial assistance program for replacement or rehabilitation of unsafe wells and other private water supplies serving low and moderate-income families and individuals.

History. Enact. Acts 1986, ch. 108, § 3, effective July 15, 1986.

Kentucky Homeownership Protection Center

198A.400. Kentucky Homeownership Protection Center — Purposes — Cooperative agreements — Funding — Referrals to specific lenders and brokers prohibited.

  1. There may be established, as part of the borrower education initiatives established by or through the Kentucky Housing Corporation, a Kentucky Homeownership Protection Center.
  2. The purpose of the Kentucky Homeownership Protection Center shall be to:
    1. Provide a centralized location for information on public services made available by federal, state, or local government or community entities, to assist a homeowner who is in default, or in danger of default, on his or her home loan; and
    2. Attempt to assist, any homeowner who contacts the center without cost to the homeowner, with the goal of:
      1. Providing a homeowner with information, including toll-free telephone numbers for public services, made available by federal, state, or local government or community entities, including programs such as NeighborWorks and Don’t Borrow Trouble, mortgage assistance programs, home repair assistance programs, and utility assistance programs;
      2. Determining if the homeowner has contacted his or her lender regarding any default or danger of default; and
      3. Providing a homeowner with counseling agencies approved by the United States Department of Housing and Urban Development that may be able to assist the homeowner.
  3. The Kentucky Homeownership Protection Center may enter into an agreement with any public or nonprofit entity to carry out any part of the mortgage foreclosure counseling and education program.
  4. The Kentucky Homeownership Protection Center may solicit contributions and grants from the private sector, nonprofit entities, and the federal government to assist in carrying out the purposes of this chapter.
  5. The Kentucky Homeownership Protection Center shall not, directly or through an entity contracted with in accordance with subsection (3) of this section, make referrals or recommendations to or regarding specific for-profit lenders or mortgage brokers.

History. Enact. Acts 2008, ch. 175, § 1, effective April 24, 2008.

Research References and Practice Aids

Northern Kentucky Law Review.

2012 Kentucky Survey Issue: Article: Abusive Lending Practices: A Survey of Kentucky’s Legislative Response, 39 N. Ky. L. Rev. 1 (2012).

Affordable Housing Trust

198A.700. Definitions for KRS 198A.700 to 198A.730.

As used in KRS 198A.700 to 198A.730 , unless the context otherwise requires:

  1. “Homeless individual” means a person who:
    1. Lacks a fixed, regular, or adequate nighttime residence;
    2. Is at risk of becoming homeless in a rural or urban area because the residence is not safe, decent, sanitary, or secure;
    3. Has as a primary nighttime residence a publicly- or privately-operated shelter designed to provide temporary living accommodations;
    4. Has as a primary nighttime residence a public or private place not designed for, or ordinarily used as, a regular sleeping accommodation for human beings; or
    5. Is a family or a person who does not have access to normal accommodations due to violence or the threat of violence from a cohabitant.
  2. “Nonprofit organization” means an organization duly organized and validly existing as a not-for-profit organization under the laws of the Commonwealth, any other state, or the United States and whose purpose includes the development, construction, rehabilitation, or acquisition of housing.
  3. “Technical assistance” means activities that are directly related to a nonprofit organization’s ability to provide housing for very low-income persons in assisted projects under KRS 198A.700 to 198A.730 , and includes land use and planning costs, design and engineering services, finance services, loan packaging assistance, program development assistance, construction consultation, and marketing assistance for developers, and budgeting assistance, independent living skill development, homeownership, tenant education, and self-sufficiency development for renters and homeowners.
  4. “Trust fund” means the affordable housing trust fund.
  5. “Very low-income” means the income of individuals or families that is below sixty percent (60%) of the area median income for the Commonwealth as determined by the United States Department of Housing and Urban Development.

History. Enact. Acts 1992, ch. 458, § 1, effective July 14, 1992; 1994, ch. 206, § 1, effective July 15, 1994.

198A.705. Legislative findings.

The General Assembly hereby finds and declares that current economic conditions, federal housing policies, and declining resources at the federal, state, and local levels adversely affect the ability of very low-income persons to obtain safe, decent, and affordable housing; that an increasing number of individuals are homeless, are at risk of becoming homeless, or live in overcrowded, inadequate, and unsafe housing units; and it is in the public interest to establish a continuously renewable resource known as an affordable housing trust fund to assist very low-income persons in meeting their basic housing needs.

History. Enact. Acts 1992, ch. 458, § 2, effective July 14, 1992.

198A.710. Affordable housing trust fund.

There is hereby established in the State Treasury a separate, revolving, nonlapsing fund known as the affordable housing trust fund.

History. Enact. Acts 1992, ch. 458, § 3, effective July 14, 1992.

198A.715. Kentucky Housing Corporation to administer trust fund — Uses of fund — Organizations eligible for funding — Annual report.

  1. The administering agency for the trust fund shall be the Kentucky Housing Corporation, which shall use moneys from the trust fund to make, or participate in the making, of loans or grants for the eligible activities described in this section. Loans or grants shall be made upon the determination by the corporation that the loan or grant shall be used to create new sources of funding, or to supplement existing sources of funding for eligible activities, and shall not be used to replace existing or available funds.
  2. Activities eligible for funding shall include:
    1. Provision of matching funds for federal housing dollars requiring a local or state match including, but not limited to, the National Affordable Housing Act of 1990;
    2. Acquisition of housing units for the purpose of preservation or conversion as very low-income housing;
    3. New construction or rehabilitation of very low income housing units;
    4. Matching funds for technical assistance directly related to providing housing for persons pursuant to KRS 198A.700 to 198A.730 ; and
    5. Administrative costs for housing assistance programs or organizations eligible for funding pursuant to subsection (3) of this section, if the grants or loans will substantially increase the recipient’s access to housing funds other than those available under KRS 198A.700 to 198A.730 .
  3. Organizations eligible for funding from the trust fund include:
    1. Local governments;
    2. Local government housing authorities;
    3. Nonprofit organizations;
    4. Regional or statewide housing assistance organizations; and
    5. Sponsors who work in connection with rental housing developments that receive low-income tax credits under Section 42 of the Internal Revenue Code of 1986, as amended. Sponsors, as set out in this paragraph, shall only be eligible if the corporation determines a nonprofit organization owns at least a fifty-one percent (51%) interest in the sponsor and materially participates in the development and operation of the rental housing.
  4. Housing units provided to very low-income persons or families pursuant to KRS 198A.700 to 198A.730 , shall be deed-restricted under the following conditions:
    1. Rental housing shall be deed-restricted for a minimum of thirty (30) years. Amendments may be granted by the corporation on a case-by-case basis. Investment from the trust fund into a specific housing type shall revert to like housing for very low-income persons.
    2. Single-family units or units for sale shall be deed restricted for a minimum of five (5) years. Amendments may be granted by the corporation on a case-by-case basis.
  5. In the development of housing pursuant to KRS 198A.700 to 198A.730 , displacement of very low-income persons shall not be permitted unless the project shall pay all reasonable relocation costs as defined by the corporation.
  6. There shall not be discrimination in the sale or rental, or otherwise making available or denying, a dwelling funded under KRS 198A.700 to 198A.730 to any buyer or renter because of race, religion, sex, familial status, disability, or national origin.
  7. In the event that the corporation chooses to use trust fund dollars with or as a match to the Federal Home Investment Partnership Program or other federal programs, the strictest affordability requirements shall apply.
  8. Trust fund dollars shall be contributed permanently to a project, except when serving as a match for federal housing programs that require all funds to be contributed permanently to the federal program. All repayment, interest, or other return on the investment of trust fund dollars are required to be returned to the trust fund and used for eligible trust fund activities in accordance with the requirements of KRS 198A.700 to 198A.730 . Trust fund dollars invested in a project with federal dollars requiring a permanent contribution shall be recaptured to the federal program account.
  9. On or before October 1 of each fiscal year, the Kentucky Housing Corporation shall submit a report to the Legislative Research Commission on the disposition of the affordable housing trust fund moneys for the previous fiscal year.

History. Enact. Acts 1992, ch. 458, § 4, effective July 14, 1992; 1994, ch. 206, § 2, effective July 15, 1994; 1994, ch. 405, § 48, effective July 15, 1994; 2000, ch. 469, § 2, effective July 14, 2000; 2013, ch. 12, § 1, effective June 25, 2013.

Compiler’s Notes.

The National Affordable Housing Act of 1990, referred to in subsection (2), is compiled at 42 USCS §§ 12741 et seq.

198A.720. Application procedures — Granting of funds — Priorities in funding — Targeting of funds — Services to be provided.

  1. The corporation shall issue a public notice to eligible recipients of the availability of trust funds at least twice each calendar year and provide for reasonable opportunity for the filing of applications.
  2. The corporation shall approve or deny properly submitted and completed applications within ninety (90) days of their receipt.
  3. The corporation shall grant as many applications as will effectively use available funds.
  4. The corporation shall grant or deny applications by ranking the applications competitively using criteria established by the corporation in consultation with the advisory committee for the trust fund created under KRS 198A.725 . The corporation shall give priority to:
    1. Applications for projects submitted by nonprofit organizations or local governments for new construction for families;
    2. Applications for projects using existing privately owned housing stock, including stock purchased by nonprofit public development authorities;
    3. Applications for projects using existing publicly owned housing stock; and
    4. Applications from local governments for projects that demonstrate effective zoning, conversion, or demolition controls for single room occupancy units.
  5. The corporation shall limit funds to be used for administrative costs to no more than seven and one-half percent (7.5%) of available funds, and shall disapprove any project in which more than seven and one-half percent (7.5%) of available funds shall be used for administrative costs.
  6. The corporation shall require at least forty percent (40%) of all funds received to be used for rural areas of the Commonwealth, which shall periodically be defined by the board of directors of the corporation.
  7. Funds targeted under this section that are not expended or set-aside within twenty-four (24) months from allocation may be reallocated in nontargeted communities for very low-income persons. The corporation may extend the twenty-four (24) month period for good cause; however, an extension shall not exceed an additional twelve (12) month period.
  8. The corporation shall provide technical assistance to eligible recipients seeking to construct, rehabilitate, or finance housing-related services for very low-income persons. The corporation may contract with nonprofit organizations to provide the technical assistance required by this subsection.
  9. The corporation shall provide or contract for the following services:
    1. Financial planning and packaging for housing projects including alternative ownership programs and bridge financing;
    2. Project design, architectural planning, siting, and compliance with planning requirements;
    3. Securing matching resources for project development;
    4. Maximizing local government contributions to project development in the form of land donations, infrastructure improvements, waivers of development fees, local and state managed funds, zoning variances, density bonuses for low rise-multifamily projects, or creative local planning;
    5. Coordination with local planning, economic development, environmental, technical assistance, and recreational activities;
    6. Construction and material management; and
    7. Project maintenance and management.

History. Enact. Acts 1992, ch. 458, § 5, effective July 14, 1992; 1994, ch. 206, § 3, effective July 15, 1994; 2013, ch. 12, § 2, effective June 25, 2013.

198A.725. Advisory committee for trust fund.

  1. The corporation shall create an advisory committee for the trust fund consisting of eleven (11) members appointed by the chairman of the board of directors of the corporation.
    1. Three (3) members shall be appointed from representatives of each of the following categories of organizations:
      1. The Home Builders Association of Kentucky, the Kentucky Manufactured Housing Institute, the Apartment Association, the Kentucky Association of Realtors, the Kentucky State Building Trades Council, the Mortgage Bankers Association of Kentucky, and the Kentucky Bankers Association;
      2. The Homeless and Housing Coalition of Kentucky, builders or nonprofit housing organizations, support service providers, homeless persons, and very low-income tenants; and
      3. The Kentucky Association of Counties, the Kentucky League of Cities, and agencies of state government.
    2. The remaining two (2) members appointed shall include one (1) member of the Kentucky Senate and one (1) member of the Kentucky House of Representatives.
  2. Upon organization of the advisory committee three (3) members shall continue in office for three (3) years, three (3) members shall have two (2) year terms, and three (3) members shall have a one (1) year term, as designated by the chairman of the board of directors. Thereafter, all members appointed shall serve a three (3) year term or until their successors are appointed and duly qualified. A vacancy on the advisory committee shall be filled pursuant to the requirements and procedures for original appointments. Members of the advisory committee may be reappointed one (1) time.
  3. The advisory committee shall consult with and advise the officers and directors of the corporation concerning matters relating to the trust fund.
  4. The advisory committee shall elect a presiding officer from its members and may establish its own rules of procedure which shall not be inconsistent with the provisions of this chapter.
  5. Members of the advisory committee shall serve without compensation. Members who are not employees of the Commonwealth shall be entitled to reimbursement for actual expenses incurred in carrying out their duties on the committee.

History. Enact. Acts 1992, ch. 458, § 6, effective July 14, 1992.

Legislative Research Commission Notes.

(7/14/92). In codifying the text of this section, the words “and three (3) members shall have two (2) year terms,” have been omitted from subsection (2) because this text is repetitive and appears to be a manifest clerical or typographical error under KRS 7.136(1).

198A.730. Short title for KRS 198A.700 to 198A.730.

KRS 198A.700 to 198A.730 may be cited as the “Kentucky Affordable Housing Act.”

History. Enact. Acts 1992, ch. 458, § 7, effective July 14, 1992.

CHAPTER 198B Housing, Buildings, and Construction — Building Code

198B.010. Definitions for chapter.

As used in this chapter, unless otherwise provided:

  1. “Assembly occupancy” means the occupancy or use of a building or structure or any portion thereof by a gathering of persons for civic, political, travel, religious, social, or recreational purposes, including among others:
    1. Armories;
    2. Assembly halls;
    3. Auditoriums;
    4. Bowling alleys;
    5. Broadcasting studios;
    6. Chapels;
    7. Churches;
    8. Clubrooms;
    9. Community buildings;
    10. Courthouses;
    11. Dance halls;
    12. Exhibition rooms;
    13. Gymnasiums;
    14. Hotels;
    15. Lecture rooms;
    16. Lodge rooms;
    17. Motels;
    18. Motion picture theaters;
    19. Museums;
    20. Night clubs;
    21. Opera houses;
    22. Passenger stations;
    23. Pool rooms;
    24. Recreation areas;
    25. Restaurants;
    26. Skating rinks;
    27. Television studios;
    28. Theaters.
  2. “Attic” means the space between the ceiling beams of the top habitable story and the roof rafters.
  3. “Basement” means that portion of a building the average height of which is at least half below grade, which is ordinarily used for purposes such as storage, laundry facilities, household tool shops, and installation and operation of heating, cooling, and ventilating facilities, but which is not ordinarily used for purposes of general household habitation.
  4. “Building” means any combination of materials, whether portable or fixed, which comprises a structure or nonmine underground area affording facilities or shelter for any human occupancy, whether infrequent or regular, and also means single-family dwellings, including those sold or constructed under a trade or brand name. The word “building” shall be construed wherever used herein as if followed by the words “or part or parts thereof and all equipment therein” unless the context clearly requires a different meaning. “Building” shall also mean swimming pools constructed below grade on site, but not swimming pools assembled above grade on site. “Building” shall not mean a manufactured home governed by the National Manufactured Housing Construction and Safety Standards Act of 1974, 42 U.S.C. secs. 5401 et seq., or a farm dwelling or other farm buildings and structures incident to the operation and maintenance of the farm if the farm structures are located outside the boundary of a municipality and are not used in the business of retail trade or used as a place of regular employment for ten (10) or more people or structures used in the storage or processing of timber products.
  5. “Business occupancy” means the occupancy or use of a building or structure or any portion thereof for the transaction of business, the rendering or receiving of professional services, or the displaying, selling, or buying of goods, wares, or merchandise, or the housing of vehicles of transportation, except where occupancy is of high hazard, including among others:
    1. Banks;
    2. Barber shops;
    3. Beauty parlors;
    4. Department stores;
    5. Garages;
    6. Markets;
    7. Service stations;
    8. Offices;
    9. Stores;
    10. Radio stations;
    11. Telephone exchanges; and
    12. Television stations.
  6. “Certified building inspector” means a person who has been certified by the department as having successfully completed the test requirements provided by KRS 198B.090 to practice as a city, county, or state building inspector within the Commonwealth.
  7. “Certified plans and specifications inspector” means a person who has been certified by the department as having successfully completed the test requirements provided by KRS 198B.090 to practice as a city, county, or state plans and specifications inspector within the Commonwealth.
  8. “Certified plumbing inspector” means a person who has been certified by the department as having successfully completed the test requirements provided by KRS 198B.090 and 318.140 , or 318.090 to practice as a city, county, or state plumbing inspector within the Commonwealth.
  9. “Commissioner” means the commissioner of the department.
  10. “Committee” means the Housing, Buildings and Construction Advisory Committee established by KRS 198B.032 .
  11. “Construction” means the erection, fabrication, reconstruction, substantial alteration or conversion of a building, or the installation of equipment therein, but shall not include the ordinary repair of a building or structure.
  12. “Department” means the Department of Housing, Buildings and Construction.
  13. “Educational occupancy” means the occupancy or use of a building or structure or any portion thereof by persons assembled for the purpose of learning or of receiving educational instruction. “Educational occupancy” shall not include a building for occupancy or use by thirty-five (35) persons or less assembled to receive religious and educational instruction. “Educational occupancy” includes but is not limited to:
    1. Academies;
    2. Care centers;
    3. Colleges;
    4. Kindergartens;
    5. Libraries;
    6. Preschools;
    7. Relocatable classroom units;
    8. Schools;
    9. Seminaries; and
    10. Universities.
  14. “Equipment” means facilities or installations, including but not limited to heating, electrical, ventilating, air conditioning, and refrigerating facilities or installations.
  15. “High hazard occupancy” means the occupancy or use of a building or structure or any portion thereof that involves highly combustible, highly flammable, or explosive materials or which has inherent characteristics that constitute a special fire hazard, including among others:
    1. Aluminum powder factories;
    2. Charging or filling stations;
    3. Distilleries;
    4. Dry cleaning plants;
    5. Dry dyeing plants;
    6. Explosive-manufacture, sale or storage;
    7. Flour and feed mills;
    8. Gasoline bulk plants;
    9. Grain elevators;
    10. Lacquer factories;
    11. Liquefied petroleum gas;
    12. Mattress factories;
    13. Paint factories;
    14. Pyroxylin-factories, or warehouses; and
    15. Rubber factories.
  16. “Industrial occupancy” means the occupancy or use of a building structure or any portion thereof for assembling, fabricating, finishing, manufacturing, packaging, or processing operations, except for occupancies of high hazard, including among others:
    1. Assembly plants;
    2. Creameries;
    3. Electrical substations;
    4. Factories;
    5. Ice plants;
    6. Laboratories;
    7. Laundries;
    8. Manufacturing plants;
    9. Mills;
    10. Power plants;
    11. Processing plants;
    12. Pumping stations;
    13. Repair garages;
    14. Smokehouses; and
    15. Workshops.
  17. “Industrialized building system” means any structure or component thereof which is wholly or in substantial part fabricated in an off-site manufacturing facility for installation or assembly on a permanent foundation at the building site.
  18. “Institutional occupancy” means the occupancy or use of a building or structure or any portion thereof by persons harbored or detained to receive medical, charitable, or other care or treatment, or by persons involuntarily detained, including among others:
    1. Asylums;
    2. Homes for the aged;
    3. Hospitals;
    4. Houses of correction;
    5. Infirmaries;
    6. Jails;
    7. Nursing homes;
    8. Orphanages;
    9. Penal institutions;
    10. Reformatories;
    11. Sanitariums; and
    12. Nurseries.
  19. “Mobile home” means mobile home as defined in KRS 227.550.
  20. “Ordinary repair” means any nonstructural reconstruction or renewal of any part of an existing building for the purpose of its maintenance, or decoration, and shall include but not be limited to the replacement or installation of nonstructural components of the building such as roofing, siding, windows, storm windows, insulation, drywall or lath and plaster, or any other replacement, in kind, that does not alter the structural integrity, alter the occupancy or use of the building, or affect, by rearrangement, exitways and means of egress; but shall not include additions to, or alteration of, or relocation of any standpipe, water supply, sewer, drainage, gas, soil, waste, vent or similar piping, electric wiring, or mechanical equipment including furnaces and hot water heaters or other work affecting public health or safety.
  21. “Story” means that part of a building comprised between a floor and the floor or roof next above which is not a basement or an attic.
  22. “Person with a physical disability” means a person confined to a wheelchair; a person who uses braces or crutches; a person who because of the loss of a foot or leg or because of an arthritic, spastic, pulmonary, or cardiac condition, walks with difficulty or insecurity; a person who suffers from a faulty coordination or palsy; a person who is blind or whose sight is so impaired that, functioning in a public area, he or she is insecure or exposed to danger; a person whose hearing is so impaired that he or she is unable to hear warning signals; and a person whose mobility, flexibility, coordination, and perceptiveness are significantly reduced by aging.
  23. “Facility for persons with physical disabilities” means any convenience or device which facilitates the health, safety, or comfort of a person with a disability, including, but not limited to, ramps, handrails, elevators, and doors.
  24. “Manufactured home” is defined as in KRS 227.550.

HISTORY: Enact. Acts 1978, ch. 117, § 1, effective June 17, 1978; 1980, ch. 361, § 1, effective July 15, 1980; 1982, ch. 189, § 1, effective July 15, 1982; 1982, ch. 308, § 1, effective July 15, 1982; 1994, ch. 405, § 49, effective July 15, 1994; 1996, ch. 340, § 15, effective July 15, 1996; 1998, ch. 9, § 1, effective July 15, 1998; 2006, ch. 223, § 2, effective April 22, 2006; 2010, ch. 24, § 245, effective July 15, 2010; 2017 ch. 169, § 2, effective June 29, 2017.

Opinions of Attorney General.

The Uniform State Building Code, as it relates to the National Electric Code and the state plumbing code, applies to single-family dwellings; however, farm dwellings are not “buildings” for purposes of the Uniform State Building Code and are not subject to the National Electric Code and the State Plumbing Code for purposes of this chapter. OAG 82-172 .

This chapter does not intend to treat farm dwellings the same as single-family dwellings because it refers to both types separately and those terms are not synonymous for purposes of the application of sections of the Uniform State Building Code. OAG 82-172 .

Research References and Practice Aids

Kentucky Bench & Bar.

Groves and Hill, The New Statewide Uniform Building Code, Vol. 42, No. 4, October, 1978, Ky. Bench & Bar 18.

198B.020. Board of Housing, Buildings and Construction. [Repealed]

History. Enact. Acts 1978, ch. 117, § 2, effective June 17, 1978; 1980, ch. 82, § 1, effective July 15, 1980; 1982, ch. 270, § 1, effective July 15, 1982; 1986, ch. 331, § 32, effective July 15, 1986; 1998, ch. 426, § 133, effective July 15, 1998; 2005, ch. 99, § 172, effective June 20, 2005; 2006, ch. 256, § 1, effective July 12, 2006; 2008, ch. 82, § 1, effective July 15, 2008; 2010, ch. 24, § 246, effective July 15, 2010; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 117, § 2, effective June 17, 1978), was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

198B.030. Department of Housing, Buildings and Construction — Comments from advisory committee to be received before promulgating administrative regulations.

  1. There is hereby created the Kentucky Department of Housing, Buildings and Construction within the Public Protection Cabinet. The Governor shall appoint a commissioner to head the department. The commissioner shall receive for his or her services such compensation as the Governor shall determine.
  2. The commissioner may employ sufficient staff to carry out the functions of the commissioner’s office. Neither the commissioner nor any member of his or her staff shall be employed, either directly or indirectly, in any aspect of the building industry as regulated by this chapter while employed by the Department of Housing, Buildings and Construction.
  3. The department shall perform all budgeting, procurement, and other administrative activities necessary for the statewide regulation and enforcement of building, construction, and inspection standards and codes. The department or commissioner shall submit any proposed administrative regulation to the committee and shall not promulgate the administrative regulation without giving the committee the opportunity to produce written comments, as required by subsection (8) of this section. If the committee chooses to produce written comments, the comments shall be attached to any public submission of the administrative regulation, including any filing under KRS Chapter 13A.
  4. The department may enter into contracts or agreements with the federal government, its subdivisions and instrumentalities, other agencies of state government or with its subdivisions and instrumentalities, or with private profit or nonprofit organizations in order to effect the purposes of this chapter.
  5. The commissioner shall cooperate with the agencies of the United States and with the governing bodies and housing authorities of counties, cities, and with not for profit organizations and area development districts in relation to matters set forth in this chapter, and in any reasonable manner that may be necessary for the state to qualify for, and to receive grants or aid from these agencies. The commissioner shall have the power to comply with each condition and execute any agreement that may be necessary, convenient, or desirable.
  6. Nothing in this chapter shall preclude any other agency, board, or officer of the state from being designated as the directing or allocating agency, board, or officer for the distribution of federal grants and aid, or the performance of other duties to the extent necessary to qualify for and to receive grants and aid for programs under the administration of the department.
  7. The commissioner is authorized to receive, for and on behalf of the state and the department from the United States and agencies thereof, and from any and all other sources, grants and aid and gifts made for the purpose of providing, or to assist in providing, any of the programs authorized by this chapter, including expenses of administration. All funds received under this subsection shall be paid into the state treasury and credited to a trust and agency fund to be used by the department in carrying out the provisions of this chapter. No part of this fund shall revert to the general fund of the Commonwealth.
    1. If the department has proposed a new or amended administrative regulation that directly and clearly relates to the work of a profession, class of workers, or industry that is under the authority of the committee, the department shall not promulgate the proposed administrative regulation without first receiving comments from the committee, subject to the restrictions of paragraph (b) of this subsection. (8) (a) If the department has proposed a new or amended administrative regulation that directly and clearly relates to the work of a profession, class of workers, or industry that is under the authority of the committee, the department shall not promulgate the proposed administrative regulation without first receiving comments from the committee, subject to the restrictions of paragraph (b) of this subsection.
      1. The committee shall be granted a maximum of thirty (30) days to submit its comments on the proposed regulatory change. This subparagraph does not apply to an administrative regulation that is a new emergency administrative regulation. (b) 1. The committee shall be granted a maximum of thirty (30) days to submit its comments on the proposed regulatory change. This subparagraph does not apply to an administrative regulation that is a new emergency administrative regulation.
      2. The time limits in this paragraph shall begin from the day the department submits the regulatory change and sets a date for a proposed hearing for the comments of the committee. If the committee is already scheduled to meet at a time that will give it an adequate opportunity to review the administrative regulation and respond, the hearing may be held at that meeting.
      3. If the committee is not scheduled to meet or meets only at the call of the department, the department shall arrange for the committee to meet at a time that will allow the committee an adequate opportunity to review and comment on the regulation within the time limit. If the committee fails to comment within the time limit, the department may proceed with the administrative changes at its discretion.
    2. To the extent that any other statute relating to the department’s authority to promulgate administrative regulations conflicts with this section, this section shall take precedence.
    3. The department may issue advisory opinions and declaratory rulings related to KRS Chapters 198B, 227, 227A, 236, and 318 and the administrative regulations promulgated under those chapters.

HISTORY: Enact. Acts 1978, ch. 117, § 3, effective June 17, 1978; 2004, ch. 109, § 28, effective July 13, 2004; 2006, ch. 167, § 1, effective July 12, 2006; 2006, ch. 256, § 2, effective July 12, 2006; 2010, ch. 24, § 247, effective July 15, 2010; 2011, ch. 100, § 1, effective June 8, 2011; 2017 ch. 169, § 3, effective June 29, 2017.

Legislative Research Commission Notes.

Acts 1978, ch. 155, § 126 (KRS 227.205) created the department of housing, buildings and construction, while Acts 1978, ch. 117, § 3 (KRS 198B.030 ) created the department of buildings, housing and construction. Since Acts 1978, ch. 155, § 126 was the later enactment, it prevails.

Opinions of Attorney General.

There would be no conflict of interest where the Secretary of the Cabinet for Public Protection and Regulation, created under KRS 12.265 , also owned interests in buildings covered by various state codes generally supervised by the Department of Housing, Buildings and Construction under this section or the Board of Housing, Buildings and Construction under former KRS 198B.020 . OAG 81-385 .

198B.032. Housing, Buildings and Construction Advisory Committee.

  1. The Housing, Buildings and Construction Advisory Committee is established within the department and shall be composed of the following seventeen (17) voting members:
    1. The commissioner of the department or the commissioner’s designee;
    2. The state fire marshal or a representative of the state fire marshal’s office;
    3. The director of the Building Code Enforcement Division within the department; and
    4. Fourteen (14) members appointed by the Governor:
      1. At least one (1) of whom shall be a licensed heating, ventilation, and air conditioning contractor;
      2. At least one (1) of whom shall be a licensed plumber;
      3. At least one (1) of whom shall be a licensed elevator mechanic or elevator contractor;
      4. At least one (1) of whom shall be a licensed electrician;
      5. At least one (1) of whom shall be a licensed engineer;
      6. At least one (1) of whom shall be a licensed architect;
      7. At least one (1) of whom shall be a manufactured or mobile home retailer or certified installer; and
      8. The remaining seven (7) of whom shall have experience in the housing, building, or construction industries.
  2. Each committee member appointed under subsection (1)(d) of this section shall serve a term of three (3) years, except that initial appointments shall be staggered by the Governor. A member appointed to fill a vacancy occurring other than by expiration of a term shall be appointed for the remainder of the unexpired term.
  3. The commissioner or the commissioner’s designee shall serve as chair of the committee. The committee shall annually elect a member to serve as vice chair.
  4. The committee shall meet at least quarterly, and a majority of the members of the committee shall constitute a quorum for the transaction of business. If a vote on a matter before the committee results in a tie, the commissioner or the commissioner’s designee shall cast an additional deciding vote.
  5. Committee members who are not full-time state government employees shall be compensated for their time when attending committee meetings or performing official duties as directed by the committee at the rate of fifty dollars ($50) per day. Members of the committee shall be reimbursed for all expenses paid or incurred in the discharge of official business consistent with the reimbursement policy for state employees.
  6. The committee shall provide ongoing advice and input to the department, but shall not become directly involved in the licensing or regulation of housing, buildings, and construction matters by the department.
  7. The department shall give the committee thirty (30) days to review and comment on a proposed administrative regulation before the regulation is promulgated, amended, or repealed, except in the case of an emergency administrative regulation.

HISTORY: 2017 ch. 169, § 1, effective June 29, 2017.

198B.035. Transfer of other agency functions to department. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 304.2-015 (Enact. Acts 1974, ch. 74, Art. V, § 20; 1980, ch. 188, § 243, effective July 15, 1980) and was repealed by Acts 2000, ch. 270, § 10, effective July 14, 2000.

198B.040. General powers and duties of the department.

The department shall have the following general powers and duties:

  1. To conduct or cause to be conducted studies to determine the needs of the building industry of Kentucky;
  2. To conduct or cause to be conducted or participate in studies of the costs of the various factors of building construction and use of buildings and to recommend programs and procedures which will minimize the cost of buildings, including the use of energy, while maintaining safety, durability, and comfort;
  3. To administer regulatory legislation relating to buildings and construction;
  4. To assume administrative coordination of the various state construction review programs and to cooperate with various federal, state, and local agencies in the programs as they relate to buildings and construction;
  5. To assume administration and coordination of various state housing programs to include:
    1. Devising and implementing procedures, in conjunction with the Department for Local Government, for attaining and maintaining an accurate count of the housing inventory in Kentucky, including information on the age, physical condition, size, facilities, and amenities of this housing, and housing constructed and demolished each year;
    2. Designing programs coordinating the elements of housing finance, production, maintenance, and rehabilitation for the purpose of assuring the availability of safe, adequate housing in a healthful environment for all Kentucky citizens;
    3. Establishing or causing to be established public information and educational programs relating to housing, to include informing Kentucky citizens about housing and housing related programs that are available on all levels of government;
    4. Designing and administering, or participating in the design and administration of educational programs to prepare low income families for home ownership, and counseling them during their early years as homeowners;
    5. Promoting educational programs to assist sponsors in the development and management of low and moderate income housing for sale or rental;
    6. Cooperating with various federal, state, and local agencies in their programs as they relate to housing; and
    7. Conducting or causing to be conducted studies to determine the housing preferences of Kentucky citizens and the present and future housing requirements of the state;
  6. To recommend state building industry policies and goals to the Kentucky General Assembly;
  7. To adopt and promulgate a mandatory uniform state building code, and parts thereof, which shall establish standards for the construction of all buildings, as defined in KRS 198B.010 , in the state;
  8. To promulgate administrative regulations providing for the proper construction of public water purification plants, other than the water treatment equipment and systems in those plants. Any administrative regulation promulgated under this subsection shall require that applications for permits to build public water purification plants be submitted by the department to the Energy and Environment Cabinet for that cabinet’s comments. Any submitted administrative regulations shall require the Energy and Environment Cabinet’s comments to be completed and returned to the department within sixty (60) days;
  9. To promulgate administrative regulations providing for the proper construction of sewage treatment plants, other than the sewage treatment equipment and systems in such plants. Any administrative regulation promulgated under this subsection shall require that applications for permits to build public sewage treatment plants be submitted by the department to the Energy and Environment Cabinet for that cabinet’s comments. Any submitted administrative regulations shall require the Energy and Environment Cabinet’s comments to be completed and returned to the department within sixty (60) days; and
  10. To promulgate administrative regulations for the safe installation and operation of plumbing and plumbing fixtures.

HISTORY: Enact. Acts 1978, ch. 117, § 4, effective June 17, 1978; 1998, ch. 69, § 71, effective July 15, 1998; 2006, ch. 256, § 3, effective July 12, 2006; 2007, ch. 47, § 88, effective June 26, 2007; 2010, ch. 24, § 248, effective July 15, 2010; 2010, ch. 117, § 84, effective July 15, 2010; 2011, ch. 100, § 2, effective June 8, 2011; 2017 ch. 169, § 4, effective June 29, 2017.

NOTES TO DECISIONS

1.Decisions of Board

Decision of the Kentucky Board of Housing, Buildings and Construction not to approve a company’s plumbing device was supported by substantial evidence where there was testimony presented at the Board’s hearing relating to the plumbing device’s lack of product safety, lack of potential financial benefit to consumers, and the difficulties of integrating the plumbing device into Kentucky’s current open pipe venting system. Studor, Inc. v. Commonwealth, 390 S.W.3d 145, 2012 Ky. App. LEXIS 70 (Ky. Ct. App. 2012).

Trial court properly denied appellant company’s petition for a writ of mandamus and related motion for summary judgment because even if appellant’s plumbing device were evaluated under the “equal to or better than” standard under 815 Ky. Admin. Regs. 20:020, rather than the “best known method” standard under KRS 318.150 , the state agencies still properly exercised their discretion in declining to amend the plumbing code to allow for use of appellant’s plumbing device in Kentucky or to otherwise approve the product. Studor, Inc. v. Commonwealth, 390 S.W.3d 145, 2012 Ky. App. LEXIS 70 (Ky. Ct. App. 2012).

198B.050. Uniform State Building Code.

  1. The department shall adopt and promulgate a mandatory Uniform State Building Code that establishes standards for the construction of all buildings, as defined in KRS 198B.010 , in the state. The code shall provide that the review and approval, as necessary, of building plans for conformance with the Uniform State Building Code prior to construction approval shall be conducted only by the department or a local government or governments delegated such responsibilities by this chapter, and any exceptions to this policy shall be explicitly stated in the code.
  2. The code shall be comprehensive and shall include but not be limited to provisions for general construction; structural quality; mechanical systems to include heating, cooling, and ventilation; electrical systems; and life safety from hazards of fire, explosion, and other disasters, whether caused by acts of nature or man. The code shall encompass the Kentucky State Plumbing Code promulgated pursuant to KRS 318.130 , boiler rules and regulations issued pursuant to KRS 236.030, and the national electrical code.
  3. This code shall be designed after and may be selected from the models offered by such model code agencies as the International Code Council, Inc., the National Fire Protection Association, and other nationally recognized organizations which may include governmental agencies. The code shall:
    1. Provide uniform standards and requirements for construction and construction materials;
    2. To the extent practicable, set forth standards, specifications, and requirements in terms of performance objectives, so as to facilitate the use of new technologies, techniques, and materials. The code shall not discriminate in favor of particular suppliers’ materials, techniques, or technologies; and
    3. Protect the public health, safety, and welfare within the state.
  4. The code shall include provisions for the continuing review and possible adoption of new materials, technologies, and techniques in the building industry when deemed justified by the department to fulfill the purposes of this chapter. The department may adopt a model code promulgated by a model code agency only if that agency provides a method for democratic participation by the department and any local governments which may enforce the code, in a continuing review and possible adoption of new materials, technologies, and techniques in the building industry.
  5. The department shall promulgate administrative regulations, after notice in accordance with KRS Chapter 13A, which are necessary to implement the Uniform State Building Code or to carry out any other responsibility assigned to the department by this chapter.
  6. The department shall monitor the effectiveness of agencies designated by local governments to enforce the provisions of the Uniform State Building Code.
  7. If the department determines that an agency is not enforcing the provisions of the Uniform State Building Code, it shall determine where deficiencies exist. The department shall require the local government to correct the deficiencies within sixty (60) days and report to the department its method of correcting the deficiencies.
  8. If the local government fails to correct the deficiencies, the department may preempt the local program as provided for in KRS 198B.060(4).
  9. The department shall provide for the supply, including amendments and revisions thereto, of sufficient copies of the Uniform State Building Code for all interested parties.

HISTORY: Enact. Acts 1978, ch. 117, § 5, effective June 17, 1978; 1982, ch. 308, § 2, effective July 15, 1982; 2010, ch. 24, § 249, effective July 15, 2010; 2017 ch. 169, § 5, effective June 29, 2017.

Legislative Research Commission Notes.

(10/5/90). Pursuant to KRS 7.136(1), KRS Chapter 13A has been substituted for the prior reference to KRS Chapter 13 in this statute. The sections in KRS Chapter 13 were repealed by 1984 Ky. Acts ch. 417, § 36 and KRS Chapter 13A was created in that same chapter of the 1984 Ky. Acts.

NOTES TO DECISIONS

Cited in

Leonhardt v. Lang, 2021 Ky. App. LEXIS 12 (Ky. Ct. App. Feb. 5, 2021).

198B.060. Local enforcement of Uniform State Building Code — Workers’ compensation coverage requirement — Informal hearing — Appeal.

  1. Each local government shall employ a building official or inspector and other code enforcement personnel as necessary, or shall contract for inspection and code enforcement services in accordance with subsections (8) and (11) of this section to enforce the Uniform State Building Code within the boundaries of its jurisdiction, except that permits, inspections, and certificates of occupancy shall not be mandatory for single-family residences unless a local government passes an ordinance requiring inspections of single-family residences.
    1. Local governments shall be responsible for the examination and approval or disapproval of plans and specifications for churches having a capacity of four hundred (400) or less persons, and six thousand (6,000) or less square feet of total floor area, and buildings of no more than three (3) stories in height, exclusive of attic and basement, which do not contain more than twenty thousand (20,000) square feet of floor area, and are not intended for educational, institutional, or high hazard occupancy; or assembly, business, or industrial occupancy in excess of one hundred (100) persons, except churches as stated in this subsection, or for use as a frozen food locker plant as defined in KRS 221.010 . (2) (a) Local governments shall be responsible for the examination and approval or disapproval of plans and specifications for churches having a capacity of four hundred (400) or less persons, and six thousand (6,000) or less square feet of total floor area, and buildings of no more than three (3) stories in height, exclusive of attic and basement, which do not contain more than twenty thousand (20,000) square feet of floor area, and are not intended for educational, institutional, or high hazard occupancy; or assembly, business, or industrial occupancy in excess of one hundred (100) persons, except churches as stated in this subsection, or for use as a frozen food locker plant as defined in KRS 221.010 .
    2. Local governments shall be responsible for the issuance and revocation of building permits, licenses, certificates, and similar documents which cover activities within their area of responsibility, and the inspection of all buildings pursuant to this chapter and the Uniform State Building Code. Each local government issuing a building or demolition permit or an initial certificate of occupancy on a new structure shall send a copy of the permit or certificate to the commissioner for his or her use in maintaining an accurate housing inventory for Kentucky.
  2. Urban-county governments may determine service districts within their boundaries within which farm dwellings and other farm buildings, not used in the business of retail trade or as a place of regular employment for ten (10) or more people, shall be exempt from the requirements of the Uniform State Building Code. The determination may be reviewed and altered by the department.
    1. With the exception of single-family dwellings, the department shall be responsible for the examination and approval or disapproval of plans and specifications for all buildings which are not the responsibility of local governments. The department may issue and revoke permits, licenses, certificates, and similar documents within its area of responsibility, and shall have concurrent jurisdiction with local governments for the inspection of all buildings pursuant to this chapter and the Uniform State Building Code. (4) (a) With the exception of single-family dwellings, the department shall be responsible for the examination and approval or disapproval of plans and specifications for all buildings which are not the responsibility of local governments. The department may issue and revoke permits, licenses, certificates, and similar documents within its area of responsibility, and shall have concurrent jurisdiction with local governments for the inspection of all buildings pursuant to this chapter and the Uniform State Building Code.
    2. If the commissioner determines that the local jurisdiction is not adequately performing any portion of its program, the department may preempt that portion of a local program, except that the department shall not preempt or assert jurisdiction for the enforcement of the code on single-family dwellings. The commissioner shall explain his or her reasons for preemption in writing and provide a copy to the local jurisdiction.
    3. The local jurisdiction may appeal the preemption directly to the commissioner, and the department shall review the appeal according to the procedures found in subsections (8) to (10) of KRS 198B.070 . No preemption by the commissioner shall take place until a final decision has been issued in an appeal under this subsection.
    4. If the department preempts any portion of a local program, it shall collect the fees applicable to that portion of the program.
    1. Any local government may petition the commissioner requesting that additional plan review functions be allocated to that local government. The petition shall include evidence of the local government’s capability to perform additional plan review functions. (5) (a) Any local government may petition the commissioner requesting that additional plan review functions be allocated to that local government. The petition shall include evidence of the local government’s capability to perform additional plan review functions.
    2. The commissioner, after review of the petition and supporting evidence, may grant or deny to the local government any part of a request for additional responsibility. If the commissioner denies any part of a petition, he or she shall explain his or her reasons for denial in writing, and provide a copy to the local government.
    3. A local government may appeal the denial directly to the commissioner, and the department shall review the appeal according to the procedures found in subsections (8) to (10) of KRS 198B.070 .
    4. If the local government is granted additional responsibility by the commissioner, the department shall hold concurrent jurisdiction over the additional responsibility, but the local government shall collect any fees for functions it performs pursuant to the additional responsibility.
  3. Any local government may also petition the commissioner requesting that plans and specifications inspection, building inspection, and approval responsibility relating to the application of local plumbing permits for local installations be allocated to the local government. The petition shall not be granted unless the local government has demonstrated to the commissioner that it can perform these functions in accordance with KRS 198B.050 to 198B.090 .
  4. The commissioner shall expedite the review of plans and specifications by assigning responsibilities and coordinating review activities among the department’s various functional divisions so as to prevent unnecessary duplication in the review of plans and specifications.
  5. No building shall be constructed in this state until a local building official and an official representing the department, if the department has jurisdiction, issue a permit for the construction. Nothing in this subsection shall require a single-family dwelling to be permitted or inspected unless a local government has established a building inspection program as set out in this section.
  6. The local building official or the representative of the department shall issue a permit if the proposed building satisfies the requirements of the Uniform State Building Code and if the party desiring to construct the building has complied with all other legal requirements concerning the location and construction of the building. The applicant for a building permit, by the act of applying for the permit, shall be deemed to have consented to inspection by the local government or the department, of the building during construction and upon the completion of construction for the purpose of determining that the building is constructed in compliance with the Uniform State Building Code.
    1. No permit for building, construction, reconstruction, renovation, demolition, or maintenance or for any activity related to building, construction, reconstruction, renovation, demolition, or maintenance shall be issued by any building department or by any political subdivision of the Commonwealth of Kentucky to any person seeking the permit unless the person shall assure, by affidavit, that all contractors and subcontractors employed, or that will be employed, on activity covered by the permit shall be in compliance with Kentucky requirements for workers’ compensation insurance according to KRS Chapter 342 and unemployment insurance according to KRS Chapter 341. (10) (a) No permit for building, construction, reconstruction, renovation, demolition, or maintenance or for any activity related to building, construction, reconstruction, renovation, demolition, or maintenance shall be issued by any building department or by any political subdivision of the Commonwealth of Kentucky to any person seeking the permit unless the person shall assure, by affidavit, that all contractors and subcontractors employed, or that will be employed, on activity covered by the permit shall be in compliance with Kentucky requirements for workers’ compensation insurance according to KRS Chapter 342 and unemployment insurance according to KRS Chapter 341.
    2. Any person who fails to comply with the assurances required under paragraph (a) of this subsection upon such finding by a court of competent jurisdiction, shall be fined an amount not to exceed four thousand dollars ($4,000) or an amount equal to the sum of all uninsured and unsatisfied claims brought under the provisions of KRS Chapter 342 and unemployment insurance claims for which no wages were reported as required by KRS Chapter 341, whichever is greater.
    3. The penalty imposed in paragraph (b) of this subsection shall be enforced by the county attorney for the county in which the violation occurred.
  7. A certified electrical inspector shall be employed by, or contracted for, or contracted with a local government having responsibility over buildings described in this section as part of its building inspection program. After a certified electrical inspector has been provided for by the local government or the department, no utility shall initiate permanent electrical service to any new building, or any building which has been moved, until a final certificate of approval has been issued by a certified electrical inspector. Unless the department shall notify the utility in writing as to which buildings are subject to department approval, it shall be presumed by the utility that the building is subject to the jurisdiction of the local government. However, nothing in this section shall prohibit the supply or use of necessary electrical services during the construction and testing process.
  8. This section shall apply to industrialized building systems, but destructive disassembly of industrialized building systems which carry a seal of approval pursuant to a manufactured building law in the state in which they were manufactured, which seal of approval is accepted by the department, shall not be performed in order to conduct the tests or inspections.
  9. No building on which construction was begun nor any industrialized building system on which site preparation and assembly were begun after the Uniform State Building Code became effective shall be occupied until the local building official or a representative of the department issues a certificate of occupancy certifying that the building was constructed in conformance with the standards of the Uniform State Building Code, or assembled or installed in conformance with applicable instructions. Nothing in this subsection shall be construed to require a certificate of occupancy to be issued for any single-family dwelling unless a local government has established jurisdiction for the enforcement of the Uniform State Building Code under this section.
  10. A local government may associate with other local governments, and may seek the technical assistance of other agencies or area development districts in order to provide for the local enforcement of the Uniform State Building Code.
  11. Local governments or associations of local governments may contract with a person, firm, or company to perform the plans and specifications inspection or building inspection functions required of the local government by the provisions of this section if:
    1. The person performing the plans and specifications inspection is certified by the department as having successfully completed the test requirements provided by KRS 198B.090 to practice as a certified plans and specifications inspector;
    2. The person performing the building inspection is certified by the department as having successfully completed the test requirements provided in KRS 198B.090 to practice as a certified building inspector;
    3. The person, firm, or company does not have a conflict of interest between its plan review or inspection functions and any other employment or business activities;
    4. The person performing the plumbing inspection is certified by the department as having successfully completed the requirements provided in KRS 318.140 to practice as a certified plumbing inspector; and
    5. The person, firm, or company does not have a conflict of interest between its plan review or inspection functions and any other employment or business activities.
  12. If the department has reason to believe that an inspector is not enforcing, or is improperly enforcing, the provisions of the Kentucky building codes, it shall conduct an informal hearing to review the inspector’s procedures and return in written form the required corrections resulting from the hearing to the inspector, or may take action to suspend or revoke the inspector’s certificate.
  13. If the inspector fails to comply within sixty (60) days of a written notification from the department that specifies the required corrections, the department shall suspend the inspector’s certification until the inspector complies. Any action to suspend or revoke an inspector’s certificate may be appealed to the department, and upon appeal an administrative hearing shall be conducted in accordance with KRS Chapter 13B.
  14. Each local government and the department may establish a schedule of fees for the functions performed under this chapter. The fees shall be designed to fully cover, but shall not exceed, the cost of the service performed. Fees payable to the department shall be paid into the State Treasury and credited to a trust and agency fund to be used by the department in carrying out this chapter. No part of this fund shall revert to the general fund of the Commonwealth.

HISTORY: Enact. Acts 1978, ch. 117, § 6, effective June 17, 1978; 1982, ch. 308, § 3, effective July 15, 1982; 1982, ch. 440, § 1, effective July 15, 1982; 1984, ch. 111, § 106, effective July 13, 1984; 1986, ch. 381, § 1, effective July 15, 1986; 1990, ch. 174, § 1, effective July 13, 1990; 1996, ch. 318, §§ 82, 83, effective July 15, 1996; 1998, ch. 9, § 2, effective July 15, 1998; 2010, ch. 24, § 250, effective July 15, 2010; 2017 ch. 169, § 6, effective June 29, 2017.

NOTES TO DECISIONS

1.Certificate of Occupancy.

Contention that city zoning laws did not require a certificate of occupancy by the local building inspector when a certificate of occupancy had been issued by the Department of Housing, Buildings and Construction of the Commonwealth of Kentucky pursuant to this section was unsound; while the objectives may in some cases overlap, the aims of the state and the local enforcement officials are not coextensive, nor does the state’s purpose include all local objectives. Stratford v. Crossman, 655 S.W.2d 500, 1983 Ky. App. LEXIS 343 (Ky. Ct. App. 1983).

Opinions of Attorney General.

Subsection (1) of this section will not prevent a city from amending its electrical code after March 28, 1978, to provide standards more stringent than the National Electrical Code, which standards will continue in effect until such time as the Uniform State Building Code becomes mandatory within the city. OAG 79-579 .

The City of Louisville cannot adopt a building code ordinance, the terms of which are more stringent than those found in the state uniform building code. OAG 80-61 .

No constitutional or statutory incompatibility would exist where an individual is employed full-time as the building inspector for one city and at the same time serves as a part-time building inspector for a city which does not have sufficient work in that field to justify hiring a full-time inspector. OAG 80-232 .

Although local governments are responsible for the enforcement of the state building code within the boundaries of their jurisdictions, the department of local government may participate in the local enforcement program to the extent of providing funds for the research and planning of a program whereby various local governments will jointly conduct and operate an enforcement program. (Decision prior to 1982 enactment of KRS 147A.021 .) OAG 82-312 .

Local enforcement of the National Electrical Code is contemplated. OAG 83-32 .

It is the duty and responsibility of the municipal government to employ its own certified inspectors or to enter into an interlocal agreement with another governmental entity, utilizing the inspectors of that entity, to conduct the required inspections and the statutes do not contemplate free lance certified electrical inspectors contracting directly with the owners or occupiers of houses and other buildings to conduct electrical inspections; now that the Kentucky Building Code is mandatorily effective in the state, the enforcement of the Code within a city, including the National Electrical Code which is part of the Kentucky Building Code, is the responsibility of the city. OAG 83-32 .

A house or other building subject to the requirements of the National Electrical Code and located within the municipal limits is not eligible to receive a hookup to an electric source and electric service from an electric utility until it has been inspected by a certified electrical inspector authorized to perform electrical inspections for the city; thus, a city was not required to connect power to a structure approved by a certified inspector other than the city inspector nor could the head of the city light and water department, without approval of the city’s legislative body, approve a hookup to a structure within the city limits which was inspected by someone other than the city inspector. OAG 83-32 .

There is no authority for an inspector to make “in the field” changes. OAG 84-47 .

If an inspector for a local government has utilized the concurrent jurisdiction concept relative to inspections and has uncovered a problem serious enough to warrant the use of a stop work order, that inspector should proceed in the same manner as a state inspector would have had the state inspector decided such course of action was appropriate. OAG 84-47 .

While concurrent jurisdiction relative to inspections exists, neither state nor local inspectors should utilize the right and responsibility indiscriminately and as often as is practicable, inspectors should confine their inspections to those buildings over which their employing governments have the plan review responsibility. However, in those situations where serious problems exist or where it is thought that serious problems might exist, an inspector of a local government could inspect a building over which the state has the plan review responsibility rather than waiting for the state inspector to address the matter. OAG 84-47 .

The local government’s inspectors could inspect a building over which the state has the plan review responsibility; the concurrent jurisdiction concept with regard to inspections is an attempt by the General Assembly to protect lives and property in that any qualified state or local inspector may inspect a building, particularly where a serious problem has been reported or where a serious problem is suspected and, in this way, the problem can be corrected and difficulties prevented as soon as a qualified inspector arrives rather than having to wait for a particular inspector to arrive. OAG 84-47 .

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, L, 9, (2) at 899.

Kentucky Bench & Bar.

Groves and Hill, The New Statewide Uniform Building Code, Vol. 42, No. 4, October, 1978, Ky. Bench & Bar 18.

198B.062. Mandatory nature of approved construction documents — Role of on-site inspectors.

All buildings shall be constructed according to the construction documents approved by the building official having jurisdiction of the building in accordance with KRS 198B.060 . No on-site inspector shall order changes in the construction of a building which are contrary to the approved construction documents. If an on-site inspector finds that any part of the construction is contrary to the approved plans, the on-site inspector may order correction, and if the on-site inspector believes that the approved documents are incomplete or in violation of the Uniform State Building Code, the on-site inspector shall refer the matter to the building official having jurisdiction for the approval of the construction documents. Any approved changes to the construction of the building shall be recorded with the construction documents before the certificate of occupancy shall be issued.

History. Enact. Acts 1998, ch. 175, § 1, effective July 15, 1998.

198B.070. Appeals.

  1. The mayor or county judge/executive of a local government which is enforcing the Uniform State Building Code may, upon the approval of the local legislative body, appoint a local appeals board, consisting of five (5) technically qualified persons with professional experience related to the building industry, to hear appeals from the decisions of the local building official. At least three (3) members of the appeals board shall not be employed by the local government hearing the appeal.
  2. Local governments that are enforcing the Uniform State Building Code may cooperate with each other to provide a local appeals board and shall adhere to the provisions of KRS Chapter 65 when entering these cooperative agreements. A local building official or employee of a local inspection department shall not sit on a local appeals board if the board is hearing an appeal to a decision rendered by his or her department. A member of a local appeals board shall not hear an appeal in a case in which he or she has a private interest.
  3. Any party to a decision by the local building official may appeal that decision to the local appeals board. Upon receipt of an appeal from a qualified party, the local appeals board shall convene a hearing to consider the appeal within fifteen (15) days of receipt. All parties to the appeal shall be notified of the time and place of the hearing by letter mailed by certified mail no later than ten (10) days prior to the date of the hearing. The local appeals board shall render a decision within five (5) working days after the hearing.
  4. A local appeals board may uphold, amend, or reverse the decision of a local building official, and there shall be no appeal from the decision of a local appeals board other than by appeal to the department. Appeals to the department shall include citation of those provisions of the Uniform State Building Code which are at issue, and an explanation of why the decision of the local appeals board or the local building official relative to those provisions is being contested.
  5. The department shall serve to hear appeals from the decisions of local appeals boards, when these boards exist, or to hear appeals directly from the decisions of local building officials in cases where no local appeals board has jurisdiction. In no case shall the department hear an appeal directly from a party aggrieved by the decision of a local building official when there is a local appeals board with jurisdiction in the case.
  6. The department shall hear appeals directly from a party aggrieved by the decision of an agent of the department. These appeals shall include citations of those provisions of the Uniform State Building Code which are at issue, and an explanation of why the decision of the agent of the department relative to those provisions is being contested.
  7. Appeals to the department shall be addressed to the commissioner, who shall immediately notify the department when an appeal is received. The commissioner or a designated employee of his or her department shall then investigate the evidence pertaining to the appeal and, based upon the results of the investigation, make recommendations to the department on the disposition of the case in question. No employee of the department shall investigate or make recommendations on an appeal to his or her own decision, but shall defer in such cases to employees who were not party to the decision which led to the appeal. In conducting an investigation, the commissioner or his or her designated representatives, acting for the department, shall have the authority to administer oaths and affirmations, issue subpoenas authorized by law, rule upon offers of proof and receive relevant evidence, take or cause depositions to be taken, regulate the course of any informal or fact-finding hearings they may schedule, and hold conferences for the settlement or simplification of the issues by consent of the parties. The commissioner shall complete his or her investigations within thirty (30) days after receiving an appeal.
  8. If the matter is not settled by agreement of the parties through the procedure established in subsection (7) of this section, the commissioner shall schedule an administrative hearing that shall be conducted in accordance with KRS Chapter 13B.
  9. The commissioner may appoint five (5) or more members of the department to conduct the hearing, and those appointed shall act in all matters concerning the appeal for the entire department.
  10. The department may uphold, amend, or reverse the decision of a local appeals board, a local building official, or an agent of the department by final order. An appeal of the department’s final order shall be to the Circuit Court within whose jurisdiction the property in question is located in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 1978, ch. 117, § 7, effective June 17, 1978; 1980, ch. 114, § 36, effective July 15, 1980; 1982, ch. 308, § 4, effective July 15, 1982; 1986, ch. 23, § 14, effective July 15, 1986; 1996, ch. 318, § 84, effective July 15, 1996; 2010, ch. 24, § 251, effective July 15, 2010; 2017 ch. 169, § 7, effective June 29, 2017.

198B.080. Amendments to the Uniform State Building Code.

  1. Any interested party may suggest amendments to the Uniform State Building Code to the department. The department shall transmit all suggested amendments to the committee and receive comments from the committee on the advisability of the suggested amendments.
  2. The department may amend the Uniform State Building Code at any time, but only after notice in accordance with KRS Chapter 13A. Adopted amendments shall be effective statewide.
  3. No amendment shall violate the performance orientation of the code, favor certain materials or suppliers, or weaken the life safety features of the Uniform State Building Code as specified in KRS 198B.050(3).

HISTORY: Enact. Acts 1978, ch. 117, § 8, effective June 17, 1978; 2010, ch. 24, § 252, effective July 15, 2010; 2017 ch. 169, § 8, effective June 29, 2017.

Legislative Research Commission Notes.

(10/5/90). Pursuant to KRS 7.136(1), KRS Chapter 13A has been substituted for the prior reference to KRS Chapter 13 in this statute. The sections in KRS Chapter 13 were repealed by 1984 Ky. Acts ch. 417, § 36 and KRS Chapter 13A was created in that same chapter of the 1984 Ky. Acts.

198B.085. Requirement for compliance of agritourism building with Kentucky Building Code — Exemptions.

  1. Except as otherwise provided in this section, an agritourism building as defined in KRS 247.801 shall comply with the Kentucky Building Code.
  2. An agritourism building built prior to December 31, 2016, shall be exempt from the following requirements within the Kentucky Building Code:
    1. An agritourism building built prior to December 31, 2016, shall not be required to comply with the seismic requirements within the Kentucky Building Code; and
    2. If an agritourism building has a capacity of four hundred (400) persons or is six thousand (6,000) square feet or less, an agritourism building built prior to December 31, 2016, shall not require the services of an architect licensed by the Commonwealth of Kentucky.

HISTORY: 2017 ch. 185, § 1, effective June 29, 2017.

198B.090. Certification of professional classifications — Training program for building code administration and enforcement.

  1. The department shall create and administer a certification program with sufficient testing procedures to certify the following professional classifications:
    1. Building inspector;
    2. Plans and specifications inspector; and
    3. Plumbing inspector.
  2. The testing procedures shall be sufficient to reflect the ability of the person applying for certification to inspect in accordance with those local, state, and federal building codes, fire codes, plumbing codes, or health and safety codes, that are applicable to the inspection duties for which he or she requests certification.
  3. The department shall conduct or sponsor preentry and in-service education and training programs on the technical, legal, and administrative aspects of building code administration and enforcement. For this purpose it may cooperate and contract with educational institutions, area development districts, local, regional, state or national building officials’ organizations, and any other appropriate organization.
  4. The department shall create and administer an educational program designed to prepare building officials, code enforcement officers, and other persons interested in obtaining from the department a certification as a building inspector, plans and specifications inspector, or plumbing inspector. The program shall be designed to ensure uniform statewide enforcement of the applicable state building and plumbing codes. Training material coverage shall be adequate to prepare the participants with a working knowledge of construction design, specification terms, and the state building codes applicable to the particular field in which the applicant requests certification.
  5. Plumbing inspectors who are in compliance with KRS 318.090 as state inspectors and KRS 318.140 as city-county inspectors, shall be considered in compliance with subsections (1)(c) and (2) of this section and shall not be required to be retested by the department prior to consideration for certification as a plumbing inspector. The department shall review the plumbing inspector’s qualifications and credentials for compliance with KRS 318.090 or 318.140 prior to issuing a certification to the inspector’s certificate applicant.
  6. Attendance at the training sessions shall not be mandatory prior to testing for certification if the applicant’s previous education or experience qualifies the applicant to obtain a passing score on the required certification test.
  7. Training sessions shall be held as frequently as is felt necessary by the commissioner to adequately provide for local and state building inspection needs.
  8. The department’s plans and specifications review staff and the field inspection staff shall attend the training and become certified in accordance with this section.
  9. All building inspectors, plans and specification inspectors, and plumbing inspectors shall be certified or enrolled and actively pursuing department certification within ninety (90) days after employment as an inspector.
  10. The department shall establish a schedule of fees to cover the cost of the education, testing, and certification programs to be paid by the applicants for certification. The fees shall not exceed the actual cost of the services performed by the department to administer the programs listed in this section.
  11. The department may reimburse building officials, code enforcement officers, and other employees of the state and its subdivisions for related expenses incurred by them for attendance at in-service training programs approved by the department.

HISTORY: Enact. Acts 1978, ch. 117, § 9, effective June 17, 1978; 1982, ch. 308, § 5, effective July 15, 1982; 2010, ch. 24, § 253, effective July 15, 2010; 2017 ch. 169, § 9, effective June 29, 2017.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, H, 3 at 941.

198B.095. Authorization for building inspectors training program — Purpose — Trust and agency fund.

  1. The department may establish a building inspectors training program through the promulgation of administrative regulations in accordance with KRS Chapter 13A. The program shall provide training to encourage local governments to establish and improve building code enforcement programs and to encourage all building inspectors to upgrade their skills.
  2. If the department chooses to establish the program authorized in subsection (1) of this section, there shall be created in the department a trust and agency fund to be known as the “Building Inspectors’ Financial Incentive Training Program fund”.
  3. If the department establishes the Building Inspectors’ Financial Incentive Training Program fund:
    1. The fund shall be funded annually with a maximum of one hundred twenty-five thousand dollars ($125,000) at a rate of one-half cent ($.005) per calculated square foot from the department’s plan review fees collected;
    2. Any funds annually resulting from plan review fees in excess of one hundred twenty-five thousand dollars ($125,000) shall be used solely for the operating costs of the department’s building inspection program;
    3. Moneys deposited annually into the Building Inspectors’ Financial Incentive Training Program fund shall be available for use by the department to support the training program established pursuant to subsection (1) of this section; and
    4. No moneys shall be deposited into the Building Inspectors’ Financial Incentive Training Program fund causing the balance to exceed one hundred twenty-five thousand dollars ($125,000).
  4. Notwithstanding KRS 45.229 , any unused fund balance at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year. Moneys in the fund shall be available only for the purposes specified in subsection (1) of this section.
  5. Any interest earnings of the trust fund shall become part of the fund and shall not lapse.

HISTORY: Enact. Acts 2000, ch. 322, § 1, effective July 14, 2000; 2010, ch. 24, § 254, effective July 15, 2010; 2010, ch. 167, § 1, effective July 15, 2010; 2017 ch. 169, § 10, effective June 29, 2017.

Legislative Research Commission Notes.

(7/15/2010). References to the “office” of housing, buildings and construction in this section, as amended by Ky. Acts ch. 167, sec. 1, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2010-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to Ky. ch. 24, sec. 1938.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, H, 3 at 941.

198B.100. Manufactured or mobile home exemption.

Unless explicitly stated, exemption of manufactured or mobile homes from the provisions of this chapter shall not exempt them from provisions of existing law regulating them for the purposes of health, safety, and welfare.

HISTORY: Enact. Acts 1978, ch. 117, § 10, effective June 17, 1978; 1996, ch. 340, § 16, effective July 15, 1996; 2017 ch. 169, § 11, effective June 29, 2017.

198B.110. Effective dates for Uniform State Building Code — Exemptions. [Repealed]

  1. In all local governments in a county containing a city of the first or second class, and in urban-county governments, the Uniform State Building Code shall become effective six (6) months after promulgation by the board. Any of said local governments may adopt the code prior to that time.
  2. In all local governments in a county containing a city of the third or fourth class, but not a city of the first or second class, the Uniform State Building Code, as it pertains to buildings for which the department has the responsibility for plan reviews, shall become effective six (6) months after promulgation by the board and as it pertains to buildings for which local governments have responsibility for plan review shall become effective two (2) years after promulgation by the board. Any of said local governments may adopt the code prior to such times.
  3. In all local governments in a county containing no city or a city of the fifth or sixth class, but not a city of the first through fourth classes, the Uniform State Building Code as it pertains to buildings for which the department has the responsibility for plan reviews shall become effective six (6) months after promulgation by the board and as it pertains to buildings for which local governments have responsibility for plan review shall become effective three (3) years after promulgation by the board. Any of said governments may adopt the code prior to such times.
  4. Notwithstanding the provisions of KRS 198B.060(8) and (9), a building for which a permit was legally granted prior to the effective date of the Uniform State Building Code may be constructed and occupied under the provisions of relevant regulations in force at the time the permit was issued provided that substantial construction has commenced within one (1) year from the date the permit was issued.
  5. A building for which plans were prepared at least three (3) months prior to the effective date of the Uniform State Building Code and upon which construction was begun prior to the effective date of the Uniform State Building Code in a locality not then requiring a building permit may be completed and occupied without a building permit.

History. Enact. Acts 1978, ch. 117, § 11, effective June 17, 1978; 1982, ch. 308, § 6, effective July 15, 1982; 2010, ch. 24, § 255, effective July 15, 2010; repealed by 2014, ch. 92, § 314, effective January 1, 2015.

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 117, § 11, effective June 17, 1978) was repealed by Acts 2014, ch. 92, § 314, effective January 1, 2015.

Opinions of Attorney General.

The Uniform State Building Code became mandatorily effective in the counties of Boyd, Campbell, Daviess, Fayette, Franklin, Jefferson, Kenton, McCracken and Warren on February 15, 1980; other Kentucky counties, including Whitley County, were covered effective August 15, 1981, and the remaining counties will be mandatorily covered effective August 15, 1982. OAG 82-30 .

Research References and Practice Aids

Kentucky Bench & Bar.

Groves and Hill, The New Statewide Uniform Building Code, Vol. 42, No. 4, October, 1978, Ky. Bench & Bar 18.

198B.120. Injunctions to enforce building code compliance.

The department or any local government agency enforcing the Uniform State Building Code may obtain injunctive relief from any court of competent jurisdiction to enjoin the offering for sale, delivery, use, occupancy or construction of any building on which construction was begun after the effective date of the code, upon an affidavit of the department or the local government agency specifying the manner in which the construction, or if a building existing prior to the effective date of the code, the reconstruction, alteration, repair or conversion does not conform to the requirements of this chapter or the Uniform State Building Code.

HISTORY: Enact. Acts 1978, ch. 117, § 12, effective June 17, 1978; 2010, ch. 24, § 256, effective July 15, 2010; 2017 ch. 169, § 12, effective June 29, 2017.

198B.130. Private action for damages — Time limitation.

  1. Notwithstanding any other remedies available, any person or party, in an individual capacity or on behalf of a class of persons or parties, damaged as a result of a violation of this chapter or the Uniform State Building Code, has a cause of action in any court of competent jurisdiction against the person or party who committed the violation. An award may include damages and the cost of litigation. If a certificate of occupancy was not issued, then an award may also include reasonable attorney’s fees.
  2. Any action based upon a claim of violation of this section shall be brought within one (1) year of the date on which the damage is discovered or in the exercise of reasonable diligence could have been discovered. However, in no event shall an action be brought under this section more than ten (10) years after the date of first occupation or settlement date, whichever is sooner.
  3. Nothing in this section shall be construed to bar any common law liability of a contractor or subcontractor or any right or cause of action against any contractor or subcontractor created by any other statute.

History. Enact. Acts 1978, ch. 117, § 13, effective June 17, 1978; 1998, ch. 445, § 1, effective July 15, 1998; 2020 ch. 62, § 1, effective July 15, 2020.

NOTES TO DECISIONS

1.Cause of Action.

A private cause of action for violation of KRS Chapter 198B and the applicable building code is not dependent on KRS 446.070 . This section provides an independent statutory remedy, complete in itself, for violating any provision of KRS Chapter 198B or the Uniform State Building Code enacted pursuant to this chapter. Real Estate Mktg. v. Franz, 885 S.W.2d 921, 1994 Ky. LEXIS 127 ( Ky. 1994 ).

2.Damages.

If a statutory violation has occurred, this section requires payment of either the cost of repair to bring the property up to code compliance or payment of the diminution in fair market value of the property because of code infractions, whichever is less. Real Estate Mktg. v. Franz, 885 S.W.2d 921, 1994 Ky. LEXIS 127 ( Ky. 1994 ).

When several homeowners sued the same builder for selling them four-bedroom homes that had septic systems approved for three (3) bedrooms, the issue of the homeowners’ entitlement to damages for the builder’s building code violations under KRS 198B.130(1) was properly submitted to the jury because there was no dispute that the septic systems did not meet the building code, and the only issue was whether the builder’s homes were subject to the requirements for a four-bedroom home. Young v. Vista Homes, Inc., 243 S.W.3d 352, 2007 Ky. App. LEXIS 12 (Ky. Ct. App. 2007).

3.—Limitations on Damages.

This section does not limit the nature of the claim for damages to damages available in a tort action; it does not distinguish between damages related solely to diminution in value and damages caused by a specific actionable event or a destructive occurrence as with the traditional tort remedy. Real Estate Mktg. v. Franz, 885 S.W.2d 921, 1994 Ky. LEXIS 127 ( Ky. 1994 ).

4.Attorney Fees.

When several homeowners sued the same builder for selling them four-bedroom homes that had septic systems approved for three (3) bedrooms, one homeowner was not entitled to an award of attorney fees in connection with his claim of a building code violation under KRS 198B.130(1) because the builder installed a repaired system before suit was filed and there was no evidence the homeowner would incur any additional repair costs. Young v. Vista Homes, Inc., 243 S.W.3d 352, 2007 Ky. App. LEXIS 12 (Ky. Ct. App. 2007).

When several homeowners sued the same builder for selling them four-bedroom homes that had septic systems approved for three (3) bedrooms, it was error for the trial court, in considering their request for attorney fees in connection with their claim of a building code violation under KRS 198B.130(1), to apportion attorney fees solely to the building code violation claim; the claims for misrepresentation and breach of warranty arose from the same facts, so, to the extent the other claims were inextricably intertwined with the code violation claims, it was unnecessary to apportion attorney fees and costs to the statutory claim. Young v. Vista Homes, Inc., 243 S.W.3d 352, 2007 Ky. App. LEXIS 12 (Ky. Ct. App. 2007).

5.Limitations Periods Expired.

Moving company worker's negligence per se claim based on a violation of the applicable building code was properly dismissed as untimely where the claim arose under Ky. Rev. Stat. § 198B.130 , and based upon Ky. Rev. Stat. Ann. § 198B.130 (2), the claim was not filed within 10 years of the date of first occupation of the house. Breedlove v. Smith Custom Homes, Inc., 530 S.W.3d 481, 2017 Ky. App. LEXIS 538 (Ky. Ct. App. 2017).

Research References and Practice Aids

Kentucky Bench & Bar.

Groves and Hill, The New Statewide Uniform Building Code, Vol. 42, No. 4, October, 1978, Ky. Bench & Bar 18.

Kentucky Law Journal.

Relief to Subsequent Home Purchasers in Kentucky: The Past, Present, Future, and Franz, 85 Ky. L.J. 483 (1996-97).

198B.135. Presumption regarding defectiveness of building design, construction, materials, or supplies where injury, death, or damage occurs more than five years after completion or incorporation.

In any action alleging defective building design, construction, materials, or supplies where the injury, death, or property damage occurs more than five (5) years after the date of completion of construction or incorporation of materials or supplies into the building, there shall be a presumption that the building was not defective in design, construction, materials, or supplies. This presumption may be overcome by a preponderance of the evidence to the contrary.

History. Enact. Acts 1992, ch. 154, § 1, effective July 14, 1992.

NOTES TO DECISIONS

1.Open and obvious danger

In a case in which appellant fell while leaving a historic eatery, the trial court properly awarded summary judgment to appellees. Although appellant claimed the restaurant’s threshold was too narrow, appellant admitted being familiar with the threshold, having traversed it on prior occasions, and admitted she would not have fallen had she been looking in the direction she was walking. Faller v. Endicott-Mayflower, LLC, 359 S.W.3d 10, 2011 Ky. App. LEXIS 254 (Ky. Ct. App. 2011).

Cited in:

Faller v. Endicott-Mayflower, LLC, — S.W.3d —, 2009 Ky. App. LEXIS 234 (Ky. Ct. App. 2009).

198B.140. Hindrance of building inspectors prohibited.

No person shall hinder an inspector enforcing any of the provisions of this chapter in the performance of his lawful duties under this chapter.

History. Enact. Acts 1978, ch. 117, § 14, effective June 17, 1978.

Research References and Practice Aids

Kentucky Bench & Bar.

Groves and Hill, The New Statewide Uniform Building Code, Vol. 42, No. 4, October, 1978, Ky. Bench & Bar 18.

198B.200. Kentucky Single Family Dwellings Advisory Committee — Membership — Duties. [Repealed]

History. Enact. Acts 2007, ch. 42, § 1, effective June 26, 2007; 2010, ch. 24, § 257, effective July 15, 2010; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler's Notes.

This section (Enact. Acts 2007, ch. 42, § 1, effective June 26, 2007), was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

198B.250. Architectural Barriers Advisory Committee. [Repealed]

History. Enact. Acts 1980, ch. 361, § 2, effective July 15, 1980; 1994, ch. 405, § 50, effective July 15, 1994; 2010, ch. 24, § 258, effective July 15, 2010; repealed by 2017 ch. 169, § 13, effective June 29, 2017; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 361, § 2, effective July 15, 1980), was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

Legislative Research Commission Notes.

(6/29/2017). Under KRS 446.260 , the repeal of this statute in 2017 Ky. Acts ch. 80 prevails over its amendment in 2017 Ky. Acts ch. 169.

198B.260. Administrative regulations to make buildings accessible to and usable by persons with a disability — Compliance required.

  1. The department shall promulgate administrative regulations, pursuant to KRS Chapter 13A, applicable to all new and altered buildings which shall establish requirements for making all buildings accessible to and usable by persons with a disability. These regulations shall require, as a minimum, that all buildings, with the exception of one (1) and two (2) family dwellings, multifamily projects consisting of twenty-four (24) living units or less, church buildings, and historical structures whose historic significance would be threatened or destroyed, be accessible to persons with a disability. If multifamily projects are not exempt under this subsection, only one (1) out of every twenty-five (25) units shall be accessible to persons with a disability. The administrative regulations shall be incorporated into the Kentucky Building Code.
  2. The administrative regulations promulgated by the department shall be consistent with the Federal 1991 Americans with Disabilities Act and the American Disabilities Act Guidelines.
  3. No building permit or other official authorization for construction of any building shall be valid unless the plans and specifications are in compliance with the accessibility requirements stated in the Kentucky Building Code.

HISTORY: Enact. Acts 1980, ch. 361, § 3, effective July 15, 1980; 1982, ch. 280, § 1, effective July 15, 1982; 1994, ch. 405, § 51, effective July 15, 1994; 1994, ch. 416, § 12, effective July 15, 1994; 2017 ch. 169, § 14, effective June 29, 2017.

Compiler’s Notes.

The Americans with Disabilities act referred to in subsection (2) is compiled at 42 U.S.C.S. §§ 12101 et seq.

Legislative Research Commission Notes.

(7/15/94). This section was amended by 1994 Ky. Acts chs. 405 and 416 which are in conflict. Under KRS 446.250 , Acts ch. 416, which was last enacted by the General Assembly, prevails.

Research References and Practice Aids

Northern Kentucky Law Review.

ADA Amendments Issue: Article: The Positive Impact of the Convention on the Rights of Persons with Disabilities: A Case Study on the South Pacific and Lessons From the U.S. Experience, 37 N. Ky. L. Rev. 363 (2010).

198B.270. Present requirements in effect until new regulations filed.

The requirements for accessibility as established in 815 KAR 40:010 on November 13, 1974, shall remain in effect until such time as the board shall file new regulations pursuant to KRS 198B.260 .

History. Enact. Acts 1980, ch. 361, § 4, effective July 15, 1980.

198B.280. Exemption for temporary change.

Any proposed change of occupancy to a more restrictive classification, for temporary purposes only, shall not be required to comply with this chapter if prior approval for such use is obtained pursuant to KRS 227.300 and the regulations adopted thereunder.

History. Enact. Acts 1984, ch. 163, § 1, effective July 13, 1984.

198B.290. Issuance of rebuilding permits for certain types of property contiguous to river in counties with city of first class or consolidated local government and cities within such county.

In counties with cities of the first class or a consolidated local government and cities within those counties, a permit to rebuild a commercial business on property contiguous to a river, and a permit to rebuild single-family dwellings on properties contiguous to a river, shall be issued if the construction plans meet the requirements of any local floodplain ordinance.

History. Enact. Acts 1998, ch. 511, § 2, effective July 15, 1998; 2002, ch. 346, § 199, effective July 15, 2002.

Safety Glazing in Hazardous Locations

198B.300. Definitions for KRS 198B.310 to 198B.330.

As used in KRS 198B.310 to 198B.330 :

  1. “Safety glazing material” means any glazing material, such as tempered glass, laminated glass, wire glass, or rigid plastic that:
    1. Meets the test requirements of the current ANSI standard or other generally accepted industry standard as adopted by the department through the promulgation of an administrative regulation;
    2. Is so constructed, treated, or combined with other materials to minimize the likelihood of cutting or piercing injuries resulting from human contact with the glazing material; and
    3. Complies with any further requirements that may be adopted by the department; and
  2. “Hazardous locations” means those installations, glazed or to be glazed, in residential, commercial and public buildings known as sliding glass doors, framed or unframed glass doors and adjacent fixed glazed panels which may be mistaken for means of ingress or egress, storm doors, shower doors, and tub inclosures, whether or not the glazing in such doors, panels or inclosures is transparent, and in any other area wherein the use of other than safety glazing materials would constitute a hazard.

HISTORY: Enact. Acts 1970, ch. 227, § 1; 1974, ch. 74, Art. V, § 24(12); amended and reenacted 1980, ch. 188, § 4, effective July 15, 1980; 2010, ch. 24, § 259, effective July 15, 2010; 2017 ch. 169, § 15, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 17.410 but was amended and reenacted as this section by Acts 1980, ch. 188, § 4, effective July 15, 1980.

198B.310. Labeling requirements.

  1. Each light of safety glazing material manufactured, distributed, imported, or sold for use in hazardous locations or installed in a similar location within the Commonwealth of Kentucky shall be permanently labeled by such means as etching, sandblasting or firing ceramic material on the safety glazing material. The label shall identify the labeler, whether manufacturer, fabricator, or installer, and the nominal thickness and the type of safety glazing material and the fact that the material meets the test requirements of the current ANSI standard or other generally accepted industry standard as adopted by the department through the promulgation of an administrative regulation; and any further requirements that may be adopted by the department. The label shall be legible and visible after installation.
  2. Safety glazing labeling shall not be used on other than safety glazing materials.

HISTORY: Enact. Acts 1970, ch. 227, § 2; 1974, ch. 74, Art. V, § 24(12); repealed and reenacted 1980, ch. 188, § 5, effective July 15, 1980; 2010, ch. 24, § 260, effective July 15, 2010; 2017 ch. 169, § 16, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 17.420 (Enact. Acts 1970, ch. 227, § 2) and was repealed and reenacted as this section by Acts 1980, ch. 188, § 5, effective July 15, 1980.

198B.320. Prohibitions.

It shall be unlawful within the Commonwealth of Kentucky to knowingly sell, fabricate, assemble, glaze, install, consent or cause to be installed glazing materials other than safety glazing materials in, or for use in, any hazardous location.

History. Enact. Acts 1970, ch. 227, § 3; repealed and reenacted 1980, ch. 188, § 6, effective July 15, 1980.

Compiler’s Notes.

This section was formerly compiled as KRS 17.430 (Enact. Acts 1970, ch. 227, § 3) but was repealed and reenacted as this section by Acts 1980, ch. 188, § 6, effective July 15, 1980.

198B.330. Workers exempt from liability.

No liability under KRS 198B.310 to this section shall be created as to workers who are employees of a contractor, subcontractor, or other employer responsible for compliance with KRS 198B.310 to this section.

History. Enact. Acts 1970, ch. 227, § 4; amended and reenacted 1980, ch. 188, § 7, effective July 15, 1980.

Compiler’s Notes.

This section was formerly compiled as KRS 17.440 but was amended and reenacted as this section by Acts 1980, ch. 188, § 7, effective July 15, 1980.

Elevator and Fixed Guideway System Inspections

198B.400. Definitions for KRS 198B.400 to 198B.540.

As used in KRS 198B.400 to 198B.540 , unless the context otherwise requires:

  1. “Elevator” means all the machinery, construction, apparatus, and equipment used in raising and lowering a car, cage, or platform vertically between permanent rails or guides, and includes all elevators, power dumbwaiters, escalators, gravity elevators, and other lifting or lowering apparatus permanently installed between rails or guides, but does not include hand operated dumbwaiters, manlifts of the platform type with a platform area not exceeding nine hundred square inches, construction hoists, or other similar temporary lifting or lowering apparatus;
  2. “Passenger elevator” means an elevator that is designed to carry persons to its contract capacity;
  3. “Freight elevator” means an elevator used for carrying freight and on which only the operator, by the permission of the employer, is allowed to ride;
  4. “General inspector” means a state inspector examined and hired to inspect elevators for the department;
  5. “Special inspector” means an inspector examined and certified by the department to inspect elevators in the state;
  6. “Inspector” means either a general or special inspector;
  7. “Department” means the Department of Housing, Buildings and Construction;
  8. “Certificate of operation” means a certificate issued by the department authorizing the operation of an elevator which shall be conspicuously posted on the elevator at all times;
  9. “Escalator” means a moving stairway consisting of steps attached to a continuously circulating belt that is used to move persons from one (1) level to another;
  10. “Moving sidewalk” means horizontal flat panels attached to a continuously circulating belt used to move people;
  11. “Fixed guideway system” means any nonrail system, funicular, or automated people mover, either air-suspended or wheeled, that is not regulated by the Federal Transit Administration;
  12. “Mine elevator” means an elevator permanently installed in a mine shaft to provide vertical transportation of mine personnel, their tools, equipment, and mine supplies;
  13. “Stage elevator” means a section of a stage arranged to be raised and lowered above and below the stage in a vertical direction;
  14. “Orchestra elevator” means a platform used for raising and lowering musicians in an orchestra in a vertical direction;
  15. “Organ console elevator” means a mechanism used for raising and lowering an organ console, including the organist, in a vertical direction;
  16. “Material lift” means a hoisting and lowering mechanism equipped with a car that moves within a guide system installed at an angle of greater than seventy (70) degrees from the horizontal, serving two (2) or more landings, for the purpose of transporting materials that are manually or automatically loaded or unloaded. A person shall not ride on a material lift;
  17. “Elevator contractor” means any sole proprietor, partnership, or corporation possessing an elevator contractor license issued by the department and who is engaged in the business of erecting, constructing, installing, altering, servicing, repairing, or maintaining elevators or fixed guideway systems;
  18. “Elevator mechanic” means any person who:
    1. Possesses an elevator mechanic license issued by the department;
    2. Is employed by an elevator contractor; and
    3. Is engaged in erecting, constructing, installing, altering, servicing, repairing, or maintaining elevators or fixed guideway systems;
  19. “Elevator helper” or “elevator apprentice” means any person who works under the general supervision of a licensed elevator mechanic. An elevator helper or elevator apprentice is not subject to licensure;
  20. “Commissioner” means the commissioner of the Department of Housing, Buildings and Construction;
  21. “Direct and immediate supervision” means that the licensed supervising authority is on site. The supervisor is not required to have actual or direct sight of the person being directly supervised;
  22. “General supervision” means that the supervising authority oversees the work performed overall but is not required to be on-site at all times during work relating to elevators or fixed guideway systems;
  23. “Accessibility and residential elevator mechanic” means any person who:
    1. Possesses an accessibility and residential elevator mechanic license issued by the department;
    2. Is employed by an elevator contractor; and
    3. Is engaged in erecting, constructing, installing, altering, servicing, repairing, or maintaining accessibility lifts and private residential elevators;
  24. “Accessibility lift” means a hoisting and lowering mechanism, that moves within a guide system, serving two (2) or more landings, for the purpose of transporting a person; and
  25. “Private residential elevator” means a passenger elevator installed within a structure subject to the Kentucky Residential Code as established in 815 KAR 7:125, but shall not be shared by units if installed in a multifamily dwelling.

HISTORY: Enact. Acts 1974, ch. 239, § 1; 1976, ch. 232, § 3; 1976, ch. 299, § 77; 1980, ch. 295, § 85, effective July 15, 1980; 2006, ch. 157, § 1, effective July 12, 2006; 2010, ch. 24, § 261, effective July 15, 2010; 2010, ch. 116, § 19, effective July 1, 2011; 2013, ch. 31, § 1, effective June 25, 2013; 2017 ch. 169, § 17, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.510 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). 2010 Ky. Acts ch. 116, sec. 39, provides that “KRS 198B.400 to 198B.540 shall be known and may be cited as the Kentucky Elevator Safety Act.”

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as amended by 2010 Ky. Acts ch. 116, sec. 19, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

Opinions of Attorney General.

Since the 1976 amendment of this section retained the original definition of “elevator” and amended KRS 336.590 (now KRS 198B.460 ) only by substituting “department” for “Division of Elevator Inspection” it was the legislature’s intent to continue to require the registration of all elevators as defined in subdivision (1) of this section and not just passenger elevators. OAG 76-389 .

Since the 1976 amendment of this section retained the original definition of “elevator” and because the term “elevator” is defined as “passenger elevator”, KRS 336.650 (now KRS 198B.520 ) still applies to all elevators as defined by subsection (1) of this section and the owners of such must comply with KRS 336.650 (now KRS 198B.520 ). OAG 76-389 .

Licensure of Elevator Contractors and Mechanics

198B.4003. Elevator or fixed guideway system work requiring licensed elevator mechanic and supervising general contractor — Exceptions.

  1. Only a licensed elevator mechanic working under the general supervision of an elevator contractor may:
    1. Erect, construct, alter, replace, maintain, remove, or dismantle any elevator or fixed guideway system contained within buildings or structures; or
    2. Wire any elevator or fixed guideway system from the mainline feeder terminals on the controller.
  2. A licensed elevator contractor shall not be required for removing or dismantling elevators or fixed guideway systems:
    1. That are destroyed as a result of a complete demolition of a secured building or structure; or
    2. Where the hoistway or wellway is demolished back to the basic support structure and does not allow access that could endanger the safety and welfare of a person.

HISTORY: Enact. Acts 2010, ch. 116, § 1, effective July 1, 2011; 2017 ch. 169, § 18, effective June 29, 2017.

198B.4005. Elevator Advisory Committee — Members — Terms — Vacancies — Removal — Review of administrative regulations — Voting. [Repealed]

History. Enact. Acts 2010, ch. 116, § 2, effective July 1, 2011; 2011, ch. 100, § 14, effective June 8, 2011; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 2010, ch. 116, § 2, effective July 1, 2011), was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

198B.4007. Committee to meet at least quarterly — Special meetings. [Repealed]

History. Enact. Acts 2010, ch. 116, § 3, effective July 1, 2011; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 2010, ch. 116, § 3, effective July 1, 2011), was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

198B.4009. License required to work as elevator contractor or mechanic — Exemption for helper or apprentice — Applicability to public universities — Administrative regulations.

  1. A person shall not work as an elevator contractor or elevator mechanic unless licensed by the department. A person may work as an elevator helper or apprentice without a license while under the general supervision of a licensed elevator mechanic.
  2. A person who is a regular and bona fide full-time employee of a public university and who performs only routine maintenance on elevators for the public university shall be licensed as an elevator mechanic. The public university shall not be required to become licensed as an elevator contractor to employ a licensed elevator mechanic performing elevator maintenance for the public university under this subsection. An elevator mechanic who qualifies under this subsection shall only be authorized to conduct routine maintenance on any elevators for the public university, and shall be prohibited from performing any of the other activities authorized by KRS 198B.4003(1).
  3. The department, with input and comments from the committee if required by KRS 198B.030(8), may promulgate administrative regulations necessary to implement KRS 198B.400 to 198B.540 .

HISTORY: Enact. Acts 2010, ch. 116, § 4, effective July 1, 2011; 2017 ch. 169, § 19, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 4, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4011. Application for licensure as elevator contractor — Contents — Eligibility requirements.

  1. An application for licensure as an elevator contractor shall contain the following:
    1. For an applicant who is a person or sole proprietor:
      1. Name;
      2. Residence; and
      3. Business address of the applicant;
    2. For an applicant that is a partnership:
      1. Names of the partners;
      2. Residential addresses of the partners; and
      3. Business address of the partnership;
    3. For an applicant that is a domestic corporation:
      1. Name of the principal corporate officer;
      2. Residential address of the principal corporate officer; and
      3. Business address of the corporation;
    4. For an applicant that is a corporation other than a domestic corporation:
      1. Name of the corporation’s agent who is authorized to accept service of process and official notices on behalf of the corporation in the state; and
      2. Physical address of the corporation’s authorized agent;
    5. The number of years the applicant has engaged in the business of installing, maintaining, or servicing elevators or fixed guideway systems;
    6. The approximate number of persons, if any, to be employed by the elevator contractor applicant;
    7. Proof that he or she has complied with workers’ compensation and unemployment insurance laws;
    8. Evidence that the applicant is covered by general liability, personal injury, and property damage insurance;
    9. Criminal record of convictions, if any, as verified through a criminal background check conducted by the Department of Kentucky State Police. The cost of the background check shall be paid by the applicant; and
    10. Upon request by the department, supplemental documentation of information required by this section.
  2. An applicant for an elevator contractor license shall:
    1. Employ at least one (1) licensed elevator mechanic who performs the work described in KRS 198B.4003 ; and
    2. Have proof of compliance with insurance requirements of KRS 198B.4027 .

History. Enact. Acts 2010, ch. 116, § 5, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). A reference to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 5, has been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4013. Application for licensure as elevator mechanic — Contents — Eligibility requirements.

  1. An application for licensure as an elevator mechanic shall contain the following:
    1. Name;
    2. Residential address;
    3. Name and address of the applicant’s employer, if employed;
    4. The number of years the applicant has engaged in the business of installing, maintaining, or servicing elevators or fixed guideway systems;
    5. The types of elevators or fixed guideway systems the applicant installed, maintained, or serviced during the applicant’s years of experience;
    6. Identification of the type of license, whether an elevator mechanic license or an accessibility and residential elevator mechanic license, sought by the applicant; and
    7. Upon request by the department, supplemental documentation of information required by this section.
  2. An applicant for an elevator mechanic license or an accessibility and residential elevator mechanic license shall demonstrate one (1) or more of the following to be eligible for licensure:
      1. Proof the applicant for an elevator mechanic license has not less than thirty-six (36) months of work experience in the elevator industry, in construction, maintenance, service, repair, or any combination of these activities as verified by current and previous employers, or equivalent experience while serving in the United States military services; and (a) 1. Proof the applicant for an elevator mechanic license has not less than thirty-six (36) months of work experience in the elevator industry, in construction, maintenance, service, repair, or any combination of these activities as verified by current and previous employers, or equivalent experience while serving in the United States military services; and
      2. Passage of a written, oral, or computerized examination administered by the department or the department’s designee based upon the most recent referenced codes and standards for full licensure;
      1. Proof the applicant for an accessibility and residential elevator mechanic license has not less than twelve (12) months of work experience in the elevator industry, in construction, maintenance, service, repair, or any combination of the activities verified by current and previous employers, or equivalent experience while serving in the United States military services; and (b) 1. Proof the applicant for an accessibility and residential elevator mechanic license has not less than twelve (12) months of work experience in the elevator industry, in construction, maintenance, service, repair, or any combination of the activities verified by current and previous employers, or equivalent experience while serving in the United States military services; and
      2. Passage of a written, oral, or computerized examination administered by the department or the department’s designee based upon the most recent referenced codes and standards for the accessibility and residential elevator mechanic license the applicant seeks;
    1. Proof the applicant has worked without direct and immediate supervision as an elevator constructor, maintenance, or repair person for not less than three (3) years immediately prior to July 1, 2011;
    2. Certificate of completion from a nationally recognized training program for the elevator industry such as the National Elevator Industry Educational Program, National Association of Elevator Contractors, or an equivalent program approved by the commissioner for elevator mechanic licensure;
    3. For accessibility and residential elevator mechanic licensure, a certificate of completion from a nationally recognized training program specifically designed for the accessibility and private residence lift, such as the National Association of Elevator Contractors, or an equivalent program approved by the commissioner; or
      1. Certificate of completion of an apprenticeship program for elevator mechanics, having standards substantially equal to those of KRS 198B.400 to 198B.540 ; and (f) 1. Certificate of completion of an apprenticeship program for elevator mechanics, having standards substantially equal to those of KRS 198B.400 to 198B.540 ; and
      2. Proof of registration with the Bureau of Apprenticeship and Training, United States Department of Labor, or a state apprenticeship council.

History. Enact. Acts 2010, ch. 116, § 6, effective July 1, 2011; 2013, ch. 31, § 2, effective June 25, 2013.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 6, have been changed in codification to the “department” of housing, buildings and construction and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4015. Qualifications for licensure prior to July 1, 2012.

  1. An applicant for licensure as an elevator contractor under KRS 198B.4011 or as an elevator mechanic under KRS 198B.4013 who applies to the department prior to July 1, 2012, shall be licensed by the department without completing the licensure requirements as established in KRS 198B.400 to 198B.540 , if the applicant is currently licensed, certified, or registered as an elevator contractor or elevator mechanic in another state whose standards are substantially equal to those in KRS 198B.400 to 198B.540 .
  2. Prior to July 1, 2012, an applicant who does not qualify for licensure under KRS 198B.4011 or 198B.4013 or subsection (1) of this section shall qualify for licensure by showing a minimum of three (3) years of verifiable experience engaging in business as an elevator contractor or elevator mechanic in this state.
  3. After July 1, 2012, licensure under this section shall cease.

History. Enact. Acts 2010, ch. 116, § 7, effective July 1, 2011.

Legislative Research Commission Notes.

(7/12/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 7, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4017. Reciprocity — Terms and conditions.

Any person, sole proprietor, partnership, or corporation holding a valid elevator or fixed guideway system license from a state that has licensing, educational, and experience requirements substantially equal to or greater than those of KRS 198B.400 to 198B.540 , and which grants licensing privileges to persons licensed in this state, may be issued an equivalent license in this state upon terms and conditions determined by the department. The terms and conditions shall be promulgated as an administrative regulation by the department.

History. Enact. Acts 2010, ch. 116, § 8, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. ch. 116, sec. 8, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

(7/1/2011). The Reviser of Statutes has corrected a manifest clerical or typographical error by inserting “system” after “guideway” in the first sentence of this section.

198B.4019. Emergency elevator mechanic license — Proof of competency — Time and geographic limitations — Renewal.

  1. The department shall issue emergency elevator mechanic licenses whenever an emergency is declared by the Governor due to disaster, act of God, or work stoppage, and the number of persons in the state holding licenses granted by the department is determined by the commissioner to be insufficient to cope with the emergency.
  2. Elevator contractors shall respond as necessary to ensure the safety of the public.
  3. Any person confirmed by a licensed elevator contractor to have a combination of documented experience and education to perform elevator work without direct and immediate supervision shall seek an emergency elevator mechanic’s license from the department within five (5) business days after commencing work under this emergency provision if the work requires a license under ordinary circumstances. The elevator contractor employing the elevator mechanic shall furnish proof of competency as required by the department.
  4. Each emergency elevator mechanic license shall be valid for a period of forty-five (45) days from the date of issuance and for the particular elevators or geographical areas designated by the department, and otherwise shall entitle the licensee to the rights and privileges of an elevator mechanic licensed under KRS 198B.400 to 198B.540 .
  5. The department may renew an emergency elevator mechanic license during the existence of a continuing emergency.

History. Enact. Acts 2010, ch. 116, § 9, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 9, have been changed in codification to the “department” of housing, buildings and construction and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4021. Temporary elevator mechanic license — Proof of competency — License valid for one year — Renewal.

  1. An elevator contractor shall notify the department when the contractor has no licensed personnel available to perform elevator work. The elevator contractor may request that the department issue temporary elevator mechanic licenses to persons confirmed by the licensed elevator contractor to have a combination of documented experience and education to perform elevator work without direct and immediate supervision.
  2. Any person confirmed by an elevator contractor to have a combination of documented experience and education to perform elevator work without direct and immediate supervision shall immediately seek a temporary elevator mechanic license from the department.
  3. Each temporary license shall be valid for a period of one (1) year and only while the licensee is employed by the licensed elevator contractor that confirmed the individual as qualified.
  4. The temporary license shall be renewable for additional terms of one (1) year each until there is no shortage of ordinary license holders.

History. Enact. Acts 2010, ch. 116, § 10, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. ch. 116, sec. 10, have been changed in codification to the “department” of housing, building and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4023. Renewal, expiration, termination, and reinstatement of license issued under KRS 198B.400 to 198B.540 — Inactive license.

  1. A person licensed under KRS 198B.400 to 198B.540 shall annually, on or before the last day of the licensee’s birth month, renew his or her license.
  2. A sixty (60) day grace period shall be allowed after the anniversary date of the license, during which time a licensee may continue to practice and may renew his or her license upon meeting the requirements promulgated through administrative regulations by the department.
  3. A license not renewed before the end of the sixty (60) day grace period shall terminate based on the failure of the licensee to renew in a timely manner. Upon termination of a license, the licensee shall be ineligible to practice in the Commonwealth.
  4. After the sixty (60) day grace period, a former licensee with a terminated license may have the license reinstated upon meeting the requirements promulgated through administrative regulations by the department. An applicant for reinstatement after termination of the license shall not be required to submit to any examination as a condition for reinstatement, if the reinstatement application is made within three (3) years from the date of termination.
  5. A suspended license shall be subject to expiration and termination and shall be renewed as provided in this section. Renewal shall not entitle the licensee to engage in the practice until the suspension has ended or is otherwise removed by the department and the right to practice is restored by the department.
  6. A revoked license shall be subject to reinstatement, expiration, or termination but shall not be renewed.
  7. An applicant for renewal or reinstatement of a license shall show evidence of completing at least eight (8) hours of continuing education provided by the National Elevator Industry Educational Program, National Association of Elevator Contractors, or another provider approved by the department. The department shall promulgate administrative regulations establishing the permissible content of continuing education programs and the qualifications of the providers.
  8. When applicable, an applicant for renewal or reinstatement of an elevator contractor license shall submit proof that the applicant has complied with workers’ compensation and unemployment insurance laws and administrative regulations and has obtained general liability coverage of at least one million dollars ($1,000,000) for injury or death of any number of persons in any one (1) occurrence, with coverage of at least five hundred thousand dollars ($500,000) for property damage in any one (1) occurrence.
  9. The department may, through the promulgation of administrative regulations:
    1. Establish an inactive license for licensees who are not actively engaging in the elevator or fixed guideway system business, but who wish to maintain their license;
    2. Determine continuing education requirements for reactivation;
    3. Waive the insurance requirements established in subsection (8) of this section for inactive licensees; and
    4. Establish reactivation procedures.

HISTORY: Enact. Acts 2010, ch. 116, § 11, effective July 1, 2011; 2017 ch. 169, § 20, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 11, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4025. Continuing education requirements — Waiver — Revocation of program approval if continuing education records falsified.

  1. An applicant for the renewal of an elevator contractor license or elevator mechanic license shall submit a certificate of completion from a continuing education course or courses that instruct licensees on new and existing applicable administrative regulations of the department.
  2. Licensed elevator contractors and licensed elevator mechanics shall complete at least eight (8) hours of continuing education annually. Continuing education for a renewal year shall be attended and completed during that renewal year.
  3. Continuing education courses shall be taught by instructors employed by continuing education providers that may include but shall not be limited to association seminars and labor training programs. Continuing education programs provided by the National Elevator Industry Educational Program or the National Association of Elevator Contractors shall be approved to meet the requirements for continuing education. The department may approve other education programs that meet its requirements established through administrative regulation under KRS 198B.4023(7).
  4. A licensee who is unable to complete the continuing education requirements for renewal under this section prior to the expiration of his or her license due to temporary disability may apply for a waiver from the department. The waiver shall be on a form provided by the department, with a notarized signature of the licensee, and accompanied by a certified statement from a physician attesting to the temporary disability. Application for medical waiver shall be received by the department prior to the final day of the licensee’s birth month. Upon termination of the temporary disability, the licensee shall submit a supplementary certified statement attesting to the termination of the temporary disability and proof of attendance of at least eight (8) hours of continuing education.
  5. Falsifying or knowingly allowing another to falsify continuing education attendance records or certificates of completion shall constitute grounds for revocation of program approval required under this section.

HISTORY: Enact. Acts 2010, ch. 116, § 12, effective July 1, 2011; 2017 ch. 169, § 21, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 12, have been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4027. Proof of insurance — Minimum coverage.

Elevator contractors shall submit proof of insurance to the department for an insurance policy issued by an insurance company or other legal entity permitted to transact insurance business in Kentucky, providing:

  1. General liability coverage of at least one million dollars ($1,000,000) for injury or death of any number of persons in any one (1) occurrence;
  2. Coverage of at least five hundred thousand dollars ($500,000) for property damage in any one (1) occurrence; and
  3. Statutory workers’ compensation insurance coverage.

History. Enact. Acts 2010, ch. 116, § 13, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). A reference to the “office” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 13, has been changed in codification to the “department” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24. sec. 1938.

198B.4029. Construction of KRS 198B.400 to 198B.540.

The provisions of KRS 198B.400 to 198B.540 shall not be construed to relieve or lessen the responsibility or liability of any person, partnership, or corporation owning, operating, controlling, maintaining, erecting, constructing, installing, altering, inspecting, testing, or repairing any elevator, fixed guideway system, or other related mechanisms for damages to person or property caused by any specifically related defect.

History. Enact. Acts 2010, ch. 116, § 14, effective July 1, 2011.

198B.4031. Disciplinary hearings — Summary suspension — Elevator or fixed guideway system work by unlicensed individual — Cease-and-desist order.

  1. The department shall conduct disciplinary hearings in accordance with KRS Chapter 13B.
  2. The commissioner may summarily suspend a license for up to ninety (90) days before a final adjudication or during an appeal of the commissioner’s determination if he or she believes that allowing the licensee to keep an active license would represent a clear and immediate danger to the public’s health, safety, or property if the licensee is allowed to continue working.
  3. The commissioner shall issue a letter to cease and desist with notice of opportunity to be heard in accordance with a KRS Chapter 13B hearing, to any individual if the commissioner determines that:
    1. An individual is not licensed under the provisions of this chapter; and
    2. The individual is engaged in, or believed to be engaged in, activities for which an elevator contractor’s or elevator mechanic’s license is required under KRS 198B.400 to 198B.540 .
  4. After completion of the KRS Chapter 13B hearing, if it is determined that the individual’s activities are subject to licensure under KRS 198B.400 to 198B.540 , the commissioner shall issue a cease-and-desist order that identifies the individual and specifically states the activities that are subject to the order.
  5. A cease-and-desist order issued under this section shall be enforceable in the Circuit Court of the county of the licensee’s place of business in accordance with KRS Chapter 13B.

History. Enact. Acts 2010, ch. 116, § 15, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “office” of housing, buildings and construction and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 15, have been changed in codification to the “department” of housing, buildings and construction and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4033. Suspension, revocation, or nonrenewal of license — Grounds — Hearing — Appeal.

  1. Subject to a hearing conducted in accordance with KRS Chapter 13B, the commissioner may suspend, revoke, or refuse to renew the license of an elevator contractor or elevator mechanic for any of the following actions by the licensee:
    1. Use of false evidence or misrepresentation in an application for an elevator contractor’s or elevator mechanic’s license;
    2. Attempting to transfer authority granted to the licensed contractor or mechanic to another individual;
    3. Incompetency or negligence relating to elevator service, installation, repair, or maintenance as determined by the commissioner;
    4. Conviction of a felony after July 1, 2011;
    5. Fraudulent or dishonest practices while engaging in the business of elevator service, installation, repair, or maintenance;
    6. Aiding or abetting any person attempting to evade the provisions of KRS 198B.400 to 198B.540 ; or
    7. Violating any provision of KRS 198B.400 to 198B.540 or the administrative regulations promulgated under KRS 198B.400 to 198B.540.
  2. Subject to a hearing in accordance with KRS Chapter 13B, the commissioner shall revoke the license of an elevator contractor or elevator mechanic who continues to work as if holding a valid license during a suspension imposed by the commissioner.
  3. Any licensee who is aggrieved by a final order of the commissioner, resulting in the suspension, refusal to renew, or revocation of his or her license may appeal to the Circuit Court of the county of the licensee’s place of business in accordance with KRS Chapter 13B.
  4. Any reason for licensee discipline under subsection (1) of this section may also serve as the reason to deny an initial application for licensure as an elevator contractor or elevator mechanic.

History. Enact. Acts 2010, ch. 116, § 16, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 16, have been changed in codification to the “commissioner” of housing, buildings and construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.4035. Reapplication after revocation of license.

If the license of an elevator contractor or elevator mechanic is revoked for any reason, the former licensee may, at the conclusion of the revocation period, reapply for his or her license.

History. Enact. Acts 2010, ch. 116, § 17, effective July 1, 2011.

198B.4037. Elevator safety program trust fund.

  1. The elevator safety program trust fund is created in the State Treasury as a separate revolving fund to be administered by the department. The trust fund shall consist of amounts deposited in the fund as provided in KRS 198B.530 and any other proceeds from grants, contributions, appropriations, or other money made available for the purposes of the trust fund.
  2. Notwithstanding KRS 45.229 , any moneys remaining in the fund at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year to be used for the purposes set forth in this section.
  3. Any interest earnings of the trust fund shall become a part of the trust fund and shall not lapse.
  4. Trust fund moneys shall be used and are hereby appropriated for reasonable administrative expenses associated with the elevator safety.

HISTORY: Enact. Acts 2010, ch. 116, § 18, effective July 1, 2011; 2017 ch. 169, § 22, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). A reference to the “Office of Housing, Buildings and Construction” in this section, as created by 2010 Ky. Acts ch. 116, sec. 18, has been changed in codification to the “Department of Housing, Buildings and Construction” to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, H, 3 at 941.

198B.410. Inspectors — Certificates of competency — Application — Examination — Issuance — Reexamination.

  1. A person shall not act either as a general inspector or as a special inspector of elevators or fixed guideway systems unless he or she holds a certificate of competency from the department.
  2. Application for examination as an inspector of elevators shall be in writing, accompanied by a fee of ten dollars ($10), upon a form furnished by the department, stating the school education of the applicant, a list of his or her employers, his or her period of employment, and the position held with each. An applicant shall also submit a letter from one (1) or more of his or her previous employers attesting to his or her character and experience.
  3. Applications that contain any willful falsification or untruthful statements shall be rejected. The applicant, if the department deems his or her history and experience sufficient, shall be tested by means of a written examination dealing with the construction, installation, operation, maintenance, and repair of elevators, fixed guideway systems, and their appurtenances. The applicant shall be accepted or rejected on the merits of his or her application and examination.
  4. The department shall promulgate administrative regulations establishing the training and certification requirements for inspectors of fixed guideway systems.
  5. The department shall issue a certificate of competency in the inspection of elevators to any applicant found competent upon examination. A rejected applicant shall be entitled, after the expiration of ninety (90) days, and upon payment of an examination fee of ten dollars ($10), to another examination. If an applicant fails to pass the prescribed examination on a second attempt, he or she shall not be permitted to apply for another examination for a period of one (1) year after the second failure.

HISTORY: Enact. Acts 1974, ch. 239, § 2; 1980, ch. 295, § 86, effective July 15, 1980; 2006, ch. 157, § 2, effective July 12, 2006; 2010, ch. 24, § 262, effective July 15, 2010; 2010, ch. 116, § 20, effective July 1, 2011; 2017 ch. 169, § 23, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.520 and was renumbered in 1982 as this section by the Reviser of Statutes.

198B.420. State Elevator and Fixed Guideway System Inspection Program — Qualifications of director — Appointment of general inspectors — Investigation of alleged violations of KRS 198B.400 to 198B.540.

  1. The department shall administer all aspects of the State Elevator and Fixed Guideway System Inspection Program.
  2. The program shall be directed by a person with at least five (5) years’ experience in the inspection or construction, installation, maintenance, and repair of elevators, fixed guideway systems, and their appurtenances.
  3. The commissioner may appoint and hire, from the holders of certificates of competency, general inspectors of elevators.
  4. Any person may request an investigation into an alleged violation of KRS 198B.400 to 198B.540 by giving notice to the department of the violation or danger. This notice shall be:
    1. In writing;
    2. Set forth with particularity regarding the grounds for the notice; and
    3. Signed by the person making the request.
  5. If, upon receipt of the request for investigation, the department determines that there is evidence that a violation or danger exists, the department shall conduct an investigation in accordance with KRS 198B.400 to 198B.540 as soon as practicable. If the department finds no grounds to substantiate that a violation or danger exists, the department shall notify the requesting party in writing of the findings within fourteen (14) calendar days of the determination.

HISTORY: Enact. Acts 1974, ch. 239, § 3; 1976, ch. 299, § 78; 1980, ch. 295, § 87, effective July 15, 1980; 1984, ch. 143, § 1, effective July 13, 1984; 1990, ch. 72, § 1, effective July 13, 1990; 2006, ch. 157, § 3, effective July 12, 2006; 2010, ch. 24, § 263, effective July 15, 2010; 2010, ch. 116, § 21, effective July 1, 2011; 2017 ch. 169, § 24, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.530 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office” of Housing, Buildings and Construction in this section, as amended by 2010 Ky. Acts ch. 116, sec. 21, have been changed in codification to the “Department” of Housing, Buildings and Construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.430. Employment of special inspectors.

From the holders of certificates of competency in the inspection of elevators, any company which is authorized to insure elevators in the state may designate persons to inspect elevators covered by that company’s policies, and the municipal government of any city may designate persons to inspect elevators in that city.

HISTORY: Enact. Acts 1974, ch. 239, § 4; 2017 ch. 169, § 25, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.540 and was renumbered in 1982 as this section by the Reviser of Statutes.

198B.440. Suspension or revocation of certificates.

A certificate to serve as an inspector issued under KRS 198B.410 may be suspended or revoked by the department for the incompetence or untrustworthiness of the holder thereof, or for the falsification of any matter or statement contained in his or her application or in a report of any inspection.

History. Enact. Acts 1974, ch. 239, § 5; 1976, ch. 299, § 79; 2006, ch. 157, § 4, effective July 12, 2006; 2010, ch. 24, § 264, effective July 15, 2010.

Compiler’s Notes.

This section was formerly compiled as KRS 336.550 and was renumbered in 1982 as this section by the Reviser of Statutes.

198B.450. Lost or destroyed certificates.

If a certificate issued under KRS 198B.410 is lost or destroyed, a new one shall be issued in its place by the department without another examination, upon the payment of a fee of one dollar ($1).

History. Enact. Acts 1974, ch. 239, § 6; 1980, ch. 295, § 88, effective July 15, 1980; 2010, ch. 24, § 265, effective July 15, 2010; 2010, ch. 116, § 22, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.560 .

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

198B.460. Registration of elevators and fixed guideway systems — Time of registration.

  1. The owner or user of any elevator or fixed guideway system shall register with the department every elevator or fixed guideway system operated by him or her, giving the type, capacity, description, name of manufacturer, and purpose for which each is used. The registration shall be made on a form to be furnished by the department.
  2. If the department has the information required by subsection (1) of this section in its possession, the owner or lessee shall not be required to duplicate the information. Elevators and fixed guideway systems for which construction has begun after July 1, 2011, shall be registered at the time they are completed and placed in service.

History. Enact. Acts 1974, ch. 239, § 9; 1976, ch. 299, § 80; 2006, ch. 157, § 5, effective July 12, 2006; 2010, ch. 24, § 266, effective July 15, 2010; 2010, ch. 116, § 23, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.590 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

(7/1/2011). A reference to the “Office” of Housing, Buildings and Construction in this section, as amended by 2010 Ky. Acts ch. 116, sec. 23, has been changed in codification to the “Department” of Housing, Buildings and Construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. This change was made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

Opinions of Attorney General.

Since the 1976 amendment of KRS 336.510 (now KRS 198B.400 ) retained the original definition of “elevator” and amended this section only by substituting “department” for “division of elevator inspection” it was the legislature’s intent to continue to require the registration of all elevators as defined in KRS 336.510 (1) (now KRS 198B.400 (1)) and not just passenger elevators. OAG 76-389 .

198B.470. Annual inspection — Exemptions.

  1. Except as indicated under subsection (2) of this section, every passenger elevator, freight elevator, moving sidewalk, fixed guideway system, and escalator shall be inspected once every twelve (12) months.
  2. The following shall be exempt from the annual inspection requirements of subsection (1) of this section:
    1. Material lifts;
    2. Grain elevators;
    3. Mine elevators;
    4. Stage elevators;
    5. Orchestra elevators;
    6. Organ console elevators;
    7. Elevators and lifting devices solely in residential buildings used by the occupants of a dwelling unit, except where the lifting device is used or accessible by the occupants of more than one (1) dwelling unit;
    8. Freight elevators on the licensed premises of a distillery licensed under KRS 243.030(1);
    9. Non-federally regulated, funicular fixed guideway systems; and
    10. Passenger elevators, freight elevators, moving sidewalks, fixed guideway systems, and escalators installed in federal properties and projects.

History. Enact. Acts 1974, ch. 239, § 10; 1976, ch. 232, § 4; 2006, ch. 157, § 6, effective July 12, 2006; 2010, ch. 116, § 24, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.600 and was renumbered in 1982 as this section by the Reviser of Statutes.

Opinions of Attorney General.

Since the 1976 amendment of this section, yearly inspection is required only of passenger elevators and while other types of elevators may be inspected they do not require such inspection with any statutorily required frequency. OAG 76-389 .

198B.480. Report of inspection — Hearing on construction plans and specifications — Findings and orders of department.

  1. Every inspector shall forward to the department a full report of each inspection made of any passenger elevator or fixed guideway system, showing the exact condition of the elevator or fixed guideway system, and the inspector shall leave a copy of the report at the elevator or fixed guideway system on the day the inspection is completed.
  2. If any passenger elevator or fixed guideway system requires certain changes or repairs to make it reasonably safe to operate, recommendations shall be made by the inspector upon his or her report and a copy of the report as approved by the department shall be given to the owner or operator of the elevator or fixed guideway system, and, unless appealed, upon compliance with the report and upon the payment of the fees required by law, the department shall issue a certificate of operation for a capacity not to exceed that named in the report of inspection . This certificate shall be valid for one (1) year after the date of inspection.
  3. If construction plans or an application of specifications is not approved, the department shall state in writing the necessary changes to obtain approval and the owner or operator shall be given a copy of the necessary changes, and, unless appealed, upon compliance by the owner or operator, the department shall approve the plans or specifications and issue a permit for construction.
  4. Any owner or operator, within twenty (20) days from receipt of the copy of the report or statement of changes in plans or specifications, may make written application to the department upon forms to be furnished by the department for a hearing on the report or the statement regarding changes in plans or specifications as to whether the elevator or fixed guideway system in question is reasonably safe, or whether the elevator or fixed guideway system, if constructed in accordance with the plans and specifications, would be reasonably safe. The department shall promptly consider the application and schedule a hearing to be conducted consistent with the provisions of this section and KRS Chapter 13B.
  5. If it appears from the evidence presented at the hearing that the elevator or fixed guideway system will be reasonably safe to operate without those changes or repairs shown in the report or by making only a part or all of the changes, or if none or only a part of all the changes in the plans or specifications are found necessary to make the elevator reasonably safe, the department shall issue its final order accordingly. If the final order requires changes or repairs to be made in the elevator or fixed guideway system or changes in the plans or specifications of either, the department shall, upon the payment of the required fees, issue a certificate of operation when the order has been executed or issue its approval of the plans or specifications. If the final order of the department has been affirmed or modified by appeal on the grounds of reasonable safety considered by the department, then the department shall, upon compliance with the final order and the payment of required fees, issue the certificate of operation or issue its approval of the plans and specifications; but, if the order of the department has been vacated, the certificate of operation, upon the payment of fees or approval of plans and specifications, shall be issued immediately. No elevator or fixed guideway system shall be operated after being inspected without bearing a conspicuously posted certificate of operation, except pending a hearing on the issuance of the certificate.

History. Enact. Acts 1974, ch. 239, § 11; 1976, ch. 232, § 5; 1976, ch. 299, § 81; 1996, ch. 318, § 85, effective July 15, 1996; 2006, ch. 157, § 7, effective July 12, 2006; 2010, ch. 24, § 267, effective July 15, 2010; 2010, ch. 116, § 25, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.610 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

Opinions of Attorney General.

Although a city may use its own elevator inspectors who have been certified by the Department of Labor (now Labor Cabinet), only that department is authorized to issue a certificate of operation. OAG 77-612 .

198B.490. Administrative regulations — Review of standards — Consistency with building code.

  1. The department shall make, alter, amend, or repeal rules and administrative regulations exclusively for the safety and inspection of passenger elevators and fixed guideway systems. The department shall have the authority to prescribe, by administrative regulation, a reasonable fee to be charged for each inspection. All fees established and regulated by this section shall be paid to the department, made payable to the Kentucky State Treasurer, except as may be provided in a specific written agreement between the commissioner and any agency authorized to inspect elevators or fixed guideway systems by this chapter.
  2. The department shall consult with engineering authorities and organizations concerned with standard safety codes, rules, and administrative regulations governing the operation, maintenance, servicing, construction, alteration, installation, and inspection of elevators and fixed guideway systems, and the qualifications that are necessary for an elevator mechanic, contractor, and inspector.
  3. The department shall promulgate administrative regulations establishing the approved equipment regulated by KRS 198B.400 to 198B.540 . These administrative regulations shall include the following, except as modified under subsection (4) of this section:
    1. Safety Code for Elevators and Escalators, ASME A17.1/CSA B44;
    2. Safety Code for Existing Elevators and Escalators, ASME A17.3;
    3. Performance-Based Safety Code for Elevators and Escalators, ASME 17.7/CSA B44.7;
    4. Safety Standards for Platform Lifts and Stairway Chairlifts, ASME A18.1;
    5. Standard for the Qualification of Elevator Inspectors, ASME OEI-1; and
    6. Automated People Mover Standards, ASCE 21.
  4. The department and the committee shall review the latest editions of any standard listed in subsection (3) of this section within twelve (12) months of that standard’s effective date. Upon completion of reviews, the committee shall give the department its recommendations, after which the department may adopt or modify the standard.
  5. All administrative regulations issued by the department relating to KRS 198B.400 to 198B.540 shall be consistent with the standards of safety as established in 815 KAR 10:060 and the Uniform State Building Code established in KRS 198B.050 .

HISTORY: Enact. Acts 1974, ch. 239, § 12; 1976, ch. 232, § 2; 1978, ch. 123, § 5, effective June 17, 1978; 1980, ch. 295, § 89, effective July 15, 1980; 2006, ch. 157, § 8, effective July 12, 2006; 2010, ch. 24, § 268, effective July 15, 2010; 2010, ch. 116, § 26, effective July 1, 2011; 2017 ch. 169, § 26, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.620 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 116, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(7/1/2011). References to the “Office” of Housing, Buildings and Construction in this section, as amended by 2010 Ky. Acts ch. 116, sec. 26, have been changed in codification to the “Department” of Housing, Buildings and Construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.500. Safety equipment.

Every passenger elevator or fixed guideway system shall be equipped, maintained, and operated, with respect to the supporting members, elevator or fixed guideway system car, shaftways, guides, cables, doors, and gates, safety stops and mechanism, electrical apparatus and wiring, mechanical apparatus, counterweights, and all other appurtenances, in accordance with the regulations as are authorized in respect thereto. Where reasonable safety is obtained without complying to the literal requirements of the regulations, as in cases of practical difficulty or unnecessary hardship, the literal requirements of the regulations shall not be required.

History. Enact. Acts 1974, ch. 239, § 13; 1976, ch. 232, § 6; 2006, ch. 157, § 9, effective July 12, 2006.

Compiler’s Notes.

This section was formerly compiled as KRS 336.630 and was renumbered in 1982 as this section by the Reviser of Statutes.

198B.510. Certificates of operation — Renewal — Elevator or fixed guideway system installations — Certification of compliance — State inspectors.

  1. No certificate of operation for any passenger elevator or fixed guideway system shall be issued until the elevator or fixed guideway system has been inspected and the inspection report filed with the department. The certificate of operation, when issued, shall bear the date of inspection, and shall be renewed as of the date of the subsequent inspection, provided the inspection is made at least one (1) year after the issuance of this certificate. If the inspection is made during the year the certificate is in force, the renewal date shall be one (1) year from the date of the certificate being renewed and the renewal certificate shall show the date of inspection.
  2. All new elevator or fixed guideway system installations shall be performed by a licensed elevator contractor. Subsequent to installation, the elevator contractor shall certify compliance with the applicable sections of KRS 198B.400 to 198B.540 . The licensed elevator contractor shall complete and submit the initial registration for each new installation.
    1. A state inspector shall inspect, in accordance with KRS 198B.400 to 198B.540 , all newly installed elevators, platform lifts, and stairway chairlifts in private residences. (3) (a) A state inspector shall inspect, in accordance with KRS 198B.400 to 198B.540 , all newly installed elevators, platform lifts, and stairway chairlifts in private residences.
    2. A state inspector may inspect, in accordance with KRS 198B.400 to 198B.540, any existing installed elevators, platform lifts, and stairway chairlifts in private residences at the request of the owner of the private residence.

History. Enact. Acts 1974, ch. 239, § 14; 1976, ch. 232, § 7; 1976, ch. 299, § 82; 2006, ch. 157, § 10, effective July 12, 2006; 2010, ch. 24, § 269, effective July 15, 2010; 2010, ch. 116, § 27, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.640 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

198B.520. Permits for erection or repairs — Revocation or expiration of permit — Extension for good cause.

  1. Before any new installation of an elevator or fixed guideway system of permanent nature shall be erected or before any existing elevator is removed to a different location, an application of specifications in duplicate shall be submitted to the department giving such information concerning the construction, installation, and operation of the elevator or fixed guideway system as the department may require on forms to be furnished by the department, together with complete construction plans in duplicate. In all cases where any changes or repairs are made which alter its construction or classification, grade, or rated lifting capacity, except when made pursuant to a report of an inspector, an application of specifications in duplicate shall be submitted to the department containing such information for approval. Upon approval of the application and construction plans, the department shall issue a permit for the erection or repair of the elevator or fixed guideway system. No new elevator or fixed guideway system shall be operated until completion in accordance with the approved plans and specifications, unless a temporary permit is granted by the department.
  2. A permit issued under this section may be revoked by the department when:
    1. A false statement or misrepresentation of a material fact in the application, plans, or specifications led to the issuance of the permit;
    2. The permit was issued in error;
    3. The work detailed under the permit is not being performed in accordance with the application, plans, or specifications;
    4. Work is not being performed in accordance with the code or conditions of the permit; or
    5. The elevator contractor to whom the permit was issued fails or refuses to comply with a lawfully issued stop work order.
  3. A permit issued under this section shall expire if:
    1. The work authorized by permit is not commenced within twenty-four (24) months after the date of issuance, or within a shorter period of time as specified by the department at the time the permit is issued; or
    2. The work is abandoned for a period of sixty (60) days after work commences, or a shorter period of time as specified by the department at the time the permit is issued.
  4. The department shall allow an extension of the allotted period if proof of good cause is provided with a request for an extension.

History. Enact. Acts 1974, ch. 239, § 15; 1976, ch. 299, § 83; 2006, ch. 157, § 11, effective July 12, 2006; 2010, ch. 24, § 270, effective July 15, 2010; 2010, ch. 116, § 28, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.650 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

(7/1/2011). References to the “Office” of Housing, Buildings and Construction in this section, as amended by 2010 Ky. Acts ch. 116, sec. 28, have been changed in codification to the “Department” of Housing, Buildings and Construction to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

Opinions of Attorney General.

Since the 1976 amendment of KRS 336.510 (now KRS 198B.400 ) retained the original definition of “elevator” and because the term “elevator” is defined as “passenger elevator”, this section still applies to all elevators as defined by KRS 336.510 (1) (now KRS 198B.400 (1)) and the owners of such must comply with this section. OAG 76-389 .

198B.530. Prohibition — Collected fines to be paid into elevator safety program trust fund.

A person shall not violate any law relative to the operation, construction, maintenance, and repair of passenger elevators or fixed guideway systems. All fines collected for a violation of this section shall be forwarded to the department, which shall pay the same into the State Treasury to the credit of the elevator safety program trust fund as specified in KRS 198B.4037 .

History. Enact. Acts 1974, ch. 239, § 17; 1976, ch. 232, § 8; 1976, ch. 299, § 84; 2006, ch. 157, § 12, effective July 12, 2006; 2010, ch. 24, § 271, effective July 15, 2010; 2010, ch. 116, § 29, effective July 1, 2011.

Compiler’s Notes.

This section was formerly compiled as KRS 336.670 and was renumbered in 1982 as this section by the Reviser of Statutes.

Legislative Research Commission Notes.

(7/1/2011). This section was amended by 2010 Ky. Acts chs. 24 and 116, which do not appear to be in conflict and have been codified together.

198B.540. Notice of defective machinery — Sealing of dangerous passenger elevator or fixed guideway system.

  1. If the department’s inspector of elevators and fixed guideway systems or a general inspector of elevators or fixed guideway systems finds that a passenger elevator, fixed guideway system, or a part thereof does not afford reasonable safety, the department or the general inspector shall post a notice upon the elevator or fixed guideway system prohibiting further use of the elevator or fixed guideway system until the changes or alterations set forth in the notice have been made to the satisfaction of the department or the inspector. The notice shall contain a statement that operators or passengers are subject to injury by its continued use, a description of the alteration or other change necessary to be made in order to secure safety of operation, date of the notice, and name and signature of the department or inspector issuing the notice.
  2. If any inspector of elevators or fixed guideway systems finds a passenger elevator or fixed guideway system to be so unsafe as can be reasonably expected to offer imminent danger of death or physical injury, that unit shall be sealed out of service, a hazard notice posted thereon, and the department shall be notified immediately of the exact location and condition of the unit.
  3. A passenger elevator or fixed guideway system, once sealed, shall not be operated except for the purpose of effecting repairs and in the manner prescribed by the department, until all defects are corrected and the unit has been inspected and certified as safe by the department.
  4. Sealing shall consist of rendering a passenger elevator unit or fixed guideway system inoperable by disconnecting power or by placing a sealing device on the operation switch and ordering additional measures to be effected by the owner, such as erection of barricades, as may be required to prevent use of or public access to the unit.
  5. No seal, notice, or barricade placed on or around an elevator or fixed guideway system in accordance with this chapter shall be removed, obstructed or in any way altered without the written consent of the department.

HISTORY: Enact. Acts 1974, ch. 239, § 18; 1976, ch. 232, § 9; 1976, ch. 299, § 85; 1978, ch. 123, § 6, effective June 17, 1978; 2006, ch. 157, § 13, effective July 12, 2006; 2010, ch. 24, § 272, effective July 15, 2010; 2017 ch. 169, § 27, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 336.680 and was renumbered in 1982 as this section by the Reviser of Statutes.

Fire Protection Sprinkler Contractors

198B.550. Definitions for KRS 198B.555 to 198B.630.

As used in KRS 198B.555 to 198B.630 , unless the context requires otherwise:

  1. “Department” means the Department of Housing, Buildings and Construction;
  2. “Commissioner” means the commissioner of the department;
  3. “Fire protection sprinkler contractor” means a person engaged in the preparation of technical drawings, installation, repair, alteration, extension, maintenance, or inspection of fire protection sprinkler systems and has in his or her employment a certificate holder;
  4. “Fire protection sprinkler contractor’s license” means the license issued by the commissioner to a fire protection sprinkler contractor upon application being approved, fee paid and the satisfactory completion of the requirements of KRS 198B.580 . The license shall be issued in the name of the fire protection sprinkler contractor with the name or names of the certificate holder noted thereon;
  5. “Certificate holder” means an individual who has satisfactorily met and the requirements established in KRS 198B.570 and has received a certificate from the commissioner; and
  6. “Fire protection sprinkler system” means a system of piping for which technical drawings have been prepared by or preparation supervised by a certificate holder in accordance with fire protection engineering standards. The system is supplied from a reliable, constant, and sufficient water, gas, or chemical supply, such as a gravity tank, fire pump, reservoir, or pressure tank, or connection by underground piping to a city, county, municipal water district, authorized water main, or both. The sprinkler system is considered the fire protection sprinkler system for purposes of KRS 198B.550 to 198B.630 , and is a network of specially sized or hydraulically designed piping and includes installations overhead and underground in a building, structure, or area, and to which sprinklers are connected in systematic pattern. The system includes a controlling valve and a device for actuating an alarm when a system is in operation. The system is usually activated by heat from a fire and causes the discharge of water, gas, or chemical over the fire area. Fire protection sprinkler systems shall include the following types: wet-pipe systems, dry-pipe systems, pre-action systems, deluge systems, combined dry-pipe and pre-action systems, antifreeze systems and circulating closed loop systems, systems utilizing gasses or chemicals, and any other fire suppression system approved by the state fire marshal or the chief building code official of the department.

HISTORY: Enact. Acts 1984, ch. 383, § 1, effective July 13, 1984; 1988, ch. 372, § 1, effective July 15, 1988; 2008, ch. 82, § 6, effective July 15, 2008; 2010, ch. 24, § 273, effective July 15, 2010; 2012, ch. 104, § 1, effective January 1, 2013; 2017 ch. 169, § 28, effective June 29, 2017.

198B.555. Administration of KRS 198B.550 to 198B.630 — Duties of commissioner.

  1. The administration of KRS 198B.550 to 198B.630 is vested in the Department of Housing, Buildings and Construction.
  2. The commissioner shall:
    1. Promulgate reasonable administrative regulations necessary for the administration of KRS 198B.550 to 198B.630 ;
    2. Set or make reasonable changes in the fees charged for permits, testing, and other aspects of the administration of KRS 198B.550 to 198B.630 ;
    3. Enforce the provisions of KRS 198B.550 to 198B.630; and
    4. Conduct investigations of complaints and conduct administrative hearings as are required by KRS 198B.620 and 198B.625 and in accordance with KRS Chapter 13B.
  3. The commissioner may:
    1. Secure the advice of the committee with regard to administrative regulations if required by KRS 198B.030(8); and
    2. Have the competency test prepared by a source other than the commissioner.

HISTORY: Enact. Acts 1984, ch. 383, § 2, effective July 13, 1984; 1996, ch. 318, § 86, effective July 15, 1996; 2010, ch. 24, § 274, effective July 15, 2010; 2017 ch. 169, § 29, effective June 29, 2017.

198B.560. Fire protection sprinkler contractor’s license or certificate required — Exemptions.

  1. Except as provided in subsection (2) of this section, no person other than a certificate holder or an employee of a certificate holder shall engage in the preparation of technical drawings, installation, repair, alteration, extension, maintenance or inspection of a fire protection sprinkler system or use any title, sign, card or device indicating, or intending to indicate, or represent in any manner that he is a certified fire protection sprinkler contractor without first obtaining the fire protection sprinkler contractor’s license or certificate under the provisions of KRS 198B.570 or 198B.580 ; it being the purpose of KRS 198B.550 to 198B.630 to safeguard life, health, property, and welfare of the public.
  2. KRS 198B.550 to 198B.630 shall not apply to state or local building officials, fire marshals, fire inspectors, or insurance inspectors when acting in their official capacities.
  3. This chapter shall not apply to professional engineers in the preparation of plans or construction inspection pursuant to KRS Chapter 322.
  4. This chapter shall not apply to limited area sprinkler systems served by a domestic water supply consisting of ten (10) sprinkler heads or less in one (1) structure.

History. Enact. Acts 1984, ch. 383, § 3, effective July 13, 1984; 2008, ch. 82, § 2, effective July 15, 2008; 2012, ch. 104, § 2, effective January 1, 2013.

198B.565. Preparation of designs of system.

  1. The design for any fire protection sprinkler system for buildings and structures shall be prepared by a licensed professional engineer or, if the licensed, professional engineer chooses not to prepare the design, a licensed fire protection sprinkler contractor whose certificate holder is a certified engineering technician, NICET Level III or Level IV, may prepare the design.
  2. When a fire protection sprinkler system is designed by a professional engineer in accordance with subsection (1) of this section, the licensed fire protection sprinkler contractor shall submit to the professional engineer, for his approval, technical drawings and, when required, hydraulic calculations for the installation of the fire protection sprinkler system. Such technical drawings, after approved by the professional engineer, shall be submitted by the professional engineer to the department , the insurance authority having jurisdiction, if any, and other authority when required by Kentucky law.
  3. When a fire protection sprinkler system is designed by a licensed fire protection sprinkler contractor in accordance with subsection (1) of this section, the licensed fire protection sprinkler contractor shall submit the design and detailed plans to the department, the insurance authority having jurisdiction, if any, and other authority when required by Kentucky law.

HISTORY: Enact. Acts 1984, ch. 383, § 4, effective July 13, 1984; 1988, ch. 396, § 1, effective July 15, 1988; 2010, ch. 24, § 275, effective July 15, 2010; 2017 ch. 169, § 30, effective June 29, 2017.

198B.570. Examination of applicant.

To become a certificate holder under KRS 198B.560 , an applicant shall satisfactorily pass a current examination prescribed and administered by the National Institute for Certification in Engineering Technologies entitled Fire Protection Engineering Technology Automatic Sprinkler System Design Level III, or the equivalent thereof, approved by the commissioner.

HISTORY: Enact. Acts 1984, ch. 383, § 5, effective July 13, 1984; 2008, ch. 82, § 7, effective July 15, 2008; 2010, ch. 24, § 276, effective July 15, 2010; 2017 ch. 169, § 31, effective June 29, 2017.

198B.575. Affidavits in lieu of examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1984, ch. 383, § 6, effective July 13, 1984) was repealed by Acts 2008, ch. 82, § 9, effective July 15, 2008.

198B.580. Prerequisites to becoming licensed fire protection sprinkler contractor.

To become a licensed fire protection sprinkler contractor under KRS 198B.560 , a person shall:

  1. Have in his or her employ a certificate holder;
  2. Comply with the minimum insurance requirements established by KRS 198B.595 ; and
  3. Make application to the commissioner for a license and pay the fees required.

HISTORY: Enact. Acts 1984, ch. 383, § 7, effective July 13, 1984; 2010, ch. 24, § 277, effective July 15, 2010; 2017 ch. 169, § 32, effective June 29, 2017.

198B.585. Seal of certificate holder.

  1. Each certificate holder engaged in the activity described in KRS 198B.560 shall secure a seal with the design prescribed by regulation of the commissioner.
  2. All working drawings, specifications, and plans prepared by, or under the supervision of the certificate holder, shall bear the imprint of this seal and shall bear the imprint of the seal of the licensed fire protection contractor.
  3. No certificate holder shall assign or affix his or her seal to any drawings, specifications or plans which have not been prepared under his or her immediate supervision, and no licensed fire protection contractor shall affix his or her seal to any drawings, specifications, or plans unless the drawings, specifications, or plans were prepared by an employee certificate holder as required by KRS 198B.560 and 198B.580 .

HISTORY: Enact. Acts 1984, ch. 383, § 8, effective July 13, 1984; 2010, ch. 24, § 278, effective July 15, 2010; 2017 ch. 169, § 33, effective June 29, 2017.

198B.590. Signature on license and certificate.

The license and certificate shall be signed by the commissioner.

History. Enact. Acts 1984, ch. 383, § 9, effective July 13, 1984; 2010, ch. 24, § 279, effective July 15, 2010.

198B.595. Proof of liability and workers’ compensation insurance coverage.

  1. The commissioner shall not issue a license under KRS 198B.560 and 198B.580 , unless the fire protection sprinkler contractor applicant files with the commissioner proof of liability insurance coverage of not less than two hundred and fifty thousand dollars ($250,000) one person/maximum and five hundred thousand dollars ($500,000) one accident/maximum and workers’ compensation insurance as provided for in KRS Chapter 342.
  2. The workers’ compensation insurance required by this section shall be in the form of certificate of insurance executed by an insurer authorized to do business in this state. The liability insurance required by this section shall be liability insurance that covers the legal liability of the licensed person as the result of erroneous acts or failure to act in his or her capacity as a fire protection sprinkler contractor or system designer and shall be in the form of certificate of insurance executed by an insurer authorized to do business in this state or exported by a licensed surplus lines broker to an eligible carrier pursuant to KRS 304.10-020 to 304.10-210 . Insurance certificates filed with the commissioner under this section shall remain in force until the insurer has terminated future liability by a thirty (30) day notice to the commissioner.
  3. Failure to maintain the insurance required hereunder shall constitute grounds for denial, suspension, or revocation of a license under KRS 198B.620 by the commissioner.

HISTORY: Enact. Acts 1984, ch. 383, § 10, effective July 13, 1984; 2002, ch. 101, § 1, effective July 15, 2002; 2005, ch. 182, § 6, effective June 20, 2005; 2010, ch. 24, § 280, effective July 15, 2010; 2017 ch. 169, § 34, effective June 29, 2017.

198B.600. Certificate holder permitted to obtain only one contractor’s license at a time.

A certificate holder shall not obtain a fire protection sprinkler contractor’s license for more than one (1) fire protection sprinkler contractor at a time. If the certificate holder leaves the employment of the fire protection sprinkler contractor, he or she shall notify the commissioner within thirty (30) days. The certificate holder shall not be eligible to obtain a fire protection sprinkler contractor’s license for more than one (1) other fire protection sprinkler contractor for a period of twelve (12) months thereafter. If the certificate holder leaves the employment of the fire protection sprinkler contractor, or dies, the contractor shall have six (6) months or until the expiration of the current license, whichever shall last occur, to submit a new application on another certificate holder and be issued a new license. If the application is not received and a new license issued within the allotted time, the commissioner shall revoke the license of the fire protection sprinkler contractor.

HISTORY: Enact. Acts 1984, ch. 383, § 11, effective July 13, 1984; 2010, ch. 24, § 281, effective July 15, 2010; 2017 ch. 169, § 35, effective June 29, 2017.

198B.605. Annual renewal of certificates and licenses.

    1. All certificates issued under KRS 198B.570 shall expire on the last day of the certificate holder’s birth month in the following year. The department may reduce the license fee on a pro rata basis for initial certificates issued for less than twelve (12) months. Renewed certificates shall expire on the last day of the certificate holder’s birth month of each year after the date of issuance of the renewed certificate. Application for a renewal shall be upon a form prescribed by the commissioner, and the certificate holder shall furnish the information required by the form. (1) (a) All certificates issued under KRS 198B.570 shall expire on the last day of the certificate holder’s birth month in the following year. The department may reduce the license fee on a pro rata basis for initial certificates issued for less than twelve (12) months. Renewed certificates shall expire on the last day of the certificate holder’s birth month of each year after the date of issuance of the renewed certificate. Application for a renewal shall be upon a form prescribed by the commissioner, and the certificate holder shall furnish the information required by the form.
    2. Failure of any certificate holder to secure his or her renewal certificate within sixty (60) days after the last day of the certificate holder’s birth month shall constitute sufficient cause for the commissioner to revoke his or her license.
    3. The commissioner may restore a certificate that has been revoked for failure to pay the renewal fee, upon the receipt of payment of all delinquent fees.
  1. A certificate holder may voluntarily surrender his or her certificate to the commissioner and thereby be relieved of the annual renewal fee. After surrendering a certificate, he or she shall not be known as a certificate holder and shall desist from the practice thereof. Within five (5) years from the time of surrender of the certificate, he or she may again qualify for a certificate without examination by the payment of the required fee. If five (5) years thereafter have lapsed, he or she shall return to the status of a new applicant.
    1. The initial license for a fire protection sprinkler contractor shall expire on the last day of the licensee’s birth month in the following year. The department may reduce the license fee on a pro rata basis for initial licenses issued for less than twelve (12) months. Renewed licenses shall expire on the last day of the licensee’s birth month of each year after the date of issuance of the renewed license. Application for a renewal shall be upon a form prescribed by the commissioner and the license holder shall furnish the information required by the form. (3) (a) The initial license for a fire protection sprinkler contractor shall expire on the last day of the licensee’s birth month in the following year. The department may reduce the license fee on a pro rata basis for initial licenses issued for less than twelve (12) months. Renewed licenses shall expire on the last day of the licensee’s birth month of each year after the date of issuance of the renewed license. Application for a renewal shall be upon a form prescribed by the commissioner and the license holder shall furnish the information required by the form.
    2. Failure of any certificate holder to secure a renewal certificate within sixty (60) days after the last day of the certificate holder’s birth month shall constitute sufficient cause for the commissioner to revoke the license.
    3. The commissioner may restore a license that has been revoked for failure to pay the renewal fee, upon the receipt of payment of all delinquent fees.

HISTORY: Enact. Acts 1984, ch. 383, § 12, effective July 13, 1984; 2005, ch. 182, § 1, effective June 20, 2005; 2008, ch. 82, § 8, effective July 15, 2008; 2010, ch. 24, § 282, effective July 15, 2010; 2017 ch. 169, § 36, effective June 29, 2017.

198B.610. License as proof of competency — Power of local officials regarding regulation.

  1. If a licensed fire protection sprinkler contractor desires to do business in any part of the state, he or she shall deliver to the local building official a copy of his or her fire protection sprinkler contractor’s license and comply with KRS 198B.560 and 198B.565 . The local building official shall require a copy of the license before issuing a license or building license, and no local official shall impose any other competency requirements on the licensed fire protection sprinkler contractor.
  2. Nothing in KRS 198B.560 and 198B.565 shall limit the power of a city, urban-county government, county, or state to regulate the quality and character of work performed by contractors, through a system of permits, fees and inspections which are designed to assure compliance with, and aid in the implementation of state and local building laws or to enforce other local laws for the protection of the public health and safety. Nothing in KRS 198B.560 and 198B.565 shall limit the power of a city, urban-county government, county, or the state to adopt any system of permits requiring submission to and approval by the city, urban-county government, county, or the state of plans and specifications for work to be performed by contractors before commencement of the work. The official authorized to issue building or other related permits shall ascertain that the fire protection sprinkler contractor is duly licensed by requiring evidence of a valid fire protection sprinkler contractor’s license as a prerequisite to that contractor beginning design, installation, repair, alteration, extension, maintenance, or inspection of fire protection sprinkler systems.
  3. KRS 198B.560 and 198B.565 shall apply to any fire protection sprinkler contractor performing work for any city, urban-county government, special district, county, or the state. Officials of any city, urban-county government, special district, county, or the state shall determine compliance with KRS 198B.560 and 198B.565 before awarding any contracts for the installation, repair, alteration, addition, or inspection of a fire protection sprinkler system. Bids for such work shall be accompanied by a copy of a valid fire protection sprinkler contractor’s license.

HISTORY: Enact. Acts 1984, ch. 383, § 13, effective July 13, 1984; 2008, ch. 82, § 3, effective July 15, 2008; 2017 ch. 169, § 37, effective June 29, 2017.

198B.615. Disposition of fees collected by commissioner.

All license and certificate fees and charges collected by the commissioner under the provisions of KRS 198B.550 to 198B.630 and the rules and regulations of the commissioner adopted hereunder, shall be paid to the State Treasury and credited to a trust and agency fund to be used by the commissioner’s office in carrying out the provisions of KRS 198B.550 to 198B.630 . Any money in the trust and agency fund at the end of the fiscal year shall lapse to the general fund of the Commonwealth.

History. Enact. Acts 1984, ch. 383, § 14, effective July 13, 1984; 2010, ch. 24, § 283, effective July 15, 2010.

198B.620. Refusal to renew license — Revocation or suspension of license — Appeal — Criminal penalty.

  1. Subject to a hearing conducted in accordance with KRS Chapter 13B, the commissioner may refuse to renew or may suspend or revoke the license of a licensed fire protection sprinkler contractor or the certificate of a certificate holder to engage in the business of fire protection sprinkler systems or in lieu thereof assess an administrative fine not to exceed two thousand dollars ($2,000) for any of the following reasons:
    1. Gross incompetency or gross negligence in the installation, repair, alteration, maintenance, inspection, or addition to fire protection sprinkler systems, as determined by the commissioner;
    2. Conviction of a felony;
    3. Fraudulent or dishonest practices while engaging in the business of fire protection sprinkler systems;
    4. Use of false evidence or misrepresentation in an application for a license or certificate;
    5. Signing or affixing his or her seal to any plans, prints, specifications or reports, which have not been prepared by him or her personally or under his or her immediate supervision, or in violation of KRS 198B.585 ; or
    6. Knowingly violating any provisions of KRS 198B.550 to 198B.630 or the regulations issued thereunder.
  2. The commissioner shall revoke, subject to a hearing in accordance with KRS Chapter 13B, the license of a fire protection sprinkler contractor or a certificate holder who engages in the fire protection sprinkler system business during a suspension of the license.
  3. Any person who engages in the drawings, installation, repair, alteration, extension, maintenance, or inspection of fire protection sprinkler systems or uses any title, sign, card, or device indicating or intending to indicate that he or she is a certified fire sprinkler contractor without having first obtained the requisite license or certificate shall be guilty of a Class A misdemeanor. Each violation shall be regarded as a separate offense.
  4. Any license or certificate holder who is aggrieved by a final order of the commissioner suspending or revoking a license may appeal to the Franklin Circuit Court or the Circuit Court of the county of the license or certificate holder’s place of business in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 1984, ch. 383, § 15, effective July 13, 1984; 1996, ch. 318, § 87, effective July 15, 1996; 2008, ch. 82, § 4, effective July 15, 2008; 2010, ch. 24, § 284, effective July 15, 2010; 2017 ch. 169, § 38, effective June 29, 2017.

198B.625. Injunction — Cease and desist order.

  1. Whenever, in the judgment of the commissioner, any person has engaged, or is about to engage, in any acts or practices that constitute, or will constitute a violation of the provisions of KRS 198B.560 and 198B.565 , the commissioner may inform the Attorney General, who may make application to the Circuit Court of the county where the violation occurred for an order enjoining such acts or practices.
  2. If a person is practicing without the requisite license or certificate required under KRS 198B.560 and 198B.565 , the commissioner shall inform the Attorney General of the unlawful practice within seven (7) days of receiving notice of its occurrence. The Attorney General may apply to the Circuit Court of the county where the violation occurred for an order enjoining the acts or practices.
  3. Additionally, the commissioner may issue a cease and desist order, the violation of which shall be cause for the imposition of an administrative fine, suspension, or revocation as provided for in KRS 198B.620 . Upon showing via the commissioner that such person has engaged, or is about to engage, in any such acts or practices, an injunction or restraining order, or such other order as may be appropriate, shall be granted by the Circuit Court. Any order of the Circuit Court of the county where the violation occurred shall be enforceable and shall be valid anywhere in this Commonwealth and the order of that court shall be reviewable as provided for in the Rules of Civil Procedure, in the case of other injunctions and restraining orders.

History. Enact. Acts 1984, ch. 383, § 16, effective July 13, 1984; 2008, ch. 82, § 5, effective July 15, 2008; 2010, ch. 24, § 285, effective July 15, 2010.

198B.630. Application of KRS 198B.550 to 198B.630.

The provisions of KRS 198B.550 to 198B.630 shall apply to the preparation of technical drawings, installation, repair, alteration, extension, maintenance or inspection of fire protection sprinkler systems other statutes notwithstanding.

History. Enact. Acts 1984, ch. 383, § 17, effective July 13, 1984.

Certification of Fire Sprinkler Inspectors

198B.6401. Fire sprinkler inspection certification — Eligibility requirements — Certification cards.

  1. The department shall issue a fire sprinkler inspector certification to an applicant who:
    1. Is at least eighteen (18) years of age;
    2. Submits a completed fire sprinkler inspector’s written or electronic application form as provided by the department;
    3. Provides a certificate of insurance that:
        1. Is issued by an insurance company or other legal entity permitted to transact insurance business in Kentucky; 1. a. Is issued by an insurance company or other legal entity permitted to transact insurance business in Kentucky;
        2. Insures for general liability coverage of at least five hundred thousand dollars ($500,000); and
        3. Includes liability insurance that shall cover the legal liability of the certified fire sprinkler inspector as the result of erroneous acts or failure to act in his or her capacity as a fire sprinkler inspector and shall be in the form of a certificate of insurance executed by an insurer permitted to do business in this state or exported by a licensed surplus lines broker to an eligible carrier pursuant to KRS 304.10-020 to 304.10-210 ; or
      1. Submits an affidavit completed by a sprinkler contractor that the applicant is and will be an employee of a currently licensed sprinkler contractor in good standing with the department;
      1. Provides proof of passing scores on all portions of a standardized examination approved by the commissioner; or (d) 1. Provides proof of passing scores on all portions of a standardized examination approved by the commissioner; or
      2. Holds a current certification from the National Institute for Certification in Engineering Technologies (NICET) for “Inspection and Testing of Water-Based Systems” Level 2 or higher; and
    4. Upon request by the department, provides supplemental documentation of information as required under this subsection.
  2. All certification cards issued by the department shall remain the property of the department.

HISTORY: Enact. Acts 2010, ch. 116, § 30, effective July 1, 2011; 2017 ch. 169, § 39, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6403. Qualifications for certification prior to July 1, 2012 — Pending certification.

  1. An applicant for certification as a fire sprinkler inspector under this chapter making application to the department prior to July 1, 2012, shall be certified by the department without completing the certification requirements as established in this chapter if:
    1. The applicant is currently certified by the state of Kentucky, or
    2. The applicant is currently licensed, certified, or registered as a fire sprinkler inspector in another state whose standards are substantially equal to those in this chapter.
  2. Prior to July 1, 2012, the department may issue a pending certification to an applicant. A pending certification shall allow the applicant to act in the capacity applied for until the applicant’s permanent certification is issued or the application is denied.
  3. After July 1, 2012, certification under this section shall cease.

History. Enact. Acts 2010, ch. 116, § 31, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6405. Initial annual certification — Renewal, expiration, termination, and reinstatement of certification.

  1. The initial annual certification for a fire sprinkler inspector shall be for not less than seven (7) months nor more than eighteen (18) months.
  2. A fire sprinkler inspector certification issued in accordance with this chapter shall expire on the last day of the inspector’s birth month in the year following certification.
  3. Renewal notices shall be sent to each certified inspector at least sixty (60) days prior to the expiration of his or her certification. The notice shall:
    1. Inform the certified inspector of the need to renew the certification; and
    2. Describe the materials to be submitted with a request for renewal.
  4. An applicant for renewal of a fire sprinkler inspector certification shall:
    1. Complete and submit the fire sprinkler inspector’s written or electronic renewal form as provided by the department;
    2. Show proof of general liability insurance in the amount required by this chapter; and
      1. Provide proof of completion of six (6) hours of continuing education prior to certification renewal. The required continuing education shall be accrued within the twelve (12) months prior to renewal; or (c) 1. Provide proof of completion of six (6) hours of continuing education prior to certification renewal. The required continuing education shall be accrued within the twelve (12) months prior to renewal; or
      2. Submit proof that the inspector is a current and valid holder of NICET certification in the testing of water-based systems.
  5. A thirty (30) day grace period shall be allowed after the renewal deadline of the certification. A fire sprinkler inspector may continue to practice during this grace period and may renew his or her certification upon meeting the requirements promulgated through administrative regulation by the department.
  6. Any certification not renewed on or before the last day of the thirty (30) day grace period shall terminate based upon failure to timely renew the certification. Upon termination of a certification, the individual shall not inspect within the Commonwealth.
  7. After expiration of the thirty (30) day grace period, a formerly certified fire sprinkler inspector with a terminated certification shall have the certification reinstated upon meeting the requirements promulgated through administrative regulation by the department. An applicant for reinstatement after termination of his or her certification shall not be required to submit to any examination as condition for reinstatement, if the reinstatement application is made within two (2) years from the date of certification termination.
  8. After termination and two (2) years, the applicant shall retest and comply with the application requirements set forth in KRS 198B.6401 .

HISTORY: Enact. Acts 2010, ch. 116, § 32, effective July 1, 2011; 2017 ch. 169, § 40, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6407. Reciprocity — Terms and conditions.

  1. The certification requirements established within this chapter may be waived for a person moving into the Commonwealth from another jurisdiction, and a fire sprinkler inspector’s certification granted, if:
    1. The other jurisdiction grants the same privileges to certified fire sprinkler inspectors of Kentucky as Kentucky grants to certified or licensed fire sprinkler inspectors of that other jurisdiction;
    2. The individual is certified or licensed in the other jurisdiction;
    3. The certification or licensing requirements of the other jurisdiction are substantially similar to the requirements in this chapter; and
    4. The individual submits a notarized letter stating that he or she has read, is familiar with, and will abide by this chapter and the administrative regulations promulgated by the department.
  2. An individual seeking a fire sprinkler inspector’s certification under this section shall:
    1. Submit a completed fire sprinkler inspector’s written or electronic application form as provided by the department; and
      1. Provide a certificate of insurance issued by an insurance company or other legal entity permitted to transact business in Kentucky with a general liability coverage of at least five hundred thousand dollars ($500,000). Liability insurance shall cover the legal liability of the certified fire sprinkler inspector as the result of erroneous acts or failure to act in his or her capacity as a fire sprinkler inspector and shall be in the form of a certificate of insurance executed by an insurer permitted to do business in this state or exported by a licensed surplus lines broker to an eligible carrier pursuant to KRS 304.10-020 to 304.10-210 ; or (b) 1. Provide a certificate of insurance issued by an insurance company or other legal entity permitted to transact business in Kentucky with a general liability coverage of at least five hundred thousand dollars ($500,000). Liability insurance shall cover the legal liability of the certified fire sprinkler inspector as the result of erroneous acts or failure to act in his or her capacity as a fire sprinkler inspector and shall be in the form of a certificate of insurance executed by an insurer permitted to do business in this state or exported by a licensed surplus lines broker to an eligible carrier pursuant to KRS 304.10-020 to 304.10-210 ; or
      2. Submit an affidavit from a sprinkler contractor that he or she is covered as an employee of a sprinkler contractor that is in good standing and currently licensed by the department.

HISTORY: Enact. Acts 2010, ch. 116, § 33, effective July 1, 2011; 2017 ch. 169, § 41, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6409. Administrative regulations — Inactive status — Approval of continuing education providers and courses.

The commissioner shall, through the promulgation of administrative regulations:

  1. Establish the procedures necessary to implement KRS 198B.6401 to 198B.6417 ;
  2. Establish an inactive status of certification for fire sprinkler inspectors who are not actively conducting inspections but wish to maintain their certification;
  3. Establish a waiver of insurance requirements for inactive certifications;
  4. Establish the reactivation procedure for a certification successfully placed into inactive status; and
  5. Establish criteria for approval of continuing education providers and continuing education courses.

History. Enact. Acts 2010, ch. 116, § 34, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6411. Standards for inspection of sprinkler systems.

The standards to be utilized in the inspection of sprinkler systems shall be the standards set forth in the National Fire Protection Association’s Article 25: Standard for the Inspection, Testing and Maintenance of Water-Based Fire Protection Systems and shall be the edition prescribed by the commissioner or other national standard as approved by the commissioner.

HISTORY: Enact. Acts 2010, ch. 116, § 35, effective July 1, 2011; 2017 ch. 169, § 42, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6413. Disciplinary hearings — Summary suspension — Fire sprinkler inspection by uncertified individual — Cease-and-desist order.

  1. The procedures set forth in KRS Chapter 13B shall govern the department’s conduct of disciplinary hearings.
  2. The commissioner may summarily suspend a certification for up to ninety (90) days before a final adjudication or during an appeal of the commissioner’s determination if he or she believes that the certification would represent a clear and immediate danger to the public’s health, safety, or property if the inspector is allowed to perform sprinkler system inspections.
  3. The commissioner shall issue a letter to cease and desist with notice of opportunity to be heard in accordance with KRS Chapter 13B, to any individual if the commissioner:
    1. Determines that an individual is not certified under this chapter; and
    2. Determines that the individual is engaged in, or believed to be engaged in, activities for which a fire sprinkler inspector’s certification is required under this chapter.
  4. After completion of the hearing, if it is determined that the activities in which the individual is engaged are subject to certification under this chapter, the commissioner shall issue a cease-and-desist order that identifies the individual and specifically states the activities which are subject to the order.
  5. A cease-and-desist order issued under this section shall be enforceable in the Circuit Court of the county of the individual’s place of business in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 2010, ch. 116, § 36, effective July 1, 2011; 2017 ch. 169, § 43, effective June 29, 2017.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6415. Suspension, revocation, or nonrenewal of certification — Grounds — Hearing — Appeal.

  1. Subject to a hearing conducted in accordance with KRS Chapter 13B, the commissioner may suspend, revoke, or refuse to renew the certification of a certified fire sprinkler inspector for any of the following actions:
    1. Use of false evidence or misrepresentation in an application for a fire sprinkler inspector’s certification;
    2. Attempting to transfer authority granted to the certified inspector to another individual;
    3. Incompetence or negligence in the inspection of fire protection sprinkler systems as determined by the commissioner;
    4. Conviction of a felony or of any crime an element of which is dishonesty or fraud, under the laws of any state or of the United States;
    5. Fraudulent or dishonest practices while engaging in the business of sprinkler system inspections;
    6. Aiding or abetting any person attempting to evade the provisions of this chapter; or
    7. Violating any provision of this chapter or the administrative regulations promulgated thereunder.
  2. The commissioner shall revoke, subject to a hearing in accordance with KRS Chapter 13B, the certification of a fire sprinkler inspector who engages in inspection activities during a suspension of his or her certification.
  3. Any certification holder who is aggrieved by a final order of the commissioner, resulting in the suspension or revocation of certification, may appeal to the Circuit Court of the county of the certified inspector’s place of business in accordance with KRS Chapter 13B.

History. Enact. Acts 2010, ch. 116, § 37, effective July 1, 2011.

Legislative Research Commission Notes.

(7/1/2011). References to the “Office of Housing, Buildings and Construction” and the “executive director” of housing, buildings and construction in this section, as created by 2010 Ky. Acts ch. 116, sec. 30, have been changed in codification to the “Department of Housing, Buildings and Construction” and the “commissioner” of housing, buildings and construction, respectively, to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24. These changes were made by the Reviser of Statutes pursuant to 2010 Ky. Acts ch. 24, sec. 1938.

198B.6417. Reapplication after revocation of certification.

If the certification of a fire sprinkler inspector is revoked for any reason, the inspector may, at the conclusion of the revocation period, reapply for a sprinkler system inspector’s certification.

History. Enact. Acts 2010, ch. 116, § 38, effective July 1, 2011.

Heating, Ventilation, and Air Conditioning Contractors

198B.650. Definitions for KRS 198B.650 to 198B.689.

As used in KRS 198B.650 to 198B.689 , unless the context requires otherwise:

  1. “Air conditioning or cooling system” means a system in which heat is removed from air, surrounding surfaces, or both;
  2. “Apprentice heating, ventilation, and air conditioning mechanic” means an individual in the process of learning the heating, ventilation, and air conditioning trade who assists and is under the supervision of a master heating, ventilation, and air conditioning contractor and a journeyman heating, ventilation, and air conditioning mechanic;
  3. “Burner service” means the servicing of oil or gas burners used for heating air or water for purposes other than the transmission of heat;
  4. “Certificate” means a document issued by the department to an apprentice heating, ventilation, and air conditioning mechanic to assist a master heating, ventilation, and air conditioning contractor or a journeyman heating, ventilation, or air conditioning mechanic;
  5. “Commissioner” means the commissioner of the Department of Housing, Buildings and Construction;
  6. “Department” means the Department of Housing, Buildings and Construction;
  7. “Heating system” means a system in which heat is transmitted by radiation, conduction, convection, or a combination of any of these methods to air, surrounding surfaces, or both. “Heating system” does not include fireplaces and free-standing stoves not incorporated into a primary heating system, electric thermal storage units, electric ceiling cable heating systems, or electric baseboard heating units;
  8. “Hydronic system” means a heating and cooling system using liquids to transmit or remove heat;
  9. “Initial heating, ventilation, or air conditioning system” means the first or original heating, ventilation, or air conditioning system installed in a building;
  10. “Journeyman heating, ventilation, and air conditioning mechanic” means an individual who is licensed by the department to perform heating, ventilation, and air conditioning work under the supervision, direction, and responsibility of a master heating, ventilation, and air conditioning contractor;
  11. “Maintenance person or maintenance engineer” means a person who is a regular and bona fide employee of a property owner, property lessor, property management company, or firm, not in the heating, ventilating, and air conditioning business that has jurisdiction of property where the routine maintenance of heating, ventilating, and air conditioning is being performed, provided the maintenance shall not include major repairs;
  12. “Major repair” means the complete replacement of any of the following heating, ventilation, or air conditioning equipment:
    1. Furnaces;
    2. Condensing units;
    3. Heat pumps;
    4. Fan coil units;
    5. Chiller systems; or
    6. Heating boiler systems not covered by KRS Chapter 236;
  13. “Master heating, ventilation, and air conditioning contractor” means a heating, ventilation, and air conditioning contractor who is licensed by the department to advertise and practice heating, ventilation, and air conditioning contracting in this Commonwealth;
  14. “Permit” means a document issued by the department or its authorized agent allowing the installation of an original heating, ventilation, or air conditioning system;
  15. “Practice of heating, ventilation, and air conditioning contracting” means the installation, maintenance, altering, remodeling, or repair of heating systems, ventilation systems, hydronic systems, burner service, or cooling systems;
  16. “Routine maintenance of heating, ventilation, or air conditioning” means the routine and periodic servicing of heating, ventilation, and air conditioning systems, including cleaning, inspection, and adjustments to ensure the proper operation, and the removal and replacement of component parts. “Routine maintenance of heating, ventilation, or air conditioning” shall not include major repairs; and
  17. “Ventilation system” means a natural or mechanical system of supplying air to or removing air from any space.

HISTORY: Enact. Acts 1994, ch. 59, § 1, effective July 15, 1994; 2007, ch. 86, § 9, effective July 1, 2008; 2010, ch. 24 §§ 286, 287, effective July 15, 2010; 2017 ch. 169, § 44, effective June 29, 2017; 2018 ch. 22, § 1, effective July 14, 2018.

Legislative Research Commission Notes.

(7/15/2010). This section, in the version effective until July 1, 2010, was amended by 2010 Ky. Acts ch. 24, sec. 286, but that version expired prior to the July 15, 2010, effective date of the legislation. The version of this section which was set to take effect July 1, 2010, was also amended during the 2010 Regular Session of the General Assembly by 2010 Ky. Acts ch. 24, sec. 287, and that version, as amended, is set forth above.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 9, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

198B.652. Kentucky Board of Heating, Ventilation, and Air Conditioning Contractors. [Repealed]

History. Enact. Acts 1994, ch. 59, § 2, effective July 15, 1994; 2010, ch. 24, § 288, effective July 15, 2010; repealed by 2017 ch. 169, § 114, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 59, § 2, effective July 15, 1994), was repealed by Acts 2017, ch. 169, § 114, effective June 29, 2017.

198B.654. Powers and duties of department — Authority for administrative regulations.

  1. The department shall promulgate administrative regulations in accordance with KRS Chapter 13A to:
    1. Administer, coordinate, and enforce KRS 198B.650 to 198B.689 ;
    2. Conduct examinations;
    3. Maintain a list of all licensees and certificate holders;
    4. Keep minutes of meetings and a record of its proceedings; and
    5. Register and keep records of all apprentices.
  2. The department, or its designee, may issue subpoenas, administer oaths, examine witnesses, conduct disciplinary proceedings, investigate allegations of wrongdoing under KRS 198B.650 to 198B.689 , issue licenses and certificates, and seek injunctive relief to enforce KRS 198B.650 to 198B.689 . In seeking injunctive relief, the department shall not be required to post any bond.

HISTORY: Enact. Acts 1994, ch. 59, § 3, effective July 15, 1994; 2017 ch. 169, § 45, effective June 29, 2017.

198B.656. Practice as and assumption and use of title master contractor, journeyman, or apprentice without a license prohibited.

Except as otherwise provided in KRS 198B.650 to 198B.689 :

  1. A person shall not claim to be or advertise as being a master heating, ventilation, and air conditioning contractor or assume or use any title, designation, or abbreviation likely to create the impression of this licensure, unless that person is the holder of a valid master heating, ventilation, and air conditioning contractor’s license issued in accordance with KRS 198B.650 to 198B.689 . The holder of a valid master heating, ventilation, and air conditioning contractor’s license shall be entitled to practice heating, ventilation, and air conditioning contracting, including the obtaining of any necessary permits in connection with the practice of heating, ventilation, and air conditioning contracting, and shall be primarily responsible for the heating, ventilation, and air conditioning work performed;
  2. A person shall not claim to be or advertise as being a journeyman heating, ventilation, and air conditioning mechanic or assume or use any title, designation, or abbreviation likely to create the impression of this licensure, unless that person is the holder of a valid journeyman heating, ventilation, and air conditioning mechanic’s license issued in accordance with KRS 198B.650 to 198B.689 ;
  3. A person shall not claim to be or advertise as being an apprentice heating, ventilation, and air conditioning mechanic or assume or use any title, designation, or abbreviation likely to create the impression of certification, unless that person is the holder of a valid apprentice heating, ventilation, and air conditioning mechanic’s certificate issued in accordance with KRS 198B.650 to 198B.689 ; and
  4. A person shall not practice heating, ventilation, and air conditioning contracting, unless that person has met the requirements of KRS 198B.650 to 198B.689 .

HISTORY: Enact. Acts 1994, ch. 59, § 4, effective July 15, 1994; 2017 ch. 169, § 46, effective June 29, 2017.

198B.658. Qualifications for licensure and certification.

  1. An applicant for a master heating, ventilation, and air conditioning contractor’s license shall:
    1. Be at least eighteen (18) years of age;
    2. Be a citizen of the United States or be a resident alien who is authorized to do work in the United States;
      1. Have been regularly and principally employed or engaged in heating, ventilation, and air conditioning trades as a journeyman heating, ventilation, and air conditioning mechanic for not less than two (2) years under the direction and supervision of a master heating, ventilation, and air conditioning contractor; (c) 1. Have been regularly and principally employed or engaged in heating, ventilation, and air conditioning trades as a journeyman heating, ventilation, and air conditioning mechanic for not less than two (2) years under the direction and supervision of a master heating, ventilation, and air conditioning contractor;
      2. Have been regularly and principally employed or engaged in the practice of heating, ventilation, and air conditioning contracting as a master heating, ventilation, and air conditioning contractor, or equivalent thereof, for not less than two (2) years in Kentucky or in a jurisdiction other than Kentucky, as demonstrated by verifiable documentation; or
      3. Have been regularly and principally licensed and employed as a mechanical engineer in the Commonwealth of Kentucky, or a jurisdiction other than Kentucky, for not less than two (2) years, as demonstrated by verifiable documentation;
    3. Have passed an examination prescribed by the department to determine the applicant’s competency to practice heating, ventilation, and air conditioning contracting; and
    4. Have paid a fee as established in administrative regulations promulgated by the department.
  2. An applicant for a journeyman heating, ventilation, and air conditioning mechanic’s license shall:
    1. Be at least eighteen (18) years of age;
    2. Be a citizen of the United States or be a resident alien who is authorized to do work in the United States;
      1. Have been regularly and principally employed or engaged in heating, ventilation, and air conditioning trades for not less than two (2) years under the direction and supervision of a master heating, ventilation, and air conditioning contractor; or (c) 1. Have been regularly and principally employed or engaged in heating, ventilation, and air conditioning trades for not less than two (2) years under the direction and supervision of a master heating, ventilation, and air conditioning contractor; or
      2. Have been regularly and principally employed or engaged in the performance of heating, ventilation, and air conditioning work for not less than two (2) years in Kentucky or in a jurisdiction other than Kentucky, as demonstrated by verifiable documentation;
    3. Have passed an examination prescribed by the department to determine the applicant’s competency to install, maintain, and repair heating and cooling systems, heating and cooling service, burner service, and hydronic systems; and
    4. Have paid a fee as established in administrative regulations promulgated by the department.
  3. If an applicant has obtained, while exempt from licensure under 198B.674(2), (7), (8), (10), (13), or (14), work experience that the department determines to be equivalent to the requirements of subsection (1)(c) or (2)(c) of this section, that experience may be considered as equivalent to one (1) year of employment toward the licensure requirements for a master heating, ventilation, and air conditioning contractor or journeyman heating, ventilation, and air conditioning mechanic, as applicable, not to exceed one (1) year.
    1. The department shall issue an apprentice heating, ventilation, and air conditioning mechanic’s certificate to any person who registers as an apprentice with the department. (4) (a) The department shall issue an apprentice heating, ventilation, and air conditioning mechanic’s certificate to any person who registers as an apprentice with the department.
    2. The department shall establish by administrative regulation the minimum number of hours of experience required by apprentices and shall maintain an apprentice register to credit an apprentice for hours worked under the supervision of a master heating, ventilation, and air conditioning contractor and journeyman heating, ventilation, and air conditioning mechanic. Experience gained under the supervision of a Kentucky licensed master heating, ventilation, and air conditioning contractor while registered as an apprentice with the Education and Workforce Development Cabinet, Department of Workforce Investment, in cooperation with the United States Department of Labor, Bureau of Apprenticeship and Training shall be accepted toward the two (2) year experience requirement for a journeyman heating, ventilation, and air conditioning mechanic license.
    3. The apprentice register shall include the name, address, Social Security number, employer, and dates of employment of the apprentice.
    4. The apprentice shall notify the department in writing of any change in address or employer.
    5. Apprentices and pre-apprentices shall not be required to pay a fee to obtain a certificate of registration or to renew a registration.
  4. The satisfactory completion of one (1) academic year of a department-approved curriculum or one (1) year of professional training in heating, ventilation, and air conditioning work may be considered as equivalent to one (1) year of employment toward the licensure requirements for a journeyman heating, ventilation, and air conditioning mechanic, not to exceed one (1) year.
  5. The satisfactory completion of one (1) academic year of teaching experience in a department-approved or state-approved technical education program in heating, ventilation, and air conditioning shall be considered as equivalent to one (1) year of employment, as required by subsection (1)(c) or (2)(c) of this section. No more than one (1) year of approved teaching experience may be used in meeting the requirements of subsection (1)(c) or (2)(c) of this section.

History. Enact. Acts 1994, ch. 59, § 5, effective July 15, 1994; 1996, ch. 105, § 1, effective July 15, 1996; 1998, ch. 579, § 2, effective July 15, 1998; 2010, ch. 24, § 289, effective July 15, 2010; 2014, ch. 93, § 3, effective July 15, 2014; 2017 ch. 169, § 47, effective June 29, 2017; 2018 ch. 22, § 2, effective July 14, 2018; 2019 ch. 7, § 1, effective June 27, 2019; 2019 ch. 173, § 11, effective June 27, 2019.

Legislative Research Commission Notes.

(6/27/2019). This statute was amended by 2019 Ky. Acts chs. 7 and 173, which do not appear to be in conflict and have been codified together.

(7/15/2014). In codification, the Reviser of Statutes has altered the internal numbering of subsection (4) of this statute from the way it appeared in 2014 Ky. Acts ch. 93, sec. 3 under the authority of KRS 7.136(1)(a).

198B.659. Military training and experience satisfies requirements of KRS 198B.658(1) or (2).

If an applicant for a master heating, ventilation, and air conditioning contractor’s license or journeyman heating, ventilation, and air conditioning mechanic’s license presents the department with proof of training and experience equivalent to the training and experience requirements of KRS 198B.658(1) or (2), whichever is applicable, acquired while serving as a member of the United States Armed Forces, Reserves, or National Guard, and actively engaged in that occupation as part of his or her military duties for not less than two (2) years as annotated on the Department of Defense Form DD 214, the department shall accept that training and experience. The applicant shall meet the remaining applicable qualification requirements set forth in KRS 198B.658(1) or (2).

HISTORY: Enact. Acts 2014, ch. 93, § 1, effective July 15, 2014; 2017 ch. 169, § 48, effective June 29, 2017.

198B.660. Application — Examinations — Procedures.

  1. Each application for licensure or certification shall be accompanied by a nonrefundable application fee.
  2. Examinations shall be given at least two (2) times during each calendar year at those times and places within the Commonwealth prescribed by the department. An applicant shall not take an examination until the examination fee is paid.
  3. Notice of passing or failing an examination shall be provided to each applicant as soon as practicable.

History. Enact. Acts 1994, ch. 59, § 6, effective July 15, 1994; 2017 ch. 169, § 49, effective June 29, 2017; 2019 ch. 7, § 2, effective June 27, 2019.

198B.662. Qualifications for journeyman heating, ventilation, and air conditioning mechanic’s license. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 59, § 7, effective July 15, 1994) was repealed by Acts 2014, ch. 93, § 4, effective July 15, 2014.

198B.664. Renewal and restoration of license — Grace period — Inactive status — Reactivation.

  1. Every license issued by the department may be renewed annually, on or before the last day of the licensee’s birth month, upon payment of a renewal fee as established in administrative regulations promulgated by the department. Failure to renew shall cause the license to expire.
  2. A sixty (60) day grace period shall be allowed after the expiration of the license, during which time the licensee may continue to practice and may apply to restore the license upon payment of the renewal fee plus a restoration fee as established in administrative regulations promulgated by the department, and upon the provision of applicable proof of insurance required by KRS 198B.668 .
  3. A license that is not restored before the end of the sixty (60) day grace period shall immediately terminate. Upon termination of the license, the former licensee shall be ineligible to practice in the Commonwealth until he or she thereafter satisfies all applicable licensing requirements in accordance with this chapter.
  4. After the sixty (60) day grace period, a former licensee with a terminated license may apply to have the license reinstated upon payment of the renewal fee plus a reinstatement fee established in administrative regulations promulgated by the department. An applicant for reinstatement shall not be required to submit to any examination as a condition of reinstatement if the reinstatement application is made within three (3) years from the date of termination.
  5. Notwithstanding the requirements of this section, an applicant for renewal, restoration, or reinstatement shall satisfy all other applicable qualifications for licensure as required by this chapter and the administrative regulations promulgated hereunder.
  6. Those persons licensed by the department and not engaged in the practice of heating, ventilating, and air conditioning in the Commonwealth may apply for and be granted inactive status by the department in accordance with administrative regulations promulgated by the department. A licensee granted inactive status shall not engage in the practice of heating, ventilation, and air conditioning. An inactive license shall not be a valid license. A licensee on inactive status may petition the department for restoration of a license to practice. The petitioner shall pay a reactivation fee, satisfy all other requirements as established in administrative regulations promulgated by the department, and, if applicable, obtain the insurance as required by KRS 198B.668 .

HISTORY: Enact. Acts 1994, ch. 59, § 8, effective July 15, 1994; 2000, ch. 386, § 2, effective July 14, 2000; 2014, ch. 93, § 2, effective July 15, 2014; 2017 ch. 169, § 50, effective June 29, 2017.

198B.666. Reciprocity for licensees of other states.

Any person who has been issued a license in another state which has licensing, educational, and experience requirements substantially equal to or greater than those of this state and which grants equal licensing privileges to persons licensed in this state, may be issued an equivalent license in this state upon terms and conditions determined by the department.

HISTORY: Enact. Acts 1994, ch. 59, § 9, effective July 15, 1994; 2017 ch. 169, § 51, effective June 29, 2017.

198B.667. Interim period for use of recently deceased owner’s or employee’s master heating, ventilation, and air conditioning contractor’s license.

  1. The department shall grant an interim period of up to one hundred eighty (180) continuous calendar days to allow a company to utilize the master heating, ventilation, and air conditioning contractor’s license of a recently deceased owner or deceased employee who procured heating, ventilation, and air conditioning permits for that company, provided that the company:
    1. Effectuates and documents all necessary bonding and insurance policies required in this chapter; and
    2. Ensures that the bonding and insurance policies remain in effect for the entirety of the interim time period extended by the department.
  2. The license of a deceased master heating, ventilation, and air conditioning contractor shall be terminated by the department at the end of the interim period.
  3. Upon termination of the deceased master heating, ventilation, and air conditioning contractor’s license, a company shall have an employee with a current and valid Kentucky master heating, ventilation, and air conditioning contractor’s license in order to procure permits and perform heating, ventilation, and air conditioning work governed by KRS 198B.650 to 198B.689 .

HISTORY: 2018 ch. 22, § 4, effective July 14, 2018.

198B.6671. Permit required for installation of initial system — Contents of application and permit — Exemptions.

  1. Notwithstanding KRS 198B.030 to the contrary, any person who installs an initial heating, ventilation, or air conditioning system shall apply for a permit prior to beginning the installation. No installation shall begin before the application for the permit has been filed. In no event, however, shall a person exempt under KRS 198B.674 be required to possess or show proof of a heating, ventilation, or air conditioning license in order to obtain the permit required by this section.
  2. The applicant for a heating, ventilation, and air conditioning permit, by the act of applying for the permit, shall be deemed to consent to inspection of the installation by authorized inspectors of the Commonwealth of Kentucky and of the relevant city, county, urban-county government, charter county, unified local government, or consolidated local government.
  3. The permit shall contain and display:
    1. The name of the person performing the work;
    2. The full extent of the work to be performed;
    3. The name of the owner or owners of the property where the work is to be performed;
    4. The location of the property where the work is to be performed, including county and street address; and
    5. The master license number, if the work is required to be performed by a master heating, ventilation, and air conditioning contractor.
  4. No permit shall be required for any installation performed on a manufactured home as defined in KRS 227.550, by a manufactured home retailer licensed pursuant to KRS 227.610, or by a manufacturer as defined in KRS 227.550.
  5. No permit or inspection shall be required for the installation of window unit air conditioners or space heaters.
  6. No permit or inspection shall be required for the installation of a heating, ventilation, or air conditioning system, except in buildings designed for human occupancy.

HISTORY: Enact. Acts 2007, ch. 86, § 1, effective July 1, 2008; 2017 ch. 169, § 52, effective June 29, 2017.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 1, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F., 16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

198B.6672. Prohibition on use of system not installed in compliance with applicable codes — Inspection scheduling.

  1. No person, firm, or corporation shall use, continue to use, or permit the use of any heating, ventilation, or air conditioning system that an authorized inspector or the inspector’s employee or agent determines was not installed in accordance with the Uniform State Building Code, the Uniform State Residential Code, and the referenced standards contained in the respective codes.
  2. If a permit is required by KRS 198B.6671 for the installation of a heating, ventilation, or air conditioning system, no firm, person, or corporation shall use, continue to use, or permit the use of the heating, ventilation, or air conditioning system unless the permit has been obtained or applied for.
  3. Any inspection required by KRS 198B.6671 shall be scheduled with the property owner or owners or their agent or agents at least one (1) business day in advance and shall be completed within three (3) business days of the scheduled inspection.

History. Enact. Acts 2007, ch. 86, § 2, effective January 1, 2009.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 2, to be effective January 1, 2009, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be January 1, 2011.

198B.6673. Administrative regulations — Fees — Qualifications for and compensation of local government’s inspectors — Local governments prohibited from establishing additional permitting or inspection programs.

  1. The department shall promulgate administrative regulations to establish a reasonable schedule of fees to implement the program. The fees shall not exceed the actual costs for the administration of the program. The department shall also establish heating, ventilation, and air conditioning inspection protocols that ensure timely inspections and minimal interruption to the construction process.
  2. The department, upon the request of any individual local governing entity or combination of entities with existing heating, ventilation, and air conditioning permitting and inspection programs as of January 1, 2007, shall authorize them to administer, carry out, and enforce the administrative regulations of the department relating to heating, ventilation, and air conditioning installations, issue permits, and make inspections within their respective boundaries, or perform any portion of these functions. Nothing in KRS 198B.6671 to 198B.6678 shall prohibit these entities from continuing to include major repairs or substantial alterations to a heating, ventilation, or air conditioning system within their permitting and inspection program in the absence of a state requirement, if major repairs or substantial alterations were included in the entities’ inspection program prior to January 1, 2007. The department may authorize any other individual local government entities or combination of entities to administer, carry out, and enforce the administrative regulations of the department relating to heating, ventilation, and air conditioning installations, issue permits, and make inspections within their respective boundaries, or perform any portion of those functions. When authorization is granted, the department shall enter into contractual arrangements with the local governing entities, which shall remain in effect as long as the local entity continues to operate its program pursuant to guidelines adopted by the department. A heating, ventilation, and air conditioning permit issued by an authorized local governing entity shall be considered a permit issued by the department, and all fees collected by the authorized local government related to the same shall be retained by that local government.
  3. Any local governing entity enforcing the permitting and inspection requirements of KRS 198B.650 to 198B.689 pursuant to subsection (2) of this section may appoint and fix the compensation of the local governing entity’s heating, ventilation, and air conditioning inspectors. No person shall perform the duties of a heating, ventilation, and air conditioning inspector unless he or she has at least six (6) years’ experience as a licensed heating, ventilation, and air conditioning journeyman mechanic or a licensed master heating, ventilation, and air conditioning contractor, unless he or she is a certified building inspector who has successfully passed the examinations relating to heating, ventilation, and air conditioning systems. At the time of employment, the heating, ventilation, and air conditioning inspector shall be licensed or certified in accordance with KRS 198B.650 to 198B.689 , or become certified within twelve (12) months of employment.
  4. No local governing entity shall impose any other additional heating, ventilation, and air conditioning inspection or permit requirements, or establish any local inspection or permitting program, unless those provisions were in place before January 1, 2007.

History. Enact. Acts 2007, ch. 86, § 3, effective July 1, 2008; 2010, ch. 24, § 290, effective July 15, 2010; 2017 ch. 169, § 53, effective June 29, 2017; 2019 ch. 7, § 3, effective June 27, 2019.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 3, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

198B.6674. Trust and agency account to be used for enforcement of KRS 198B.650 to 198B.689.

All fees and fines collected and paid into the State Treasury shall be credited to a revolving trust and agency account and shall be used only for the administration and enforcement of KRS 198B.650 to 198B.689 and the repayment of moneys borrowed from surplus trust and agency accounts of the department. The moneys in the account are hereby appropriated by the General Assembly for the purposes set forth in KRS 198B.650 to 198B.689 , and shall not lapse at the close of the fiscal year.

History. Enact. Acts 2007, ch. 86, § 4, effective July 1, 2008; 2010, ch. 24, § 291, effective July 15, 2010.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 4, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

198B.6675. Powers of department and of authorized local governments to inspect systems — Powers to restrain and enjoin violations of KRS 198B.650 to 198B.689 — Representation of department by state and local prosecutors.

  1. For the purpose of enforcing the provisions of KRS 198B.650 to 198B.689 , officers, agents, and inspectors of the department or an authorized local government shall have the power and authority to enter upon permitted premises at all reasonable times with the consent of the property owner in order to make inspections, interview all persons, and request proof of heating, ventilation, and air conditioning licenses, installation permits, and other evidence of compliance. Officers, agents, and inspectors of the department or an authorized local government shall have the authority to issue a stop-work order to any owner, agent, or occupant of real property whenever the heating, ventilation, and air conditioning system under inspection is found to be in violation of KRS 198B.650 to 198B.689 or the Uniform State Building Code’s heating, ventilation, and air conditioning mechanical sections.
  2. Notwithstanding the existence or pursuit of any other civil or criminal penalties, the department and its officers, agents, and inspectors are authorized to institute and maintain actions to restrain and enjoin any violation of KRS 198B.650 to 198B.689 , the Uniform State Building Code, the Uniform State Residential Code, or the rules or the administrative regulations of the department relating thereto.
  3. City and county attorneys, Commonwealth’s attorneys, and the Attorney General may, within their respective jurisdictions, represent the department and its officers, agents, and inspectors in the enforcement of provisions of KRS 198B.650 to 198B.689 , the Uniform State Residential Code, and the Uniform State Building Code.

History. Enact. Acts 2007, ch. 86, § 5, effective January 1, 2009; 2010, ch. 24, § 292, effective July 15, 2010.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 5, to be effective January 1, 2009, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be January 1, 2011.

198B.6676. Jurisdiction and venue in civil, injunctive, and criminal actions for enforcement of KRS 198B.650 to 198B.689.

  1. The Circuit Court where a violation occurs shall have jurisdiction and venue in all civil and injunctive actions instituted by the department for the enforcement of the provisions of KRS 198B.650 to 198B.689 and orders issued thereunder.
  2. The District Court where a violation occurs shall have jurisdiction and venue in all criminal actions for the enforcement of the provisions of KRS 198B.650 to 198B.689 , the Uniform State Building Code, the Uniform State Residential Code, and orders issued thereunder.

History. Enact. Acts 2007, ch. 86, § 6, effective July 1, 2008; 2010, ch. 24, § 293, effective July 15, 2010.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 6, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

198B.6677. Power of inspector to refuse to approve work covered by permit — Power of department or authorized local government to prohibit continued use of system — Aggrieved applicant’s right to hearing.

  1. If an installation for which a permit is required does not meet the requirements of the Uniform State Building Code or the Uniform State Residential Code, whichever is applicable, or if the property owner refuses to allow an inspection, the inspector shall refuse to approve the work covered by the permit. The department or authorized local government may prohibit the continued use of a heating, ventilation, and air conditioning system that an authorized inspector determines was improperly installed or altered if continued use threatens human life or if the property owner refused to allow an inspection.
  2. An applicant aggrieved by an action of an inspector or the department may request a hearing in accordance with KRS Chapter 13B.

History. Enact. Acts 2007, ch. 86, § 7, effective January 1, 2009; 2010, ch. 24, § 294, effective July 15, 2010.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 7, to be effective January 1, 2009, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be January 1, 2011.

198B.6678. Department to appoint and assign qualified inspectors to counties.

  1. The department shall appoint and assign heating, ventilation, and air conditioning inspectors to each county subject to the provisions of KRS 198B.650 to 198B.689 and in numbers sufficient to implement the provisions of KRS 198B.650 to 198B.689 .
  2. No person shall be appointed as a heating, ventilation, and air conditioning inspector unless he or she has at least six (6) years’ experience as a licensed heating ventilation, and air conditioning journeyman mechanic or a licensed master heating, ventilation, and air conditioning contractor, unless he or she is a certified building inspector who has successfully passed the examinations relating to heating, ventilation, and air conditioning systems. At the time of his or her appointment, the inspector shall be licensed or certified in accordance with the provisions of KRS 198B.650 to 198B.689 , or become certified within twelve (12) months of employment.

History. Enact. Acts 2007, ch. 86, § 8, effective July 1, 2008; 2010, ch. 24, § 295, effective July 15, 2010; 2019 ch. 7, § 4, effective June 27, 2019.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 8, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be January 1, 2011.

198B.668. Insurance requirements.

  1. No person, firm, or corporation shall practice heating, ventilation, and air conditioning contracting unless that person, firm, or corporation maintains general liability insurance in an amount not less than five hundred thousand dollars ($500,000) and property damage insurance in an amount not less than three hundred thousand dollars ($300,000) underwritten by an insurance carrier licensed and approved by the Kentucky Department of Insurance.
  2. Proof of insurance shall be submitted to the department prior to issuance or renewal of a license.
  3. Proof of insurance, as required by subsection (1) of this section, shall exempt licensees from the requirement of obtaining separate insurance in local jurisdictions under any local licensing laws.
  4. No license shall be valid without the insurance required by this section. Insurance carriers shall notify the department upon cancellation of the insurance of any licensee required to maintain insurance.

HISTORY: Enact. Acts 1994, ch. 59, § 10, effective July 15, 1994; 2010, ch. 24, § 296, effective July 15, 2010; 2017 ch. 169, § 54, effective June 29, 2017.

198B.670. Advertising or claiming to be a master contractor.

No person shall advertise as or claim to be a master heating, ventilation, and air conditioning contractor, unless that person is licensed by the department according to KRS 198B.650 to 198B.689 . The license number shall appear in all advertising and on all vehicles used by the licensee for heating, ventilation, and air conditioning contracting work.

HISTORY: Enact. Acts 1994, ch. 59, § 11, effective July 15, 1994; 2017 ch. 169, § 55, effective June 29, 2017.

198B.672. Sanctions — Reasons for sanctions.

Subject to a hearing conducted in accordance with KRS Chapter 13B, the department may revoke, suspend, place on probation, or restrict the license or certificate of any licensee or certificate holder; refuse to issue or renew a license or certificate; or reprimand, censure, or fine a licensee or certificate holder for any of the following reasons:

  1. Fraud or deceit in obtaining licensure or certification;
  2. Transfer of the authority granted by the license or certificate to another person;
  3. Unfair or deceptive trade practices;
  4. Willful or deliberate disregard and violation of building codes, electrical codes, or related laws and ordinances of this Commonwealth or any city, county, or urban-county government;
  5. Aiding or abetting any person attempting to evade the provisions of KRS 198B.650 to 198B.689 ;
  6. Conspiracy or knowingly combining with any person, to allow a license or certificate to be used by an unlicensed or uncertified person, firm, or corporation with intent to evade the provisions of KRS 198B.650 to 198B.689 . Allowing a license or certificate to be used by more than one (1) person shall be prima facie evidence of intent to evade the provisions of KRS 198B.650 to 198B.689 ;
  7. Willful or deliberate disregard of disciplinary actions taken by the department, or of a city, county, or urban-county government;
  8. Negligence or incompetence in compliance with applicable codes and standards of practice;
  9. Violation of any of the provisions of KRS 198B.650 to 198B.689 or any administrative regulation promulgated by the department; or
  10. Conviction of a crime as defined in KRS 335B.010 , if in accordance with KRS Chapter 335B.

History. Enact. Acts 1994, ch. 59, § 12, effective July 15, 1994; 1996, ch. 318, § 88, effective July 15, 1996; 2017 ch. 158, § 36, effective June 29, 2017; 2017 ch. 169, § 56, effective June 29, 2017.

Legislative Research Commission Notes.

(6/29/2017). This statute was amended by 2017 Ky. Acts chs. 158 and 169, which do not appear to be in conflict and have been codified together.

198B.674. Exemptions.

KRS 198B.650 to 198B.689 shall not apply to:

  1. Employees of any master heating, ventilation, and air conditioning contractor who are subordinates of the licensee, if those employees are not journeyman heating, ventilation, and air conditioning mechanics or apprentice heating, ventilation, and air conditioning mechanics and do not engage in heating, ventilation, and air conditioning contracting, except as an employee;
  2. An employee of the United States government while practicing heating, ventilation, and air conditioning contracting on or within property owned by the United States government.
  3. An individual owner of real property while practicing heating, ventilation, and air conditioning work on or within property owned and occupied by the individual;
  4. A person employed in the installation, maintenance, repair, or replacement of residential window air conditioning units;
  5. A person licensed under KRS Chapter 236, if he is installing, servicing, repairing, or replacing boiler devices;
  6. A person licensed under KRS Chapter 322, if he is preparing plans or conducting construction inspections;
  7. A full-time maintenance person or maintenance engineer performing routine maintenance of heating, ventilation, or air conditioning in connection with his employment;
  8. Contractors or employees while installing or maintaining heating, cooling, air conditioning, ventilation, or burner services on any property or site owned or operated by any entity:
    1. Subject to the jurisdiction of KRS Chapter 278; or
    2. Of any municipal electric, water, gas, or sewer utility operating pursuant to any of the provisions of KRS Chapter 96;
  9. The adjustment of an air flow device performed by any entity specified in subsection (8) of this section, if the adjustment is performed in conjunction with the installation, replacement, or repair of a gas distribution line;
  10. A person licensed or certified pursuant to KRS 227.570, or the administrative regulations promulgated thereunder, upon initial installation of air conditioning units incorporated with the original sale of a manufactured housing unit;
  11. A general retailer whose primary business is not the practice of heating, ventilation, and air conditioning contracting, if that general retailer uses only licensed subcontractors that comply with the provisions of KRS 198B.650 to 198B.689 . The provisions of this subsection shall not exclude or limit the liability of the general retailer, or exempt the general retailer from the insurance requirements as established in KRS 198B.668 , if the general retailer is engaging in the practice of heating, ventilation, and air conditioning contracting;
  12. The installation, service, repair, or replacement of electrical units on any heating, ventilation, or air conditioning system;
  13. An employee or agent of the Commonwealth of Kentucky while practicing heating and ventilation contracting in connection with weatherization assistance for low income persons pursuant to 903 KAR 6:020;
  14. A person conducting routine maintenance of heating, ventilation, or air conditioning as a volunteer for any church or religious organization, provided he receives no compensation for the services rendered; or
  15. The installation, service, repair, or replacement of liquefied petroleum gas units on any heating, ventilation, or air conditioning system by an employee of any person licensed under the provisions of KRS 234.120(1)(a).

History. Enact. Acts 1994, ch. 59, § 13, effective July 15, 1994; 1996, ch. 79, § 1, effective July 15, 1996.

198B.676. Fees.

  1. The department shall establish by administrative regulation and collect the following fees, not to exceed the cost of the licensing program:
    1. Initial application fee for:
      1. Master heating, ventilation, and air conditioning contractor; and
      2. Journeyman heating, ventilation, and air conditioning mechanic;
    2. Examination fee for:
      1. Master heating, ventilation, and air conditioning contractor;
      2. Journeyman heating, ventilation, and air conditioning mechanic; and
      3. Apprentice heating, ventilation, and air conditioning mechanic;
    3. License renewal fee;
    4. Certificate renewal fee;
    5. Duplicate license or certificate fee;
    6. Inactive status fee;
    7. Restoration fee;
    8. Reactivation fee; and
    9. Change of information fee.
  2. All fees and charges collected by the department under the provisions of this section shall be paid into a trust and agency account in the State Treasury. All expenses incurred by the department under the provisions of KRS 198B.650 to 198B.689 shall be paid out of this account, subject to approval of the department.

HISTORY: Enact. Acts 1994, ch. 59, § 14, effective July 15, 1994; 1996, ch. 105, § 2, effective July 15, 1996; 2017 ch. 169, § 57, effective June 29, 2017.

198B.678. Responsibilities of master contractor working for company.

  1. No firm, company, or corporation may engage in the practice of heating, ventilation, and air conditioning contracting in any county of the Commonwealth, unless the person in responsible charge of the heating, ventilation, and air conditioning work is a master heating, ventilation, and air conditioning contractor and is an employee or subcontractor of the firm, company, or corporation.
  2. Each master heating, ventilation, and air conditioning contractor who is employed by a firm, company, or corporation engaged in the practice of heating, ventilation, and air conditioning contracting shall notify the department of that employment and upon termination of the employment.
  3. No master heating, ventilation, and air conditioning contractor shall represent more than one (1) firm, company, or corporation unless the contractor is domiciled in the Commonwealth and has a minimum of twenty-five percent (25%) ownership in each firm, company, or corporation the contractor represents.

HISTORY: Enact. Acts 1994, ch. 59, § 15, effective July 15, 1994; 2017 ch. 169, § 58, effective June 29, 2017; 2018 ch. 22, § 3, effective July 14, 2018.

198B.680. Inspector’s conflict of interest.

  1. A person appointed or employed by the Commonwealth, a county, city, or other jurisdiction to administer, regulate, or inspect heating, ventilation, and air conditioning work shall not have any pecuniary interest in any heating, ventilation, and air conditioning business during the person’s employment with the government or other jurisdiction.
  2. Upon the holder’s appointment or employment as an inspector, that person’s license or certificate shall become inactive. Upon termination of the appointment or employment as an inspector, the person’s license or certificate may be reactivated without examination, by written request to the department and payment of a reactivation fee.

HISTORY: Enact. Acts 1994, ch. 59, § 16, effective July 15, 1994; 2017 ch. 169, § 59, effective June 29, 2017.

198B.682. Continuation of department’s jurisdiction — Notification to local officials of license sanctions.

  1. The revocation, suspension, restriction, lapse, or voluntary surrender of a license or certificate issued by the department shall not deprive the department of jurisdiction to investigate allegations of wrongdoing under KRS 198B.650 to 198B.689 or conduct disciplinary proceedings against a licensee or certificate holder.
  2. The department shall, within thirty (30) days of the action, notify all appropriate local building officials, permit offices, or other authorized persons of license and certificate revocations, suspensions, probations, restrictions, and restorations.

HISTORY: Enact. Acts 1994, ch. 59, § 17, effective July 15, 1994; 2017 ch. 169, § 60, effective June 29, 2017.

198B.684. Continuing education requirements.

The department may adopt by administrative regulation standards for continuing education for licensees and certificate holders.

HISTORY: Enact. Acts 1994, ch. 59, § 18, effective July 15, 1994; 2017 ch. 169, § 61, effective June 29, 2017.

198B.686. Criminal penalties.

  1. Effective July 1, 1995, any person for whom licensure or certification is required who is not licensed or certified by the department and practices heating, ventilation, and air conditioning contracting services shall be guilty of a Class A misdemeanor. Each violation shall be regarded as a separate offense.
  2. Any person who advertises or otherwise holds himself out as being a licensed master or journeyman heating, ventilation, or air conditioning contractor and is not so licensed shall be guilty of a Class A misdemeanor. Each violation shall be regarded as a separate offense.

HISTORY: Enact. Acts 1994, ch. 59, § 19, effective July 15, 1994; 2000, ch. 386, § 3, effective July 14, 2000; 2017 ch. 169, § 62, effective June 29, 2017.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for misdemeanor, KRS 532.090 .

198B.688. Conformity with standards of the Uniform State Building Code.

The installation, maintenance, alteration, or repair of heating systems, ventilation systems, hydronic systems, burner service, or cooling systems governed by KRS 198B.650 to 198B.689 shall be made in conformity with applicable standards of the Uniform State Building Code.

History. Enact. Acts 1994, ch. 59, § 20, effective July 15, 1994.

198B.689. Citation of KRS 198B.650 to 198B.689.

KRS 198B.650 to 198B.689 may be cited as the Heating, Ventilation, and Air Conditioning Contractors’ Act.

History. Enact. Acts 1994, ch. 59, § 21, effective July 15, 1994.

Home Inspectors

198B.700. Definitions for KRS 198B.700 to 198B.738.

As used in KRS 198B.700 to 198B.738 , unless otherwise provided:

  1. “Applicant” means an individual who applies for a license as a home inspector;
  2. “Board” means the Kentucky Board of Home Inspectors established in KRS 198B.704 ;
  3. “Client” means a person who contracts with a licensed home inspector to obtain a home inspection and subsequent written home inspection report;
  4. “Home inspection” means a visual analysis performed for compensation for the purpose of providing a professional opinion and home inspection report by a licensed home inspector, regarding the condition of a residential dwelling and the dwelling’s attached garages and carports, any reasonable accessible installed components, and the operation of the dwelling’s systems, including any controls normally operated by the owner of the dwelling, for systems and components in the standards of practice established by the board. Home inspection shall not include a code compliance inspection, or an inspection required under the National Manufactured Housing Construction and Safety Standards Act of 1974, 42 U.S.C. secs. 5401 et seq., as amended, and rules and regulations issued thereunder, or KRS 227.600 regarding manufactured homes;
  5. “Home inspection report” means a written report prepared by a licensed home inspector for compensation and issued after a home inspection. The report shall include the following:
    1. A report on any system or component inspected that, in the professional opinion of the inspector, is significantly deficient;
    2. The inspector’s recommendation to repair or monitor deficiencies reported under paragraph (a) of this subsection;
    3. A list of any systems or components that were designated for inspection in the standards of practice adopted by the board but that were not inspected; and
    4. The reason a system or component listed under paragraph (c) of this subsection was not inspected;
  6. “Home inspector” means an individual who performs home inspections for compensation;
  7. “Licensee” means a person who performs home inspections and who is licensed under KRS 198B.700 to 198B.738 as a home inspector; and
  8. “Residential dwelling” means a structure consisting of at least one (1) but not more than four (4) units, each designed for occupancy by a single family, whether the units are occupied or unoccupied.

History. Enact. Acts 2004, ch. 109, § 1, effective July 13, 2004; 2008, ch. 100, § 1, effective July 15, 2008; 2010, ch. 24, § 297, effective July 15, 2010; 2011, ch. 100, § 3, effective June 8, 2011.

198B.702. Exemptions from requirements of KRS 198B.700 to 198B.738.

KRS 198B.700 to 198B.738 shall apply to an individual who conducts home inspections for compensation, but shall not apply to the following:

  1. An individual who is acting within the scope of the individual’s employment as:
    1. A code enforcement official for the state or a political subdivision of the state; or
    2. A representative of a state or local housing agency or an individual acting under the authority of the United States Department of Housing and Urban Development;
  2. An individual who is acting within the scope of the individual’s license as a licensed:
    1. Architect under KRS Chapter 323;
    2. Professional engineer under KRS Chapter 322;
    3. Plumbing contractor or journeyman plumber under KRS Chapter 318;
    4. Electrician, master electrician, or electrical contractor under KRS Chapter 227A;
    5. Liquefied petroleum gas dealers under KRS Chapter 234;
    6. Master heating, ventilation, and air conditioning contractor, journeyman heating, ventilation, and air conditioning mechanic, or an apprentice heating, ventilation, and air conditioning mechanic under this chapter; or
    7. Fire protection sprinkler contractor, fire protection system certificate holder, or certified fire sprinkler inspector under this chapter;
  3. An individual licensed under KRS Chapter 324 as a real estate broker, broker-salesperson, or salesperson and is acting within the scope of the individual’s license;
  4. An individual who is licensed under KRS Chapter 324A as a real estate appraiser and is acting within the scope of the individual’s license;
  5. An individual who holds a license under KRS Chapter 304 as an insurance adjuster and is acting within the scope of the individual’s license;
  6. An individual who holds a permit, certificate, or license to:
    1. Use and apply pesticides; or
    2. Make diagnostic inspections and reports for wood destroying pests and fungi under KRS Chapter 217B and is acting within the scope of the individual’s certificate or license;
  7. An individual who holds a license from a political subdivision as a tradesperson or home builder and is acting within the scope of the individual’s license;
  8. An individual who holds a current and valid license, certificate, or permit under KRS 227.550 to 227.660 and is acting within the scope of the individual’s license, certificate, or permit as a:
    1. Manufactured home retailer;
    2. Manufactured home certified retailer; or
    3. Manufactured home certified installer; or
  9. A person not subject to licensure by the Commonwealth who is engaged in providing estimates for remodeling or repair to a residential dwelling.

History. Enact. Acts 2004, ch. 109, § 2, effective July 13, 2004; 2010, ch. 24, § 298, effective July 15, 2010; 2011, ch. 100, § 4, effective June 8, 2011.

198B.704. Kentucky Board of Home Inspectors — Members — Removal — Compensation — Meetings.

    1. There is hereby created an independent agency of state government to be known as the Kentucky Board of Home Inspectors, which shall be attached to the Department of Professional Licensing for administrative purposes. The board shall consist of five (5) members, each appointed by the Governor. Each board member shall serve a term of three (3) years. The board shall annually select one (1) of its members to serve as chair and one (1) of its members to serve as vice chair to act in the chair’s absence. The board shall designate either a board member or a member of the board’s administrative staff to serve as secretary to the board. (1) (a) There is hereby created an independent agency of state government to be known as the Kentucky Board of Home Inspectors, which shall be attached to the Department of Professional Licensing for administrative purposes. The board shall consist of five (5) members, each appointed by the Governor. Each board member shall serve a term of three (3) years. The board shall annually select one (1) of its members to serve as chair and one (1) of its members to serve as vice chair to act in the chair’s absence. The board shall designate either a board member or a member of the board’s administrative staff to serve as secretary to the board.
    2. Any member appointed to fill a vacancy occurring other than by expiration of a term shall be appointed for the remainder of the unexpired term.
    3. No more than three (3) members of the same political party shall serve on the board at the same time.
    4. No member of the board shall reside in the same county as another member. The members of the board shall be residents of Kentucky.
      1. A majority of the board shall constitute a quorum for the transaction of business. The affirmative vote of a majority of the members is necessary for the board to take official action. (e) 1. A majority of the board shall constitute a quorum for the transaction of business. The affirmative vote of a majority of the members is necessary for the board to take official action.
      2. If the chair and vice chair are absent from a meeting of the board when a quorum exists, the members who are present may elect a presiding officer who shall serve as acting chair until the conclusion of the meeting or until the arrival of the chair or vice chair.
    5. No member may serve on the board for more than six (6) consecutive years. A member may serve on the board for six (6) consecutive years on more than one (1) occasion if that person is not a member of the board for at least two (2) years between periods of board service.
  1. The five (5) members of the board shall be chosen as follows:
    1. Three (3) members shall:
      1. Have been actively engaged in performing home inspections in Kentucky for at least five (5) years immediately before the member’s appointment to the board, or have completed no less than one hundred (100) fee-paid inspections per year over the last five (5) years; and
      2. Be licensed by the board as a home inspector;
    2. One (1) member shall represent the public at large and shall not be associated with the home inspection, home building, or real estate business other than as a consumer; and
    3. One (1) member shall be a real estate professional licensed under KRS Chapter 324 who has been actively engaged in selling, trading, exchanging, optioning, leasing, renting, managing, or listing residential real estate in Kentucky for at least five (5) years immediately before the member’s appointment to the board. This member shall be selected from a list of three (3) names submitted to the Governor from the Kentucky Association of Realtors. When a vacancy occurs in this member position, the Kentucky Association of Realtors shall have sixty (60) days after the vacancy occurs to submit a list of three (3) names to the Governor to fill the vacancy. The Governor may reject the list of three (3) names and request that the Kentucky Association of Realtors submit a new list of three (3) names within sixty (60) days of the Governor’s request. If the Kentucky Association of Realtors fails to timely submit this list to the Governor, the Governor may immediately appoint a qualified person to fill this vacancy.
  2. A board member shall be automatically removed from the board and a vacancy shall occur when the board member:
    1. Ceases to be a resident of the Commonwealth of Kentucky;
    2. Displays incompetence, neglect of duty, or unprofessional conduct;
    3. Fails to adhere to a duly adopted code of ethics of the board. Failure to adhere to this code shall be determined by official action of the board;
    4. Enters a plea of guilty to, or has been found guilty of, a felony and the time for appeal has passed or the judgment of conviction has been finally affirmed on appeal; or
    5. Misses three (3) consecutive meetings or misses more than twenty-five percent (25%) of the meetings held over the previous twelve (12) month period.
  3. Voting members of the board shall be compensated no more than three hundred dollars ($300) per day for official business, subject to an annual maximum of six thousand dollars ($6,000). Members shall be reimbursed for all expenses paid and incurred in the discharge of official business consistent with the reimbursement policy for state employees. With the approval of the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing, board members and board staff may attend and travel to and from meetings and events relevant to the board or the industry the board represents.
  4. The board shall meet at least quarterly each calendar year upon the call of the chair or the written request of a majority of the members of the board.
  5. The chair shall establish the date, time, and place for each meeting.

History. Enact. Acts 2004, ch. 109, § 3, effective July 13, 2004; 2006, ch. 77, § 1, effective July 12, 2006; 2008, ch. 100, § 2, effective July 15, 2008; 2010, ch. 24, § 299, effective July 15, 2010; 2011, ch. 100, § 5, effective June 8, 2011; repealed and reenacted 2017, ch. 178, § 17, effective April 11, 2017.

Legislative Research Commission Notes.

(7/12/2006). The reference to “subsection (2)(a)3. of this section” that is contained in subsection (3) of this statute pertains to provisions involving the appointment of certain board members that were removed in 2006 Ky. Acts ch. 77, sec. 1. Because this reference relates to licensure requirements that were to be met by July 1, 2006, and was not removed in the Act, the Reviser of Statutes has not altered or attempted to correct this phrase during codification.

198B.706. Duties and powers of board.

The board shall:

  1. Through the promulgation of administrative regulations:
    1. Determine the requirements for and prescribe the form of licenses, applications, and other documents that are required by KRS 198B.700 to 198B.738 ; and
    2. Require that a home inspection report include a statement that the home inspection report does not address environmental hazards and list all other exclusions with specificity;
  2. Grant, deny, suspend, and revoke approval of examinations and courses of study regarding home inspections;
  3. Issue or deny applications for licensure and renewals;
  4. Investigate complaints concerning licensees, or persons the board has reason to believe should be licensees, including complaints concerning failure to comply with KRS 198B.700 to 198B.738 or administrative regulations promulgated under KRS 198B.700 to 198B.738 , and, when appropriate, take action in accordance with KRS 198B.728 and 198B.730 ;
  5. Bring actions in the name of the state in an appropriate court in order to enforce compliance with KRS 198B.700 to 198B.738 or the administrative regulations promulgated under KRS 198B.700 to 198B.738 ;
  6. Establish license fees in an amount not to exceed two hundred fifty dollars ($250) annually;
  7. Inspect the records of a licensee in accordance with administrative regulations promulgated by the board;
  8. Conduct or designate a member or other representative to conduct public hearings on any matter for which a hearing is required under KRS 198B.728 and 198B.730 ;
  9. Adopt a seal containing the words “Kentucky Board of Home Inspectors” and, through the board’s secretary, certify copies and authenticate all acts of the board;
  10. Use counsel, consultants, and other persons, enter into contracts, and authorize expenditures that are reasonably necessary or appropriate to administer and enforce KRS 198B.700 to 198B.738 and administrative regulations promulgated thereunder;
  11. Establish continuing education requirements for licensed home inspectors in accordance with KRS 198B.722 and 198B.724 ;
  12. Conduct disciplinary actions against licensees to include:
    1. Suspension, probation, or permanent revocation of a license;
    2. Requiring a licensee to obtain additional continuing education; and
    3. Issuance of a written reprimand;
  13. Require all fee-paid home inspections to be conducted in accordance with the standards of practice of:
    1. The American Society of Home Inspectors;
    2. The International Association of Certified Home Inspectors; or
    3. Any other approved standards of practice that are equal to the standards of practice of the organizations in paragraphs (a) and (b) of this subsection as determined by the board.

      The board may establish standards of practice for home inspectors licensed in Kentucky at a later date, which will supersede any other standards of practice previously adopted by the board and, if adopted by regulation, the standards in paragraphs (a) and (b) of this subsection;

  14. Exercise all other powers specifically conferred on the board under KRS 198B.700 to 198B.738 ; and
  15. Promulgate administrative regulations to carry out the effective administration and the requirements of KRS 198B.700 to 198B.738 , with the approval of the executive director of the Kentucky Real Estate Authority.

History. Enact. Acts 2004, ch. 109, § 4, effective July 13, 2004; 2008, ch. 100, § 3, effective July 15, 2008; 2011, ch. 100, § 6, effective June 8, 2011; 2017 ch. 178, § 18, effective April 11, 2017.

198B.708. Department to provide board with administrative supports. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2004, ch. 109, § 5, effective July 13, 2004; 2010, ch. 24, § 300, effective July 15, 2010) was repealed by Acts 2011, ch. 100, § 22, effective June 8, 2011.

198B.710. Revolving fund.

  1. There is established in the State Treasury a revolving fund for the use by the board.
  2. All fees and other money received by the board in accordance with KRS 198B.706 , 198B.712 , 198B.714 , 198B.722 , and 198B.724 shall be deposited in the revolving fund established in subsection (1) of this section.
  3. No part of this revolving fund shall revert to the general fund.
  4. The compensation of board members and all of the board’s expenses incurred by the board shall be paid from this revolving fund.

History. Enact. Acts 2004, ch. 109, § 6, effective July 13, 2004; 2008, ch. 100, § 4, effective July 15, 2008; 2011, ch. 100, § 7, effective June 8, 2011.

198B.712. License required — Qualifications — Application — Insurance — Fee.

  1. An individual shall not advertise or claim to be a home inspector and shall not conduct a home inspection for compensation without first obtaining a license as a home inspector.
  2. An individual shall not advertise as, claim to be, or engage in or work at the trade of home inspection unless an owner or employee of that business is a licensed home inspector.
  3. The board shall deny a license to any applicant who fails to:
    1. Furnish evidence satisfactory to the board, showing that the individual:
      1. Is at least eighteen (18) years of age;
      2. Possesses a high school diploma or a High School Equivalency Diploma; and
      3. Meets other criteria established by the board through promulgation of administrative regulations;
    2. Verify the information submitted on the application form;
    3. Complete a board-approved training program or course of study involving the performance of home inspections, and pass an examination prescribed or approved by the board;
    4. Submit to the board a certificate of insurance that is acceptable to the board and that:
      1. Is issued by an insurance company or other legal entity authorized to transact insurance business in Kentucky;
      2. Provides for general liability coverage of at least two hundred fifty thousand dollars ($250,000);
      3. Lists the Kentucky Board of Home Inspectors as the certificate holder of any insurance policy satisfying the requirements of this paragraph;
      4. States that cancellation and nonrenewal of the underlying policy is not effective until the board receives at least ten (10) days’ prior written notice of the cancellation or nonrenewal; and
      5. Contains any other terms and conditions established by the board; or
    5. Pay a licensing fee established in KRS 198B.706 .
  4. An individual applying for a license as a home inspector shall apply on a written or electronic form prescribed and provided by the board.

HISTORY: Enact. Acts 2004, ch. 109, § 7, effective July 13, 2004; 2005, ch. 182, § 5, effective June 20, 2005; 2008, ch. 100, § 5, effective July 15, 2008; 2011, ch. 100, § 8, effective June 8, 2011; 2017 ch. 63, § 26, effective June 29, 2017.

198B.714. Reciprocity for licensees of other states.

  1. The licensing requirements for a home inspector may be waived for a person moving to Kentucky from another jurisdiction, and the person may be granted a license as a home inspector if:
    1. The other jurisdiction grants the same privileges to licensees of Kentucky as Kentucky grants to licensees of that other jurisdiction;
    2. The person is licensed in the other jurisdiction;
    3. The licensing requirements of the other jurisdiction are determined by the board to be substantially similar to the requirements of KRS 198B.700 to 198B.738 ; and
    4. The person states that he or she has studied, is familiar with, and will abide by KRS 198B.700 to 198B.738 and the administrative regulations promulgated by the board.
  2. A person seeking a license as a home inspector under this section shall:
    1. Apply on a form prescribed and provided by the board; and
    2. Pay the applicable licensing fee established by the board.

History. Enact. Acts 2004, ch. 109, § 8, effective July 13, 2004; 2011, ch. 100, § 9, effective June 8, 2011.

198B.716. Nonresident licensees — Service of process — Credit for out-of-state training programs.

  1. A nonresident whom the board determines meets the requirements of KRS 198B.700 to 198B.738 and who files the written consent described in subsection (2) of this section may be licensed as a home inspector in Kentucky.
  2. A nonresident applicant shall file with the board a written consent stating that, if licensed:
    1. The applicant agrees to the commencement of any action arising out of the conduct of the applicant’s business in Kentucky in the county in which the events giving rise to the cause of action occurred;
    2. The applicant:
      1. Agrees to provide to the board the name and address of an agent to receive service of process in Kentucky; or
      2. Consents to the board acting as the applicant’s agent for the purpose of receiving service of process if:
        1. An agent’s name and address have not been filed with the board; or
        2. The agent’s name and address on file with the board are incorrect; and
    3. The applicant agrees that service of process in accordance with the Kentucky Rules of Civil Procedure is proper service and subjects the applicant to the jurisdiction of Kentucky courts.
  3. The board may consider and accept the successful completion by a nonresident of a training program or course of study completed in another state in lieu of the requirements of KRS 198B.712(3)(c) if the board determines the training program or course of study meets or exceeds the requirements of KRS 198B.712(3)(c) and its implementing administrative regulations, or the board may give credit for such program or course of study towards meeting the requirements of KRS 198B.712(3)(c). The nonresident shall still be subject to the examination requirements of KRS 198B.712(3)(c).

History. Enact. Acts 2004, ch. 109, § 9, effective July 13, 2004; 2008, ch. 100, § 11, effective July 15, 2008.

198B.718. License remains property of board.

All licenses issued by the board shall remain the property of the board.

History. Enact. Acts 2004, ch. 109, § 10, effective July 13, 2004.

198B.720. Notification to board.

A licensee shall notify the board within thirty (30) days of any change of:

  1. Name;
  2. Name under which the licensee conducts business; or
  3. Business address.

History. Enact. Acts 2004, ch. 109, § 11, effective July 13, 2004.

198B.722. Expiration of license — Renewal — Continuing education — Inactive license.

  1. The initial license for a home inspector issued in accordance with KRS 198B.700 to 198B.738 , shall expire on the last day of the licensee’s birth month in the following year. The board may reduce the license fee on a pro rata basis for initial licenses issued for less than twelve (12) months.
  2. Renewed licenses shall expire on the last day of the licensee’s birth month of each even numbered year after the date of issuance of the renewed license.
  3. An individual who applies to renew a license as a licensed home inspector shall:
    1. Furnish evidence showing successful completion of the continuing education requirements of this section;
    2. Pay the renewal fee and late fee, if applicable, established by the board;
    3. Show proof of general liability insurance in the amount required by KRS 198B.712(3)(d); and
    4. Submit a recent background check performed by the Kentucky State Police.
  4. Renewal notices shall be sent to each licensee at least sixty (60) days prior to the expiration of the license. The notice shall inform the licensee of the need to renew and the requirement of payment of the renewal fee.
  5. Renewal and applicable late fees shall be paid with a credit card, a draft, a money order, a cashier’s check, a certified or other personal check, or, if payment is made in person, the payment may be made in cash. If the board receives an uncertified personal check for the renewal fee and if the check does not clear the bank, the board may refuse to renew the license.
  6. Each licensee shall complete the continuing education required by the board prior to applying for license renewal. This requirement shall not exceed thirty (30) hours per two (2) year license cycle.
  7. The board may, through the promulgation of administrative regulations:
    1. Establish an inactive license for licensees who are not actively engaging in the home inspection business but wish to maintain their license;
    2. Reduce license and renewal fees for inactive licenses; and
    3. Waive the insurance requirements established in KRS 198B.712 for inactive licenses.

History. Enact. Acts 2004, ch. 109, § 12, effective July 13, 2004; 2008, ch. 100, § 6, effective July 15, 2008; 2011, ch. 100, § 10, effective June 8, 2011.

198B.724. Continuing education requirements.

The board shall promulgate administrative regulations concerning the continuing education required for the renewal of a home inspector license and shall:

  1. Establish procedures for approving organizations that provide continuing education; and
  2. Prescribe the content, duration, and organization of continuing education courses that contribute to the competence of home inspectors.

History. Enact. Acts 2004, ch. 109, § 13, effective July 13, 2004.

198B.726. Licensure or registration of home inspectors by agencies or political subdivisions prohibited.

  1. As used in this section, “political subdivision” means any city, county, or consolidated local government.
  2. No agency or political subdivision of the state, other than the board, shall impose the following on individuals licensed under KRS 198B.700 to 198B.738 :
    1. A registration or licensing requirement; or
    2. A license fee to obtain any local license, except that this prohibition shall not prevent any local government from imposing an occupational license tax on any person operating as a home inspector within the jurisdiction of the local government.

History. Enact. Acts 2004, ch. 109, § 14, effective July 13, 2004.

198B.728. Disciplinary actions — Sanctions — Final order — Appeal.

  1. The board shall take disciplinary actions against or impose sanctions on a licensee for failing to comply with any provision of KRS 198B.700 to 198B.738 or any administrative regulations promulgated to carry out KRS 198B.700 to 198B.738 .
  2. Pursuant to KRS 13B.120(7), the executive director of the Kentucky Real Estate Authority within the Department of Professional Licensing shall hear and issue a final order regarding any decision of the board. An aggrieved party may appeal a final order of the executive director pursuant to KRS Chapter 13B within thirty (30) days after the issuance of the order to the Circuit Court of the county where the licensee has his or her principal place of business or where the license applicant resides.

History. Enact. Acts 2004, ch. 109, § 15, effective July 13, 2004; 2017 ch. 178, § 19, effective April 11, 2017.

198B.730. Disciplinary hearings — Emergency suspension — Persons not licensed to show cause — Cease and desist order.

  1. The procedures set forth in KRS Chapter 13B shall govern the board’s conduct of disciplinary hearings.
  2. The board may summarily suspend a license for up to ninety (90) days before a final adjudication or during an appeal of the board’s determination if the board finds that the licensee would represent a clear and immediate danger to the public’s health, safety, or property if allowed to perform home inspections. The summary suspension may be renewed upon a hearing before the board for up to ninety (90) days.
  3. If the board:
    1. Determines that an individual is not licensed under KRS 198B.700 to 198B.738 and is engaged in or believed to be engaged in activities for which a license is required under KRS 198B.700 to 198B.738 , the board shall issue an order to that individual requiring the individual to show cause why the individual should not be ordered to cease and desist from the activities. The show cause order shall set forth a date, time, and place for a hearing at which the individual shall appear and show cause why the individual should not be subject to licensing under KRS 198B.700 to 198B.738;
    2. Prior to a hearing, the board may issue a cease and desist order that identifies the individual and describes activities that are the subject of the order.
  4. A cease and desist order issued under this section shall be enforceable in a Circuit Court of the Commonwealth.

History. Enact. Acts 2004, ch. 109, § 16, effective July 13, 2004; 2011, ch. 100, § 11, effective June 8, 2011.

198B.732. Prohibited activities — Penalties — Burden of proof.

  1. An individual is guilty of a Class B misdemeanor if the individual:
    1. Performs or offers to perform home inspections for compensation in Kentucky without being licensed as a home inspector and without being exempt from licensing;
    2. Presents as the individual’s own the license of another;
    3. Intentionally gives false or materially misleading information to the board or to a board member in connection with a licensing matter;
    4. Impersonates another licensee; or
    5. Uses an expired, suspended, revoked, or otherwise restricted license.
  2. An individual is guilty of a Class A misdemeanor if the individual is convicted of a second or subsequent offense under this section within five (5) years of a prior conviction of an offense under this section.
  3. When entering a judgment for an offense under this section, the court shall impose a service fee of an amount equal to any fee or other compensation earned by the individual in the commission of the offense.
  4. Each transaction involving unauthorized activities as described in this section shall constitute a separate offense.
  5. In all actions for the collection of a fee or other compensation for performing home inspections, the party seeking relief shall allege and prove that, at the time that the cause of action arose, the party seeking relief was not in violation of KRS 198B.712 .

History. Enact. Acts 2004, ch. 109, § 17, effective July 13, 2004.; 2008, ch. 100, § 7, effective July 15, 2008; 2010, ch. 24, § 301, effective July 15, 2010; 2011, ch. 100, § 12, effective June 8, 2011.

Research References and Practice Aids

Cross-References.

Classification of offenses; penalties, see KRS 532.020 .

Sentence of imprisonment for misdemeanor, see KRS 532.090 .

198B.734. Statute of limitations on action for damages against home inspector. [Repealed, reenacted and amended.]

Compiler’s Notes.

This section (Enact. Acts 2004, ch. 109, § 18, effective July 13, 2004) was repealed, reenacted and amended as KRS 413.246 by Acts 2008, ch. 100, § 10, effective July 15, 2008.

198B.736. Alternative requirements for licensure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2004, ch. 109, § 19, effective July 13, 2004; 2008, ch. 100, § 8, effective July 15, 2008) was repealed by Acts 2008, ch. 100, § 12, effective July 15, 2008.

Legislative Research Commission Notes.

(7/15/2008). Under KRS 446.260 , the repeal of this section in 2008 Ky. Acts ch. 100, sec. 12, prevails over its amendment in 2008 Ky. Acts ch. 100, sec. 8.

198B.738. Home inspectors prohibited from indicating compliance or noncompliance with Kentucky Residential Code.

Home inspectors, when acting in that capacity, are prohibited from indicating orally or in writing that any condition is or is not in compliance with the Kentucky Residential Code.

History. Enact. Acts 2004, ch. 109, § 20, effective July 13, 2004; 2008, ch. 100, § 9, effective July 15, 2008; 2011, ch. 100, § 13, effective June 8, 2011.

Penalties

198B.990. Penalties.

  1. Any person who violates any provision of KRS 198B.140 , 198B.6671 , or 198B.6672 , the Uniform State Building Code, the Uniform State Residential Code, or any directive or order issued pursuant thereto, shall be fined not less than ten dollars ($10) nor more than one thousand dollars ($1,000). Each day the violation continues shall constitute a separate offense.
  2. Any person who violates the provisions of KRS 198B.310 to 198B.330 shall be fined not less than fifty dollars ($50) nor more than five hundred dollars ($500), or be imprisoned for not more than one (1) year, or both.
  3. Any person who violates any provision of KRS 198B.410 to 198B.540 , or regulation issued thereunder, shall be fined a sum of five hundred dollars ($500) for each offense.
  4. Any person who violates any provision of KRS 198B.550 to 198B.630 or 198B.6401 to 198B.6417 shall be fined not less than one hundred dollars ($100) nor more than one thousand dollars ($1,000). Each day the violation continues shall constitute a separate offense.

History. Enact. Acts 1978, ch. 117, § 65, effective June 17, 1978; 1980, ch. 188, § 9, effective July 15, 1980; 2007, ch. 86, § 10, effective July 1, 2008; 2012, ch. 104, § 3, effective January 1, 2013.

Legislative Research Commission Notes.

(4/18/2008). This statute was created by 2007 Ky. Acts ch. 86, sec. 10, to be effective July 1, 2008, pursuant to sec. 12 of that Act. However, 2008 Ky. Acts ch. 127 (2008 HB 406, the State/Executive Branch Budget) provided in Part I, F.,16., (2) HVAC Permitting and Inspecting, that notwithstanding the delayed effective date provided in 2007 Ky. Acts ch. 86, sec. 12, the effective date of this statute shall be July 1, 2010.

Although KRS 198B.990 was included in Acts 1982, ch. 308, § 7, the amended language was deleted by committee amendment.

198B.991. Penalty.

Failure to comply with any order under KRS 198B.625 or the violation of KRS 198B.550 to 198B.630 or any regulation issued thereunder shall constitute a Class B misdemeanor.

History. Enact. Acts 1984, ch. 383, § 18, effective July 13, 1984.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for a misdemeanor, KRS 532.090 .

CHAPTER 199 Protective Services for Children — Adoption

Definitions

199.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (331e-1) was repealed by Acts 1952, ch. 161, § 1.

199.011. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Adoption worker” means an employee of the cabinet so designated by the secretary for health and family services, a social worker employed by a county or city who has been approved by the cabinet to handle, under its supervision, adoption placement services to children, or a social worker employed by or under contract to a child-placing adoption agency;
  2. “Adult adopted person” means any adopted person who is twenty-one (21) years of age or older;
  3. “Cabinet” means the Cabinet for Health and Family Services;
  4. “Child” means any person who has not reached his eighteenth birthday;
  5. “Child-caring facility” means any institution or group home, including institutions and group homes that are publicly operated, providing residential care on a twenty-four (24) hour basis to children, not related by blood, adoption, or marriage to the person maintaining the facility, other than an institution or group home certified by an appropriate agency as operated primarily for educational or medical purposes, or a residential program operated or contracted by the Department of Juvenile Justice that maintains accreditation, or obtains accreditation within two (2) years of opening from a nationally recognized accrediting organization;
  6. “Child-placing agency” means any agency licensed by the cabinet, which supervises the placement of children in foster family homes or child-caring facilities, or which places children for adoption;
  7. “Department” means the Department for Community Based Services;
  8. “Family rehabilitation home” means a child-caring facility for appropriate families and comprising not more than twelve (12) children and two (2) staff persons;
  9. “Fictive kin” means an individual who is not related by birth, adoption, or marriage to a child, but who has an emotionally significant relationship with the child;
  10. “Foster family home” means a private home in which children are placed for foster family care under supervision of the cabinet or of a licensed child-placing agency;
  11. “Group home” means a homelike facility, excluding Department of Juvenile Justice-operated or -contracted facilities, for not more than eight (8) foster children, not adjacent to or part of an institutional campus, operated by a sponsoring agency for children who may participate in community activities and use community resources;
  12. “Institution” means a child-caring facility providing care or maintenance for nine (9) or more children;
  13. “Placement services” means those social services customarily provided by a licensed child-placing or a public agency, which are necessary for the arrangement and placement of children in foster family homes, child-placing facilities, or adoptive homes. Placement services are provided through a licensed child-placing or a public agency for children who cannot be cared for by their biological parents and who need and can benefit from new and permanent family ties established through legal adoption. Licensed child-placing agencies and public agencies have a responsibility to act in the best interests of children, biological parents, and adoptive parents by providing social services to all the parties involved in an adoption;
  14. “Rap back system” means a system that enables an authorized entity to receive ongoing status notifications of any criminal history from the Department of Kentucky State Police or the Federal Bureau of Investigation reported on an individual whose fingerprints are registered in the system, upon approval and implementation of the system;
  15. “Reasonable and prudent parent standard” has the same meaning as in 42 U.S.C. sec. 675(10) ;
  16. “Secretary” means the secretary for health and family services; and
  17. “Voluntary and informed consent” means that at the time of the execution of the consent, the consenting person was fully informed of the legal effect of the consent, that the consenting person was not given or promised anything of value except those expenses allowable under KRS 199.590(6), that the consenting person was not coerced in any way to execute the consent, and that the consent was voluntarily and knowingly given. If at the time of the execution of the consent the consenting person was represented by independent legal counsel, there shall be a presumption that the consent was voluntary and informed. The consent shall be in writing, signed and sworn to by the consenting person, and include the following:
    1. Date, time, and place of the execution of the consent;
    2. Name of the child, if any, to be adopted, and the date and place of the child’s birth;
    3. Consenting person’s relationship to the child;
    4. Identity of the proposed adoptive parents or a statement that the consenting person does not desire to know the identification of the proposed adoptive parents;
      1. A statement that the consenting person understands that the consent will be final and irrevocable under this paragraph unless withdrawn under this paragraph. (e) 1. A statement that the consenting person understands that the consent will be final and irrevocable under this paragraph unless withdrawn under this paragraph.
      2. If placement approval by the secretary is required, the voluntary and informed consent shall become final and irrevocable seventy-two (72) hours after the execution of the voluntary and informed consent. This consent may be withdrawn only by written notification sent to the proposed adoptive parent or the attorney for the proposed adoptive parent on or before the expiration of the seventy-two (72) hours by certified or registered mail and also by first-class mail.
      3. If placement approval by the secretary is not required, the voluntary and informed consent shall become final and irrevocable seventy-two (72) hours after the execution of the voluntary and informed consent. This consent may be withdrawn only by written notification sent to the proposed adoptive parent or the attorney for the proposed adoptive parent on or before the expiration of the seventy-two (72) hours by certified or registered mail and also by first-class mail;
    5. Disposition of the child if the adoption is not adjudged;
    6. A statement that the consenting person has received a completed and signed copy of the consent at the time of the execution of the consent;
    7. Name and address of the person who prepared the consent, name and address of the person who reviewed and explained the consent to the consenting person, and a verified statement from the consenting person that the consent has been reviewed with and fully explained to the consenting person; and
    8. Total amount of the consenting person’s legal fees, if any, for any purpose related to the execution of the consent and the source of payment of the legal fees.

History. Enact. Acts 1950, ch. 125, § 1; 1952, ch. 83, § 6; 1956, ch. 157, § 9; 1960, ch. 68, Art. IX, § 11; 1962, ch. 211, § 1; 1972, ch. 153, § 1; 1974, ch. 74, Art. VI, § 107(1), (13), (16), (21); 1976, ch. 142, § 1; 1978, ch. 137, § 1, effective June 17, 1978; 1978, ch. 314, § 3, effective June 17, 1978; 1980, ch. 188, § 148, effective July 15, 1980; 1986, ch. 43, § 1, effective July 15, 1986; 1986, ch. 423, § 197, effective July 1, 1987; 1994, ch. 242, § 1, effective July 15, 1994; 1998, ch. 426, § 134, effective July 15, 1998; 1998, ch. 527, § 1, effective July 15, 1998; 1998, ch. 538, § 2, effective April 13, 1998; 2000, ch. 14, § 17, effective July 14, 2000; 2001, ch. 69, § 1, effective June 21, 2001; 2005, ch. 99, § 44, effective June 20, 2005; 2016 ch. 115, § 1, effective July 15, 2016; 2017 ch. 135, § 2, effective March 27, 2017; repealed and reenacted 2017, ch. 10, § 1, effective June 29, 2017; 2019 ch. 33, § 2, effective June 27, 2019.

Compiler’s Notes.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

Many of the following annotations were decided under this section prior to its amendment in 1986 by Acts 1986, ch. 423, § 197 which amendment deleted the definition of “abused or neglected child.” For the present definition of “abused or neglected child” see KRS 600.020 .

Legislative Research Commission Notes.

(6/29/2017). Under the authority of KRS 7.136(1), the Reviser of Statutes has modified the internal numbering of subsection (16)(e) of this statute from the way it appeared in 2017 Ky. Acts ch. 10, sec. 1. The words in the text were not changed.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 426, 527, and 538. Where these Acts are not in conflict, they have been codified together. Where a conflict exists between chs. 527 and 538, Acts ch. 527, which was last enacted by the General Assembly, prevails under KRS 446.250 .

The amendment of this section by Acts 1980, ch. 280, sec. 140, which was to have taken effect on July 15, 1984, was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

NOTES TO DECISIONS

1.Abused or Neglected Child.

Where mother, after being forced to place children with state department of child welfare, did not inquire about or contact them or make any effort to provide suitable home for them, finding that she had neglected and abandoned them was proper. Allen v. Commonwealth, Dep't of Child Welfare, 420 S.W.2d 122, 1967 Ky. LEXIS 98 ( Ky. 1967 ).

Where the Cabinet for Human Resources (now Cabinet for Health and Family Services) established the defendants’ abuse and neglect of their older daughter by clear and convincing evidence and that the pattern of sexual abuse occurring with the older daughter could well repeat itself with the younger children, such possibility did not constitute clear and convincing evidence of abuse and neglect with respect to the younger children. O.B.C. v. Cabinet for Human Resources, 705 S.W.2d 954, 1986 Ky. App. LEXIS 1048 (Ky. Ct. App. 1986) (decision prior to 1986 amendment).

2.—Discretion of Court.

The trial court has a great deal of discretion to determine whether a child fits within the abused or neglected category and whether the abuse or neglect warrants termination of parental rights, but, in deciding to terminate parental rights, the court must state specifically the facts which justify its decision. Department for Human Resources v. Moore, 552 S.W.2d 672, 1977 Ky. App. LEXIS 730 (Ky. Ct. App. 1977) (decision prior to 1986 amendment).

3.—Involuntary Termination of Parental Rights.

The Department for Human Resources (now Cabinet for Health and Family Services) need not prove child abuse by the parents before parental rights can be involuntarily terminated. Bryant v. Kentucky Dep't for Human Resources, 548 S.W.2d 165, 1977 Ky. App. LEXIS 648 (Ky. Ct. App. 1977) (decision prior to 1986 amendment).

Where a child suffered injuries for which the parents delayed or neglected to seek medical attention it was a “neglected child” within the meaning of this section so that trial court’s decision in directing involuntary termination of parental rights was sustained. Bryant v. Kentucky Dep't for Human Resources, 548 S.W.2d 165, 1977 Ky. App. LEXIS 648 (Ky. Ct. App. 1977) (decision prior to 1986 amendment).

Given the serious nature of depriving a parent of all rights to his child, as well as the fact that the alleged neglect appeared to have involved specific isolated events in the past, the trial court in a termination case previously tried under the “preponderance of evidence” standard must retry the case applying the new “clear and convincing” standard of proof to the provisions of KRS 199.603 (now repealed) and this section. H. v. Department for Human Resources, 642 S.W.2d 600, 1982 Ky. App. LEXIS 269 (Ky. Ct. App. 1982) (decision prior to 1986 amendment).

Where neither parent worked on a regular basis, neither parent appeared to have employment skills or the motivation to obtain those skills, the father became violent when angry, neither parent would admit to the sexual abuse of the older daughter, and both parents blamed the older daughter for initiating the sexual contact, the termination of the defendants’ parental rights with respect to the younger children was supported by clear and convincing evidence. O.B.C. v. Cabinet for Human Resources, 705 S.W.2d 954, 1986 Ky. App. LEXIS 1048 (Ky. Ct. App. 1986) (decision prior to 1986 amendment).

Where the children’s health was unquestionably harmed when they were allowed to be hungry and unclothed, to run around with infected wounds, and to have obvious serious physical conditions go undetected and untreated, the trial court had no choice but to find abuse and neglect exercised upon these children by their respective parents and the court did not terminate parental rights on the basis of poverty alone. V.S. v. Commonwealth, Cabinet for Human Resources, 706 S.W.2d 420, 1986 Ky. App. LEXIS 1069 (Ky. Ct. App. 1986) (decision prior to 1986 amendment).

4.Abandoned and Neglected Child.

Generally, abandonment is demonstrated by facts or circumstances that evince a settled purpose to forego all parental duties and relinquish all parental claims to the child; nonsupport does not itself constitute abandonment, especially where the child is supported by a volunteer, but it may be an element of abandonment. O.S. v. C.F., 655 S.W.2d 32, 1983 Ky. App. LEXIS 334 (Ky. Ct. App. 1983) (decision prior to 1986 amendment).

In adoption proceedings parental rights are not severed merely because a child would have a better home elsewhere or because the natural parent may provide less parental care than the adopting parent, nor are they severed because a parent has temporarily abdicated his parental responsibility in favor of a relative; rather, there must be proof that the natural parent has abandoned or neglected the infant as prescribed by the statute. O.S. v. C.F., 655 S.W.2d 32, 1983 Ky. App. LEXIS 334 (Ky. Ct. App. 1983) (decision prior to 1986 amendment).

The trial court’s findings were insufficient to support its conclusions that mother abandoned or neglected her child, where mother’s separation from the child was the result of her mental and emotional problems, for which she had sought and continued to receive treatment, and her failure to provide support was due to her inability to work due to her mental problems. D.S. v. F.A.H., 684 S.W.2d 320, 1985 Ky. App. LEXIS 516 (Ky. Ct. App. 1985) (decision prior to 1986 amendment).

5.Consent.

In appellants’ theft trial under KRS 514.040(1), the parties stipulated that appellants were not under any obligation to permit someone to adopt the child, for purposes of KRS 199.500(1), 199.011(14), and no one told appellants they could not accept money for anyone else; the indictment was based on appellants’ failure to disclose to a couple, who had been paying appellants for pregnancy expenses in the hope of adopting the child, that appellants had also accepted money from an adoption agency, but the court found no crime, and the court found that (1) the couple knew money had already exchanged hands between appellants and the agency, and the couple was not guaranteed to be able to adopt appellants’ child, and there was no deception as to the purpose of the funds, (2) nothing required appellants to inform the couple of other adoptive parents they were considering and getting money from, and (3) the couple did not make the money contingent on appellants not contacting other potential adoptive parents or agencies, and there was no theft by deception or otherwise. Young v. Commonwealth, 2013 Ky. App. LEXIS 72 (Ky. Ct. App., sub. op., 2013 Ky. App. Unpub. LEXIS 1003 (Ky. Ct. App. May 3, 2013).

Cited in:

Smith v. Wilson, 269 S.W.2d 255, 1954 Ky. LEXIS 987 ( Ky. 1954 ); Stanfield v. Willoughby, 269 S.W.2d 270, 1954 Ky. LEXIS 992 ( Ky. 1954 ); Breckinridge v. Skillman’s Trustee, 330 S.W.2d 726, 1959 Ky. LEXIS 202 ( Ky. 1959 ); Kantorowicz v. Reams, 332 S.W.2d 269, 1959 Ky. LEXIS 17 ( Ky. 1959 ); Jouett v. Rhorer, 339 S.W.2d 865, 1960 Ky. LEXIS 485 ( Ky. 1960 ); Commonwealth, Dep’t of Child Welfare v. Helton, 411 S.W.2d 932, 1967 Ky. LEXIS 495 ( Ky. 1967 ); Allen v. Department for Human Resources, 540 S.W.2d 597, 1976 Ky. LEXIS 34 ( Ky. 1976 ); Hafley v. McCubbins, 590 S.W.2d 892, 1979 Ky. App. LEXIS 491 (Ky. Ct. App. 1979); E. v. Department for Human Resources, 638 S.W.2d 282, 1982 Ky. App. LEXIS 237 (Ky. Ct. App. 1982); Siereveld v. Conn, 557 F. Supp. 1178, 1983 U.S. Dist. LEXIS 19039 (E.D. Ky. 1983 ); G.G.L. v. Cabinet for Human Resources, 686 S.W.2d 826, 1985 Ky. App. LEXIS 488 (Ky. Ct. App. 1985); Cabinet for Human Resources v. S.R.J., 706 S.W.2d 431, 1986 Ky. App. LEXIS 1072 (Ky. Ct. App. 1986).

Research References and Practice Aids

Cross-References.

Abused or neglected child, defined, KRS 600.020 .

Department of welfare in cities of the first class, KRS 98.010 .

Immunization of children, KRS 214.034 .

Juvenile Code, KRS Chapters 600 to 645.

Juvenile proceedings, jurisdiction, KRS 610.010 , 610.110 , 635.080 .

Parent and child, KRS Chapter 405.

Uniform Act on Paternity, KRS Chapter 406.

Kentucky Law Journal.

Kentucky Law Survey, Griffin and Becker, Zoning, 67 Ky. L.J. 627 (1978-1979).

Kentucky Law Survey, Crome, Domestic Relations, 69 Ky. L.J. 581 (1980-81).

Kentucky Law Survey, Patterson, Juvenile Code, 70 Ky. L.J. 343 (1981-82).

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Comment, Baby Doe’s New Guardians: Federal Policy Brings Nontreatment Decisions Out of Hiding, 75 Ky. L.J. 659 (1986-87).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Juvenile Court, § 32.3.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.2, 29.6, 29.10.

“Code Adam” Safety Protocol

199.013. “State building” defined.

As used in KRS 199.013 to 199.019 , unless the context otherwise requires, “state building” means any structure that houses government offices of the Commonwealth of Kentucky. The term does not include government offices of counties, municipalities, special districts, public corporations, public instrumentalities, or the Court of Justice.

History. Enact. Acts 2004, ch. 21, § 1, effective July 13, 2004.

199.015. “Code Adam” safety protocol.

The “Code Adam” safety protocol is hereby established and shall be implemented by all administrators in state buildings in the following manner:

  1. When a parent, tutor, or guardian notifies any employee of a state building that his or her child is lost or missing, the employee shall obtain from the parent, tutor, or guardian a detailed description of the minor, including but not limited to the name, age, color of eyes, height, weight, clothing, and the shoes the child was wearing at the time the child was last seen before becoming lost or missing;
  2. From the closest telephone available, the same employee shall alert the state building administrator or the person designated in the state building’s “Code Adam” plan, who shall then notify the occupants of the state building through the loudspeaker system or through any other fast and effective means of communication that “Code Adam” has been activated;
  3. The employee shall escort the parent, tutor, or guardian to the main door of the state building to help in identifying the child;
  4. Persons designated by the administrator shall monitor all state building exits to ascertain that the minor does not leave the state building without the parent, tutor, or guardian. In addition, two (2) or more employees, as may be necessary, shall be assigned to search the parking areas of the state building. This process shall not entail the closing or locking of any door of the state building;
  5. Any child, or person with a child, leaving the state building shall be asked to go through the main exit previously designated by the administrator. If, once there, the child or person wishes to leave the state building, he or she shall be allowed to do so after it has been determined that the minor who is leaving is not the child being searched for and that the person with the minor is the parent, tutor, or guardian of the child, and the person presents a government-issued photo identification;
  6. After “Code Adam” has been announced through the state building’s loudspeaker system or through any other fast and effective means of communication, the employees shall search throughout the entire state building, and at least two (2) employees, or more as deemed necessary, shall be assigned to each floor to certify that the minor is not present. Employees who are directly serving a member of the public at that time and employees who have been previously excluded by the administrator shall not be compelled to participate in the search;
  7. If the minor is found unharmed and appears to have been simply lost or missing in the state building, the child shall be immediately taken to the parent, tutor, or guardian;
  8. If the minor is found in the company of any person other than the child’s parent, tutor, or guardian, any reasonable means shall be taken to delay the exit of the child and the person with whom the child was found from the state building until a peace officer arrives, the child and the person with whom the child is found both are properly identified, and the circumstances of the situation are determined;
  9. If the minor is not found within a ten (10) minute period, the state building administrator shall notify a state or local law enforcement agency that a child is lost or missing and provide the information then known about the lost or missing child. The law enforcement agency shall respond to the scene and shall take control of the incident. The law enforcement agency may request that the local search and rescue coordinator provide additional resources to search for the lost or missing child. The law enforcement agency and the local dispatch center shall take the actions required by KRS 17.450 , 17.460 , and 39F.180 ;
  10. Upon the location of the lost or missing child or the arrival of a peace officer from the law enforcement agency which was notified of the lost or missing child, whichever occurs earlier, the state building administrator shall cause an announcement of the ending of the “Code Adam” by the state building loudspeaker or other fast and effective means of communication; and
  11. Upon the ending of the “Code Adam,” the state building administrator shall prepare three (3) copies of a report of the incident, which shall:
    1. Be sent within three (3) working days to the secretary of the Finance and Administration Cabinet and the commissioner of the Department of Kentucky State Police; and
    2. Be kept in the administrative files of the state building for a period of three (3) years from the date of the incident.

History. Enact. Acts 2004, ch. 21, § 2, effective July 13, 2004; 2007, ch. 85, § 236, effective June 26, 2007.

199.017. Finance and Administration Cabinet to implement “Code Adam” program — Training — Signs — Drills — Annual report.

The secretary of the Finance and Administration Cabinet, in consultation with the Justice and Public Safety Cabinet through the Department of Kentucky State Police, shall:

  1. Be responsible for coordinating implementation of the “Code Adam” program throughout the Commonwealth;
  2. Provide training to administrators of state buildings and employees designated by those administrators in the implementation of the “Code Adam” program;
  3. Provide training in procedures for the search of state buildings and grounds for lost and missing children;
  4. Print and distribute signs to each public agency for use in each state building relating to the “Code Adam” program and how to initiate a “Code Adam.” The signs shall be not less than twelve (12) inches square and have white letters and a purple background containing the information specified by the cabinet by administrative regulation;
  5. Provide for annually conducting a “Code Adam” drill at each facility covered by the provisions of KRS 199.013 to 199.019 ;
  6. Provide for the collection of statistics from each facility covered by the provisions of KRS 199.013 to 199.019 on each “Code Adam” within the state building;
  7. Provide an annual report to the Governor, the Department of Kentucky State Police, the Legislative Research Commission, and the General Assembly on each “Code Adam” within the Commonwealth during the previous calendar year and the results of each “Code Adam” incident. The annual report shall be a public record and shall not include the name or other identifying information, other than gender and age, of the child; and
  8. Promulgate administrative regulations necessary for the implementation of the “Code Adam” program as required by KRS 199.013 to 199.010 .

History. Enact. Acts 2004, ch. 21, § 3, effective July 13, 2004; 2007, ch. 85, § 237, effective June 26, 2007.

199.019. Exemption from “Code Adam” program for agency or building not visited by children — Expiration of exemption.

The secretary of the Finance and Administration Cabinet, in consultation with the Justice and Public Safety Cabinet through the Department of Kentucky State Police, may exempt any agency or state building which, due to the nature of the services provided by that agency or state building, is not visited by children. The agency or state building shall immediately report to the secretary of the Finance and Administration Cabinet when the agency or state building is likely to be visited by children on a frequent or continuing basis. Upon receipt of the notification from the state building administrator or agency that the state building is being visited by children, the exemption from compliance with the provisions of KRS 199.013 to 199.019 shall expire.

History. Enact. Acts 2004, ch. 21, § 4, effective July 13, 2004; 2007, ch. 85, § 238, effective June 26, 2007.

199.020. Jurisdiction of juvenile session of county court. [Repealed.]

Compiler’s Notes.

This section (331e-2, 331e-9) was repealed by Acts 1952, ch. 161, § 61.

199.030. Clerk and stenographer of juvenile session. [Repealed.]

Compiler’s Notes.

This section (331e-2, 331e-17) was repealed by Acts 1952, ch. 161, § 61.

199.031. Juvenile court in certain third-class cities — Detention home. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 40, § 1) was repealed by Acts 1952, ch. 161, § 61.

199.032. Police judge as presiding judge of juvenile court — Clerk of court — Probation officer. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 40, § 2) was repealed by Acts 1952, ch. 161, § 61.

199.033. Applicability of laws to court established under KRS 199.031 — Expense of maintaining child in reform school. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 40, § 3) was repealed by Acts 1952, ch. 161, § 61.

199.034. Tax for juvenile court and detention home. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 40, § 4) was repealed by Acts 1952, ch. 161, § 61.

199.040. Child may have jury trial. [Repealed.]

Compiler’s Notes.

This section (331e-2) was repealed by Acts 1952, ch. 161, § 61.

199.050. Persons in charge of children — Proceedings against. [Repealed.]

Compiler’s Notes.

This section (331e-4) was repealed by Acts 1952, ch. 161, § 61.

199.060. Service of process — Summons — Warrant — Form of proceedings. [Repealed.]

Compiler’s Notes.

This section (331e-4) was repealed by Acts 1952, ch. 161, § 61.

199.070. Release of child pending hearing — Detention school — Compensation and qualification of superintendent and matron. [Repealed.]

Compiler’s Notes.

This section (331e-4) was repealed by Acts 1952, ch. 161, § 61.

199.080. Procedure when child is charged with a crime. [Repealed.]

Compiler’s Notes.

This section (331e-5, 331e-6, 2095b-13) was repealed by Acts 1952, ch. 161, § 61.

199.090. Commitment of children convicted of crimes. [Repealed.]

Compiler’s Notes.

This section (2095b-13, 2095b-13a) was repealed by Acts 1952, ch. 161, § 61.

199.100. Commitment of girls. [Repealed.]

Compiler’s Notes.

This section (2095b-26) was repealed by Acts 1952, ch. 161, § 61.

199.110. Duration of commitment. [Repealed.]

Compiler’s Notes.

This section (2095c-1, 2095c-2, 2095c-4) was repealed by Acts 1952, ch. 161, § 61.

199.120. Parole of children. [Repealed.]

Compiler’s Notes.

This section (2095c-3, 2095c-4) was repealed by Acts 1952, ch. 161, § 61.

199.130. Disposition of dependent or neglected child. [Repealed.]

Compiler’s Notes.

This section (331e-9, 331e-11) was repealed by Acts 1950, ch. 125, § 33.

199.131. Disposition of abandoned, or dependent or neglected children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 7) was repealed by Acts 1952, ch. 161, § 61.

199.135. Appeal from judgment of juvenile court in proceeding involving dependent or neglected child — Effect of juvenile court judgment in habeas corpus proceeding. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 10) was repealed by Acts 1952, ch. 161, § 61.

199.140. Disposition of delinquent child. [Repealed.]

Compiler’s Notes.

This section (331e-7, 331e-11) was repealed by Acts 1952, ch. 161, § 61.

199.150. Child may be required to make restitution. [Repealed.]

Compiler’s Notes.

This section (331e-16) was repealed by Acts 1952, ch. 161, § 61.

199.160. Court to consider religion of child’s parents. [Repealed.]

Compiler’s Notes.

This section (331e-14) was repealed by Acts 1952, ch. 161, § 61.

199.170. Disposition of physically or mentally handicapped children — Examination by physician. [Repealed.]

Compiler’s Notes.

This section (331e-8) was repealed by Acts 1952, ch. 161, § 61.

199.180. Girls to be accompanied by woman attendant. [Repealed.]

Compiler’s Notes.

This section (331e-10) was repealed by Acts 1952, ch. 161, § 61.

199.190. Order of court sufficient proof for custody. [Repealed.]

Compiler’s Notes.

This section (331e-13) was repealed by Acts 1952, ch. 161, § 61.

199.200. Parents to contribute to child’s support when able. [Repealed.]

Compiler’s Notes.

This section (331e-15) was repealed by Acts 1952, ch. 161, § 61.

199.210. Report of county clerks to Governor. [Repealed.]

Compiler’s Notes.

This section (331e-2) was repealed by Acts 1952, ch. 161, § 61.

199.220. Report of custodian of committed child — Action on report. [Repealed.]

Compiler’s Notes.

This section (331e-12) was repealed by Acts 1952, ch. 161, § 61.

199.230. Advisory board of juvenile session — Duties. [Repealed.]

Compiler’s Notes.

This section (331e-19) was repealed by Acts 1952, ch. 161, § 61.

199.240. Probation officers — Appointment — Compensation. [Repealed.]

Compiler’s Notes.

This section (331e-3: amend. 1942, ch. 180, §§ 4, 7) was repealed by Acts 1952, ch. 161, § 61.

199.250. Duties of probation officers. [Repealed.]

Compiler’s Notes.

This section (331e-20) was repealed by Acts 1952, ch. 161, § 61.

199.260. Duties of chief probation officer. [Repealed.]

Compiler’s Notes.

This section (331e-20) was repealed by Acts 1952, ch. 161, § 61.

199.270. Termination of probation period. [Repealed.]

Compiler’s Notes.

This section (331e-20) was repealed by Acts 1952, ch. 161, § 61.

199.280. Information of probation officers confidential. [Repealed.]

Compiler’s Notes.

This section (331e-20) was repealed by Acts 1952, ch. 161, § 61.

199.290. Use of evidence in subsequent actions. [Repealed.]

Compiler’s Notes.

This section (331e-1) was repealed by Acts 1952, ch. 161, § 61.

199.300. Juvenile court quarters in certain counties. [Repealed.]

Compiler’s Notes.

This section (331e-2) was repealed by Acts 1952, ch. 161, § 61.

199.310. Tax to defray expenses. [Repealed.]

Compiler’s Notes.

This section (331e-21) was repealed by Acts 1952, ch. 161, § 61.

199.320. Contributing to delinquency of children prohibited. [Repealed.]

Compiler’s Notes.

This section (331g-1: amend. Acts 1954, ch. 193, § 1) was repealed by Acts 1962, ch. 212, § 12.

General Provisions

199.330. Children not to be willfully exposed or injured. [Repealed.]

Compiler’s Notes.

This section (327, 331) was repealed by Acts 1964, ch. 85, § 5.

199.335. Specified persons to report child abuse or neglect — Report to law enforcement agency — Search warrant — Protective custody — Immunity from liability. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 85, §§ 1, 2; 1970, ch. 270; 1972, ch. 232, § 1; 1974, ch. 74, Art. VI, § 107(1), (13); 1976, ch. 142, § 2; 1978, ch. 137, § 2, effective June 17, 1978; 1980, ch. 188, § 150, effective July 15, 1980; 1984, ch. 123, § 1, effective July 13, 1984; 1986, ch. 289, § 1, effective July 15, 1986; 1986, ch. 439, § 5, effective July 15, 1986) was repealed by Acts 1986, ch. 423, § 198, effective July 1, 1987. For present law see KRS 620.030 , 620.040 , 620.050 .

199.340. Employment or exhibition of child; when prohibited. [Repealed.]

Compiler’s Notes.

This section (326) was repealed by Acts 1964, ch. 85, § 5.

199.341. Interstate Compact on Placement of Children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 123, § 1; 1978, ch. 137, § 3) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.030 , 615.040(1) to (5).

199.343. Definitions of terms in Interstate Compact. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 123, §§ 3, 4, 8; 1974, ch. 74, Art. VI, § 107(1)) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.030 , 615.040(1) to (5).

199.345. Financial responsibility for child placed and agreements under Interstate Compact. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 123, § 2, 5; 1974, ch. 74, Art. II, § 9(1)) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.030 , 615.040(1) to (5).

199.347. Court may place child in foreign state under compact. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 123, § 7) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.030 , 615.040(1) to (5).

199.350. Importation of dependent children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 157, § 10) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.030 , 615.040(1) to (5).

199.360. Department of Welfare to enforce law. [Repealed.]

Compiler’s Notes.

This section (331c-2) was repealed by Acts 1950, ch. 125, § 33.

199.370. Exceptions to regulations on importation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 157, § 1; 1966, ch. 123, § 6; 1974, ch. 74, Art. VI, § 107(23); 1978, ch. 137, § 4) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.040(6), (7) and 620.170 .

199.375. Voluntary commitment of children to cabinet — Support — Care — Release. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 73, §§ 1, 2; 1974, ch. 74, Art. VI, § 107(1), (13), (21), (23) and (30); 1980, ch. 188, § 151) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 615.040(6), (7) and 620.170 .

Boarding and Lodging Homes

199.380. Boarding and lodging homes for children under age sixteen — Authority to operate — Investigation — Revocation of authority. [Repealed]

HISTORY: Enact. Acts 1946, ch. 13, § 1; 1970, ch. 92, § 62; 1980, ch. 188, § 152, effective July 15, 1980; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

199.390. Record book of boarding or lodging home. [Repealed]

HISTORY: Enact. Acts 1946, ch. 13, § 2; 1970, ch. 92, § 63; 1980, ch. 188, § 153, effective July 15, 1980; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

199.400. Security for care and custody of nonresident child accepted for boarding or lodging in this state. [Repealed]

HISTORY: Enact. Acts 1946, ch. 13, § 3; 1970, ch. 92, § 64; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

199.410. Exceptions from KRS 199.380 to 199.400 — Application only to counties containing city with population of 20,000 or more. [Repealed]

HISTORY: Enact. Acts 1946, ch. 13, §§ 4, 6; 1950, ch. 125, § 8; 1952, ch. 83, § 7; 2014, ch. 92, § 268, effective January 1, 2015; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

Administrative Provisions

199.420. Administrative functions of secretary — Personnel — Compensation and other benefits — Administrative costs.

  1. The secretary may promulgate administrative regulations authorized by statute for the proper administration of the functions of the cabinet, including qualification for the receipt of federal funds and for cooperation with other state and federal agencies.
  2. In the administration of KRS 199.420 to 199.670 , the secretary shall cooperate to the fullest extent possible with any agency of this state or any other state of the United States.
  3. The secretary is authorized, subject to the provisions of KRS Chapters 12, 18A, 42, 45, and 64, to appoint, fix the compensation, and prescribe the duties and powers of any officers and employees as are necessary in the performance of the secretary’s duties under KRS 199.420 to 199.670 . All positions shall be filled by persons selected and appointed on a nonpartisan merit basis, in accordance with merit standards established by law. The secretary shall not employ or pay any person who is an officer or committee member of any political party organization. The secretary may delegate to any person so appointed that power and authority as the secretary deems reasonable and proper for the effective administration of KRS 199.420 to 199.670 .
  4. The secretary shall have the power and authority to elect coverage for the workers in the cabinet, under the provisions of KRS Chapter 341, and may elect coverage for these workers under the workers’ compensation law of this state. In the event the coverage is elected the payment of contributions under KRS Chapter 341 and premiums under the workers’ compensation law shall be deemed a proper cost of administration.
  5. The salaries and expenses of the secretary and the secretary’s staff shall be considered a proper cost of administration and charged to the funds allocated to the Cabinet for Health and Family Services.

History. Enact. Acts 1950, ch. 125, § 3; 1952, ch. 83, § 4; 1962, ch. 211, § 2; 1974, ch. 74, Art. VI, § 107(1), (13) and (21); 1998, ch. 426, § 135, effective July 15, 1998; 2003, ch. 89, § 20, effective June 24, 2003; 2005, ch. 99, § 173, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Appropriations for child welfare functions not to lapse at end of fiscal year, KRS 45.236 .

199.430. Witnesses and evidence — Confidential treatment of information and records.

  1. In the discharge of the duties imposed by KRS 199.420 to 199.670 the secretary or his duly authorized representative may administer oaths and affirmations, take depositions, certify official acts, and issue subpoenas to compel the attendance of witnesses and production of books, papers, correspondence, memoranda and other records considered necessary and relevant as evidence in connection with the administration of the cabinet. Such subpoena shall be served in the same manner as a subpoena issued out of a circuit court. Witnesses subpoenaed shall be allowed mileage allowance according to KRS 421.015 for each day their attendance is actually required at a hearing.
  2. No person shall be excused from attending and testifying or from producing books, papers, correspondence, memoranda or other records in response to such subpoena on the grounds that the evidence required of him may tend to incriminate him or subject him to a penalty for forfeiture. No person shall be prosecuted or subjected to any suit, penalty, or forfeiture on account of any transaction, matter, or thing concerning which he or his agent or worker is compelled, after having claimed privilege against self-incrimination, to give evidence, except that such witness so testifying shall not be exempt from punishment for perjury.
  3. All letters, reports, communications, and other matters, written or oral, to the cabinet or any of its agents, representatives, or employees, or to any board or official functioning under KRS 199.420 to 199.670 , which have been written, sent, or made in connection with the requirements and administration of the cabinet shall be absolutely privileged and shall not be the subject matter or basis for any suit for slander or libel in any court, but no person testifying before the secretary or his duly authorized representative shall be exempt from punishment for perjury. Information obtained shall not be published or be open for public inspection, except to public employees in the performance of their duties, but any interested party at a hearing before the secretary or his duly authorized representative shall be supplied with information from such records to the extent necessary for the proper presentation of his case.

HISTORY: Enact. Acts 1950, ch. 125, § 3; 1952, ch. 83, § 9; 1970, ch. 92, § 65; 1974, ch. 74, Art. VI, § 107(21); 1980, ch. 188, § 182, effective July 15, 1980; 2018 ch. 112, § 17, effective July 14, 2018.

NOTES TO DECISIONS

Cited in:

Commonwealth v. Brown, 619 S.W.2d 699, 1981 Ky. LEXIS 263 ( Ky. 1981 ), overruled, Murphy v. Commonwealth, 652 S.W.2d 69, 1983 Ky. LEXIS 249 ( Ky. 1983 ), overruled in part, Murphy v. Commonwealth, 652 S.W.2d 69, 1983 Ky. LEXIS 249 ( Ky. 1983 ).

Research References and Practice Aids

Cross-References.

Heads of departments may empower representatives to administer oaths and examine witnesses, KRS 12.120 .

199.440. Destruction of records.

The secretary may authorize the destruction of any original reports and records that have been properly recorded or summarized in the permanent records of the cabinet or are no longer considered necessary to the proper administration of the cabinet. The destruction or disposition shall be made only by order of the secretary. Any money received from the disposition of the records shall be deposited and credited to the use of the Cabinet for Health and Family Services.

History. Enact. Acts 1950, ch. 125, § 4; 1966, ch. 255, § 189; 1974, ch. 74, Art. VI, § 107(1), (21); 1998, ch. 426, § 136, effective July 15, 1998; 2005, ch. 99, § 174, effective June 20, 2005.

199.450. Advisory councils for child welfare. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 5) was repealed by Acts 1960, ch. 68, Art. IX, § 14.

199.460. Duties of cabinet concerning child welfare. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch.125, § 6; 1978, ch. 137, § 5, effective June 17, 1978) was repealed by Acts 1986, ch. 423, § 198, effective July 1, 1987. For present law see KRS 605.130 .

199.461. Monthly regional, county, and statewide caseload average for social service workers — Requirement of report if average in excess of specified quantity.

  1. As used in this section, “social service worker” means a social worker employed by the Cabinet for Health and Family Services, Department for Community Based Services, to provide direct casework services in foster care, child protection, juvenile services, or adult protection.
  2. As used in this section, “active case” includes the total number of cases for which the family service worker has responsibility.
  3. The monthly statewide caseload average for social service workers in the area of foster care, child protection, juvenile services, or adult protection shall not exceed twenty-five (25) active cases.
  4. Nothing in this section shall prevent the department or a social service worker from handling emergencies to carry out statutory mandates. If the monthly regional, county, or statewide caseload average for social service workers exceeds twenty-five (25) active cases for ninety (90) consecutive days, the department shall report the fact to the Governor and to the Legislative Research Commission together with a description of the factors contributing thereto and shall make recommendations related thereto. The report shall include, by county and region, social service worker caseload averages; the number of established social service worker positions; and the number of vacant social service worker positions.

HISTORY: Enact. Acts 1986, ch. 285, § 1, effective July 1, 1986; 1992, ch. 71, § 1, effective July 14, 1992; 1998, ch. 426, § 137, effective July 15, 1998; 2000, ch. 14, § 18, effective July 14, 2000; 2005, ch. 99, § 175, effective June 20, 2005; 2018 ch. 159, § 3, effective July 14, 2018.

199.462. Criminal background investigation of applicant to provide foster care, relative caregiver services, fictive kin placement, or adoptive home, and of applicant’s adult household members — Request for conviction information — Form and fee for request — Background investigation at annual reevaluation authorized — Administrative regulation — Rap back system.

  1. Before an applicant is approved to provide foster care or relative caregiver services to a child, considered a fictive kin placement for a child, or approved to receive a child for adoption, the Cabinet for Health and Family Services shall:
    1. Require a criminal background investigation of the applicant and any of the applicant’s adult household members by means of a fingerprint check by the Department of Kentucky State Police and the Federal Bureau of Investigation; or
    2. Request from the Justice and Public Safety Cabinet records of all conviction information for the applicant and any of the applicant’s adult household members. The Justice and Public Safety Cabinet shall furnish the information to the Cabinet for Health and Family Services and shall also send a copy of the information to the applicant.
  2. The request  for records shall be in a manner approved by  the Justice and Public Safety Cabinet, and the Justice and Public  Safety Cabinet may charge a fee to be paid by the applicant for the  actual cost of processing the request.
  3. During a certified  adoptive or foster home’s annual reevaluation, the Cabinet  for Health and Family Services may:
    1. Require a background investigation for each adult household member  of the certified adoptive or foster home under subsections (1) and  (2) of this section; or
    2. Register each adult household member  of a certified adoptive or foster home under subsections (1) and (2)  of this section in the rap back system.
  4. If a child is placed and resides in a fictive kin home for more than seventy-two (72) hours, the Cabinet for Health and Family Services shall take action, including but not limited to the following:
    1. Provide information on how to recognize and report child abuse or neglect; and
    2. Ensure that, within the first five (5) days of a child under the age of five (5) years old being placed in a fictive kin home, the fictive kin has completed a one (1) time training course of one and one-half (1.5) hours of training covering the prevention and recognition of pediatric abusive head trauma, as defined in KRS 620.020 .
  5. The Cabinet for Health and Family Services shall promulgate an administrative regulation to implement this section.

History. Repealed, reenact. and amend. 1988, ch. 345, § 3, effective July 15, 1988; 1998, ch. 426, § 138, effective July 15, 1998; 2003, ch. 166, § 1, effective June 24, 2003; 2005, ch. 99, § 176, effective June 20, 2005; 2007, ch. 85, § 239, effective June 26, 2007; 2017 ch. 10, § 2, effective June 29, 2017; 2017 ch. 135, § 3, effective June 29, 2017.

Compiler's Notes.

This section (Enact. Acts 1986, ch. 475, § 2, effective July 15, 1986) was repealed, reenacted and amended by Acts 1988, ch. 345, § 3, effective July 15, 1988.

Legislative Research Commission Notes.

(6/29/2017). This statute was amended by 2017 Ky. Acts chs. 10 and 135, which do not appear to be in conflict and have been codified together.

199.463. Mandatory examinations for foster children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 66, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 605.110(2), 605.150 .

199.464. Course for foster parents on prevention and recognition of pediatric abusive head trauma.

  1. A foster parent who receives a child younger than the age of five (5) years for placement shall undergo a one and one-half (1.5) hour continuing education session one (1) time every five (5) years covering the prevention and recognition of pediatric abusive head trauma as defined in KRS 620.020 . A current qualifying foster parent shall demonstrate completion of this educational session by December 31, 2013.
  2. The educational session required in this section shall address risk factors related to pediatric abusive head trauma, and the methods to reduce the risk of pediatric abusive head trauma in the foster or adoptive home. Training in recognizing pediatric abusive head trauma may be designed in collaboration with organizations and agencies that specialize in the prevention and recognition of pediatric abusive head trauma approved by the secretary of the Cabinet for Health and Family Services.
  3. The Cabinet for Health and Family Services may promulgate an administrative regulation to implement this section.

History. Enact. Acts 2010, ch. 171, § 6, effective July 15, 2010.

199.465. Review of children placed in foster homes. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 204, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 605.110(2), 605.150 .

199.466. Background check of child abuse and neglect records at request of parent or legal guardian employing individual to care for minor child.

  1. A parent or legal guardian employing an individual to care for his or her minor child may request the results of a background check of the child abuse and neglect records maintained by the cabinet from the individual by submitting the same form and paying the same fee that would be submitted by an entity required by law to request such a background check on an employee or volunteer for the purpose of determining whether there has been a substantiated finding of child abuse or neglect for the child-care provider. The form shall contain the signature of the individual consenting to the background check.
  2. The cabinet shall notify the individual on whom the background check was completed of the results.
    1. If the results show no substantiated findings of child abuse or neglect on the registry for the individual, the cabinet shall send the individual a letter stating that they have no findings of substantiated abuse or neglect.
    2. If the results show substantiated findings of child abuse or neglect on the registry for the individual, the cabinet shall send the individual the results of the search.
  3. The cabinet shall make the form for requesting a background check of the child abuse and neglect records maintained by the cabinet available on its Web site along with information on how to locate a child-care provider certified or licensed by the cabinet and how to request a criminal background check for a child-care provider.
  4. The cabinet shall promulgate administrative regulations to implement subsection (1) of this section.

HISTORY: 2017 ch. 115, § 1, effective June 29, 2017.

199.467. Adoption of goals by secretary as to maximum number of children in foster care each fiscal year.

Pursuant to the requirements of the Adoption Assistance and Child Welfare Act of 1980, Pub. L. 96-272, the secretary for health and family services shall adopt by regulation specific goals for each fiscal year for the cabinet as to the maximum number of children, (either in absolute numbers or as a percentage of all children in foster care with respect to whom assistance is provided in that year) who, at any time during such fiscal year, will remain in foster care after having been in such care for a period in excess of twenty-four (24) months, together with a description of the steps to be taken by the state to achieve such goals.

History. Enact. Acts 1982, ch. 190, § 1, effective July 15, 1982; 1998, ch. 426, § 139, effective July 15, 1998; 2005, ch. 99, § 177, effective June 20, 2005.

Compiler’s Notes.

The Adoption Assistance and Child Welfare Act of 1980 (P.L. 96-272) is compiled primarily as 42 USCS § 670 et seq.

Adoption

199.470. Petition for adoption of child — Parties — Residence requirement — Approval of secretary — Exceptions.

  1. Any person who is eighteen (18) years of age and who is a resident of this state or who has resided in this state for twelve (12) months next before filing may file a petition for leave to adopt a child in the Circuit Court of the county in which the petitioner resides.
  2. If the petitioner is married, the husband or wife shall join in a petition for leave to adopt a child unless the petitioner is married to a biological parent of the child to be adopted, except that if the court finds the requirement of a joint petition would serve to deny the child a suitable home, the requirement may be waived.
  3. If a child is placed for adoption by the cabinet, by an agency licensed by the cabinet, or with written approval by the secretary of the cabinet, the petition may be filed at the time of placement. In all other adoptions, the petition shall not be filed until the child has resided continuously in the home of the petitioner for at least ninety (90) days immediately prior to the filing of the adoption petition.
  4. No petition for adoption shall be filed unless prior to the filing of the petition the child sought to be adopted has been placed for adoption by a child-placing institution or agency, or by the cabinet, or the child has been placed with written approval of the secretary; but no approval shall be necessary in the case of:
    1. A child sought to be adopted by a blood relative, including a relative of half-blood, first cousin, aunt, uncle, nephew, niece, and a person of a preceding generation as denoted by prefixes of grand, great, or great-great; stepparent; stepsibling; or fictive kin; however, the court in its discretion may order a report in accordance with KRS 199.510 and a background check as provided in KRS 199.473(8);
    2. A child received by the proposed adopting parent or parents from an agency without this state with the written consent of the secretary;
    3. A child adopted under the provisions of KRS 199.585(1); or
    4. A child who has been approved under KRS Chapter 615.

HISTORY: Enact. Acts 1950, ch. 125, § 10; 1962, ch. 211, § 3; 1964, ch. 182, § 1(1) to (5); 1968, ch. 100, § 3; 1974, ch. 74, Art. VI, § 107(21); 1974, ch. 121, § 1; 1994, ch. 242, § 2, effective July 15, 1994; 2005, ch. 68, § 2, effective June 20, 2005; 2005, ch. 175, § 1, effective June 20, 2005; 2018 ch. 159, § 4, effective July 14, 2018.

NOTES TO DECISIONS

1.Constitutionality.

This section did not violate Ky. Const., §§ 27 and 28 or fail to provide adequate standards by which the commissioner (now secretary) could decide whether to grant or deny approval for placement for adoption or set forth improper classification. Commonwealth, Dep't of Child Welfare v. Lorenz, 407 S.W.2d 699, 1966 Ky. LEXIS 174 ( Ky. 1966 ).

2.Construction.

Since this section requires that before the child can be adopted he must have been placed in the home for the purpose of adoption, the legislative policy of the state is that no child except as set out in paragraphs (a) and (b) of subsection (4) of this section is to be adopted unless he is first placed in the home for that purpose by the Department of Child Welfare (now Cabinet for Health and Family Services). Commonwealth Dep't of Child Welfare v. Jarboe, 464 S.W.2d 287, 1971 Ky. LEXIS 490 ( Ky. 1971 ).

KRS 199.470 merely set out stepparents, grandparents, sisters and brothers, and aunts and uncles by exempting them from the requirement that anyone seeking to adopt a child obtain written approval from the Secretary of the Cabinet, but did not attempt to define this group of individuals as “relatives” or by any other term; the regulations and policies of Kentucky Cabinet for Families and Children vested second cousins of an adoptive child with a sufficient, cognizable legal interest in the child’s adoption proceeding, and their motion to intervene should have been granted. Baker v. Webb, 127 S.W.3d 622, 2004 Ky. LEXIS 43 ( Ky. 2004 ).

Circuit court erred in granting a mother’s motion to dismiss a father’s petition to add the step-mother as the child’s step-parent for adoption and in denying the step-mother’s motion to alter, amend, or vacate said order because the adoption superseded the termination, and the Cabinet for Health and Family Services was not an indispensable party since the step-mother was a party to the amended petition. E.K. v. T.A., 2019 Ky. App. LEXIS 22 (Ky. Ct. App. Feb. 22, 2019), op. withdrawn, sub. op., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

3.Retention of Rights by Natural Parent.

The retention by the natural parent, by virtue of court sanction, of any semblance of parental authority over an adopted child, which is taken from such parent by judicial decree, is repugnant to the very spirit of the adoption act. Jouett v. Rhorer, 339 S.W.2d 865, 1960 Ky. LEXIS 485 ( Ky. 1960 ).

4.Approval of Adoption.

The fact that Department of Child Welfare (now Cabinet for Health and Family Services) did not make a motion to dismiss the action for approval of adoption does not in any way abrogate the legislative intent of this section requiring approval of the department (now cabinet) for adoption and will not permit court to thwart this intent. Commonwealth Dep't of Child Welfare v. Jarboe, 464 S.W.2d 287, 1971 Ky. LEXIS 490 ( Ky. 1971 ).

Trial court could not properly allow adoption without the permission of the department (now cabinet) unless such permission was arbitrarily or unreasonably withheld. Commonwealth Dep't of Child Welfare v. Jarboe, 464 S.W.2d 287, 1971 Ky. LEXIS 490 ( Ky. 1971 ).

Same-sex life partner’s adoption of her partner’s biological child was invalid because the Kentucky Cabinet of Families and Children refused to consent as required by KRS 199.510(1); however, the decree could not be attacked under CR 60.02 because the one-year adoption annulment period in KRS 199.540(2) had passed. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Adoptive parents were eligible to adopt and the statutory prerequisites were satisfied where the child had lived continuously with the parents for more than three years before the petition was filed, and the parents met the definition of fictive kin as the child regarded them as her family and was emotionally attached to them. Moreover, the parents named and served the appropriate parties, were of good moral character, and were financially able to support the child. C.J. v. M.S., 572 S.W.3d 492, 2019 Ky. App. LEXIS 48 (Ky. Ct. App. 2019).

5.Placement Requirement.

Circuit Court lacked jurisdiction over attempted adoption by custodial couple where child had not been placed with the custodial couple for adoption as provided by subsection (4) of this section and where the child was not available for adoption since he had parents whose parental rights had not been terminated and no action for termination of parental rights had ever been filed by any of the entities listed in KRS 199.603 (now repealed). Cabinet for Human Resources v. McKeehan, 672 S.W.2d 934, 1984 Ky. App. LEXIS 508 (Ky. Ct. App. 1984).

Action of trial court in permitting foster parents to amend their petition for termination of parental rights to one of adoption did not cure foster parent’s lack of standing to bring such termination action where the child had been placed in foster care under written contract which actually excluded adoption; moreover, since the child had not been placed for adoption as required by this section, the foster parents had no standing to attempt adoption. L.S.J. v. E.B., 672 S.W.2d 937, 1984 Ky. App. LEXIS 505 (Ky. Ct. App. 1984).

Where the State petitioned to involuntarily terminate parental rights, where the parents thereafter petitioned to voluntarily terminate their parental rights upon the condition that the child’s paternal grandparents be permitted to adopt him, and where the paternal grandparents moved to intervene, the trial court properly denied their motion because a proceeding for the termination of parental rights concerned the relationship between parent and child and not any other party; the grandparents simply had no cognizable rights to protect or enforce in a termination proceeding. Further, under KRS 199.470(3), the grandparents could not petition to adopt the child because he had not resided continuously in their home for at least 90 days; because the grandparents could not satisfy this prerequisite, they lacked standing to go forward in an adoption proceeding. Commonwealth v. L.J.P., 316 S.W.3d 871, 2010 Ky. LEXIS 120 ( Ky. 2010 ).

6.Strict Compliance.

The right of adoption exists only by statute, and there must be strict compliance with the adoption statutes. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

Since adoption is a statutory right which severs forever the paternal relationship, strict compliance with the procedures provided is required in order to protect the rights of the natural parents. Day v. Day, 937 S.W.2d 717, 1997 Ky. LEXIS 9 ( Ky. 1997 ).

7.Jurisdiction.

Since subsection (3) of this section clearly requires that the child reside with the petitioners continuously for at least 90 days prior to the filing of the adoption, such mandate is a prerequisite to the trial court’s exercise of jurisdiction to hear the petition for adoption, and the parties may not by agreement, estoppel or otherwise confer subject matter jurisdiction upon the court; thus, where child had not continuously resided with petitioners for 90 days prior to filing of the petition, such adoption was void for lack of jurisdiction. Day v. Day, 937 S.W.2d 717, 1997 Ky. LEXIS 9 ( Ky. 1997 ).

8.Custody When Adoption Judgment Void.

Where judgment of adoption was void for lack of jurisdiction since child had not resided with petitioners for at least 90 days prior to filing of petition, as provided in KRS 199.550(1), custody must be returned to the custody of the individual having custody at the time the petition for adoption was filed. Day v. Day, 937 S.W.2d 717, 1997 Ky. LEXIS 9 ( Ky. 1997 ).

9.Stepparent.

A stepparent is defined by one’s indirect legal relationship to a child; a stepparent to a child is one who marries one of the child’s biological or adoptive parents, provided the parental rights of such parent have not been voluntarily or involuntarily terminated. Stepparent status requires a legal marriage to the child’s parent. A same-sex partner of the biological parent cannot be a stepparent. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Both Ky. Rev. Stat. Ann. §§ 199.470 and 199.480 are devoid of any language indicating the cabinet must be a named party in a step-parent adoption; neither of these statutes mandate that the cabinet must be a named party to the amended petition. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Cabinet was not an indispensable party to a step-mother’s petition seeking adoption because the child resided with the father and step-mother; the cabinet’s participation was not required because the step-mother was a party to the amended petition. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

10.Familial Relationship.

Adoptive parents did not have to be blood relatives; the great step-aunt of the children had the requisite familial relationship for purposes of adoption. B.L. v. J.S., 434 S.W.3d 61, 2014 Ky. App. LEXIS 75 (Ky. Ct. App. 2014).

Cited in:

Welsh v. Young, 240 S.W.2d 584, 1951 Ky. LEXIS 981 ( Ky. 1951 ); Smith v. Wilson, 269 S.W.2d 255, 1954 Ky. LEXIS 987 ( Ky. 1954 ); Stanfield v. Willoughby, 286 S.W.2d 908, 1956 Ky. LEXIS 433 , 53 A.L.R.2d 925 ( Ky. 1956 ); Higgason v. Henry, 313 S.W.2d 275, 1958 Ky. LEXIS 251 ( Ky. 1958 ); Commonwealth v. Hallahan, 391 S.W.2d 378, 1965 Ky. LEXIS 305 ( Ky. 1965 ); Warner v. Ward, 401 S.W.2d 62, 1966 Ky. LEXIS 402 ( Ky. 1966 ); Roark v. Yarbrough, 411 S.W.2d 916, 1966 Ky. LEXIS 27 ( Ky. 1966 ); Gilliam v. Weinberger, 364 F. Supp. 1230, 1973 U.S. Dist. LEXIS 11492 (E.D. Ky. 1973 ); Moore v. Dawson, 531 S.W.2d 259, 1975 Ky. LEXIS 32 ( Ky. 1975 ); McNames v. Corum, 683 S.W.2d 246, 1984 Ky. LEXIS 299 ( Ky. 1984 ); Surrogate Parenting Associates, Inc. v. Commonwealth, 704 S.W.2d 209, 1986 Ky. LEXIS 237 ( Ky. 1986 ).

Opinions of Attorney General.

As the legislature did not make provision for an alternate authority for approving or denying adoption petitions, the commissioner of the Department of Child Welfare (now secretary of the Cabinet for Health and Family Services) is charged with the duty of approving or denying all adoption petitions under this section. OAG 71-217 .

A person can satisfy the residency requirement of this section by either being a legal resident of Kentucky or by merely residing at a place in Kentucky for 12 months but without the intent to remain there. OAG 77-685 .

Research References and Practice Aids

Kentucky Law Journal.

Skaggs, Adoption — Requirement of Consent of Natural Parent, 42 Ky. L.J. 267 (1953).

Mitchell, Kentucky Law Relating to the Placement of Children for Adoption, 53 Ky. L.J. 223 (1964-1965).

Fortune, Venue of Civil Actions in Kentucky, 60 Ky. L.J. 497 (1971).

Notes, In Defense of Surrogate Parenting: A Critical Analysis of the Recent Kentucky Experience, 69 Ky. L.J. 877 (1980-81).

Graham, Implementing Custody Mediation in Family Court: Some Comments on the Jefferson County Family Court Experience, 81 Ky. L.J. 1107 (1992-93).

Northern Kentucky Law Review.

Schlam, Third-Party Standing in Child Custody Disputes: Will Kentucky’s New “De Facto Guardian” Provision Help?, 27 N. Ky. L. Rev. 368 (2000).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Custody of Children, § 26.3.

Petrilli, Kentucky Family Law, Forms, Adoption and Termination of Parental Rights, Form 3.9.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.8, 29.9, 29.10, 29.13, 29.16.

199.471. Denial of adoption on religious, ethnic, or racial grounds.

Petitions for adoption of children placed for adoption by the cabinet or a licensed child-placing institution or agency shall not be denied on the basis of the religious, ethnic, racial, or interfaith background of the adoptive applicant, unless contrary to the expressed wishes of the biological parent(s).

History. Enact. Acts 1972, ch. 231, § 2.

NOTES TO DECISIONS

1.Application.

Although the plaintiffs, who sought to adopt a child from a Roman Catholic charity, were placed on a list labeled “traditional Catholics” since they were members of a group not in union with the archbishop, and the plaintiffs maintained that placing them on the “traditional Catholic” list was discriminatory, the trial court correctly held that the controversy was of a doctrinal or theological nature and was therefore beyond its discretion in view of the fact that the Roman Catholic Church’s government is not congregational but is prelatical with a judicatory with revisory powers. Once the purely doctrinal question was answered by the ecclesiastical judicatory, the questions raised civilly by subsection (1) of KRS 344.020 and this section could be addressed by the civil judicatory. Clarke v. Kelly, 707 S.W.2d 358, 1986 Ky. App. LEXIS 1101 (Ky. Ct. App. 1986).

199.472. Adoption of children regulated.

  1. The cabinet shall establish criteria to be followed for the adoption of children and promulgate this criteria by administrative regulations.
  2. The cabinet shall file the regulations as provided for in KRS Chapter 13A with the Legislative Research Commission.

History. Enact. Acts 1972, ch. 231, § 3.

NOTES TO DECISIONS

Cited in:

Department for Human Resources v. R.G., 664 S.W.2d 519, 1984 Ky. LEXIS 208 ( Ky. 1984 ).

199.473. Placement of children by private person — Home study required — Temporary custody — Background check — Removal.

  1. All persons other than a child-placing agency or institution, the department, or persons excepted by KRS 199.470(4) who wish to place or receive a child shall make written application to the secretary for permission to place or receive a child.
  2. Prior to the approval of an application to place or receive a child, the fee required pursuant to subsection (13) of this section shall be paid and a home study shall be completed. The purpose of the home study shall be to review the background of the applicant and determine the suitability of the applicant to receive a child, taking into account at all times the best interest of the child for whom application to receive has been made.
    1. The home study shall be made in accordance with administrative regulations promulgated by the cabinet in accordance with KRS Chapter 13A. (3) (a) The home study shall be made in accordance with administrative regulations promulgated by the cabinet in accordance with KRS Chapter 13A.
    2. The cabinet shall conduct the home study for an applicant whose total gross income is equal to or less than two hundred fifty percent (250%) of the federal poverty level guidelines issued each year by the federal government, unless the applicant submits a written request for the home study to be conducted by a licensed child-placing agency or institution. Upon request, the cabinet shall make information available to an applicant who does not meet the requirements of this paragraph to assist the applicant in obtaining a home study from a licensed child-placing agency approved to provide adoption services.
    3. A licensed child-placing agency approved to provide adoption services shall conduct the home study for an applicant whose gross total income is more than two hundred fifty percent (250%) of the federal poverty level guidelines issued each year by the federal government.
    4. Calculation of family size for this subsection shall include each child requested to be adopted.
    5. The portion of the home study pertaining to the home and family background shall be valid for one (1) year following the date of its completion by an adoption worker.
  3. The adoption worker making the home study shall make a finding in writing recommending either that the application be granted or that the application be denied. The recommendation of the adoption worker shall then be reviewed by the secretary.
  4. Based on the report and recommendation of the adoption worker making the home study, the secretary shall grant or refuse permission for the applicant to place or receive a child as early as practicable, but, in any case, the decision shall be made within sixty (60) days after the receipt of the application. In reaching a decision, the secretary shall be guided by the ability of the persons wishing to receive the child to give the child a suitable home, and shall at all times consider the best interest of the child from a financial, medical, psychological, and psychiatric standpoint.
  5. If the application is refused, the secretary shall in general terms furnish in writing the reasons for his or her refusal.
  6. Any person who seeks temporary custody of a child prior to the secretary’s ruling on an application for adoption shall file a petition seeking temporary custody, with a notice of intent to adopt, with the Circuit Court that will have jurisdiction of the adoption proceedings. The clerk of the court shall send a notice of the filing of the petition to the cabinet. A hearing on the petition shall occur no later than seventy-two (72) hours after the filing of the petition, excluding weekends and holidays. Proceedings under this subsection shall be incorporated into the court’s adoption file. If the adoption is not finalized within six (6) months of the filing of the petition and notice of intent, the court shall conduct a hearing on the status and custody of the child.
  7. Upon a finding by the Circuit Court that the child should be placed prior to the secretary’s ruling on the application, the Circuit Court may grant the applicant temporary custody of the child pending the decision of the secretary. Temporary custody shall not be granted to an applicant unless a background check, including but not limited to a criminal records check by the Justice and Public Safety Cabinet or the Administrative Office of the Courts and a background check of child abuse and neglect records maintained by the cabinet, has been submitted to and reviewed by the court. The background check required for temporary custody shall be part of the home study required under subsection (2) of this section. If the application is denied by the secretary, the temporary custody order shall be set aside and, upon motion of the cabinet or of the child’s parent or parents, the Circuit Court may order the child returned to the biological parent or parents or the child’s custody may be awarded to the cabinet, another licensed child-placing agency, or other individuals deemed appropriate by the court. This section shall not be deemed to permit the completion of any adoption proceeding without the approval of the secretary and compliance with KRS 615.030 , if required.
  8. In any case where the cabinet refuses to approve the placement of a child for adoption when requested by the parent or parents of the child, or refuses the request of any person or persons that a child be placed with that person or those persons for adoption, the decision of the secretary in so refusing shall be final unless within ten (10) days after notice of refusal, the biological or proposed adopting parent or parents shall appeal to the Circuit Court of the county in which the adoption is proposed. No placement shall be disapproved on the basis of the religious, ethnic, racial, or interfaith background of the adoptive applicant, if the placement is made with the consent of the parent.
  9. The cabinet may refuse to approve the placement of a child for adoption if the child’s custodial parent is unwilling for the child to be placed for adoption with the proposed adoptive family. The cabinet may approve or deny the placement, in spite of the fact that the custodial parent or parents are unwilling to be interviewed by the cabinet or other approving entity, or if, after diligent efforts have been made, the adoption worker is unable to locate or interview the custodial parent or parents. The cabinet shall be made a party defendant to the appeal. In the hearing of an appeal, the court shall review the findings of the secretary and shall determine if the secretary has acted arbitrarily, unlawfully, or in a manner that constitutes an abuse of discretion.
  10. If a child who does not fall within the exception provided for in KRS 199.470(4) is placed or received in a home without the court’s review of the background check required under this section or the permission of the secretary for health and family services, or if permission to receive a child has been denied, a representative of the cabinet shall notify in writing or may petition the juvenile session of District Court of the county in which the child is found setting out the facts concerning the child. When the petition has been filed, the court shall take jurisdiction of the child and shall provide for it as it would provide for a dependent, neglected, or abused child under KRS Chapter 620, except that the child may not be placed in the home of the applicants who are to receive the child unless permission to do so is granted by the secretary or the action is ordered by a Kentucky court of competent jurisdiction.
  11. When either the custodial parent or parents of the child to be placed or the persons wishing to receive the child reside out-of-state, the requirement of KRS 615.030 , Interstate Compact on the Placement of Children, shall be met before the cabinet gives approval for the child’s placement.
  12. The secretary of the Cabinet for Health and Family Services shall be paid a nonrefundable fee of two hundred dollars ($200) upon the filing of the written application for permission to place or receive a child. Payment shall be made by certified or cashier’s check only. All funds collected under this section shall be deposited in a restricted account, which is hereby created, for the purpose of subsidizing an adoptive parent for suitable care of a special-needs child as authorized in KRS 199.555 .
  13. Nothing in this statute shall be construed to limit the authority of the cabinet or a child-placing institution or agency to determine the proper disposition of a child committed to it by the juvenile session of District Court or the Circuit Court, prior to the filing of an application to place or receive.

HISTORY: Enact. Acts 1962, ch. 211, § 3; 1964, ch. 182, § 1(6) to (9); 1972, ch. 231, § 1; 1974, ch. 74, Art. VI, § 107(1), (14), (21); 1976, ch. 62, § 98; 1978, ch. 137, § 6, effective June 17, 1978; 1980, ch. 188, § 154, effective July 15, 1980; 1980, ch. 280, § 144, effective July 15, 1984; 1986, ch. 423, § 187, effective July 1, 1987; 1990, ch. 247, § 1, effective July 13, 1990; 1994, ch. 242, § 3, effective July 15, 1994; 1998, ch. 426, § 140, effective July 15, 1998; 2005, ch. 99, § 178, effective June 20, 2005; 2005, ch. 175, § 2, effective June 20, 2005; 2007, ch. 85, § 240, effective June 26, 2007; 2018 ch. 159, § 36, effective July 14, 2018.

Compiler’s Notes.

The amendment of this section by Acts 1980, ch. 280, § 144, which was to have taken effect on July 15, 1984 was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

Legislative Research Commission Notes.

(6/26/2007). This section was amended by 1980 Ky. Acts ch. 280, sec. 144, which was to have become effective July 1, 1982. Thereafter, 1982 Ky. Acts ch. 284 changed the effective date of that act to July 15, 1984. Then, 1984 Ky. Acts ch. 184 repealed both 1980 Ky. Acts ch. 280, and 1982 Ky. Acts ch. 284.

NOTES TO DECISIONS

1.Application.

This section does not pertain to adoption of children whose parental rights have been previously terminated and/or who have been committed to the Cabinet for Families and Children prior to application under this section. Department for Human Resources v. R.G., 664 S.W.2d 519, 1984 Ky. LEXIS 208 ( Ky. 1984 ).

2.Factors in Assessing Applications.

In assessing an application for adoption, the secretary for human resources may consider not only the suitability of the applicants as potential parents, but any other matters which would affect the best interests of the child. Department for Human Resources v. Basham, 540 S.W.2d 6, 1976 Ky. LEXIS 30 ( Ky. 1976 ).

3.Child Unavailable.

The trial judge did not abuse his discretion in holding that the determination of the Cabinet for Families and Children that the child was not available for placement was not arbitrary, unlawful or an abuse of discretion by the Cabinet since the child had previously been placed in an approved home and was no longer available. Department for Human Resources v. R.G., 664 S.W.2d 519, 1984 Ky. LEXIS 208 ( Ky. 1984 ).

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey, Wilson, Domestic Relations, 65 Ky. L.J. 383 (1976-77).

Notes, In Defense of Surrogate Parenting: A Critical Analysis of the Recent Kentucky Experience, 69 Ky. L.J. 877 (1980-81).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Application for Permission for Child’s Placement, Form 266.24.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.13, 29.16.

199.474. Home study — Administrative regulations.

  1. As used in this section unless the context requires otherwise:
    1. “Cabinet” means the Cabinet for Health and Family Services; and
    2. “Home study” has the same meaning as in KRS 615.030 , Article II, subsection (6).
  2. The cabinet shall promulgate by administrative regulations the process, procedures, and requirements to ensure that a uniform establishment and understanding of the definition of, and the required documentation within, any home study required pursuant to this chapter is the same for both public and private agencies.

HISTORY: 2018 ch. 159, § 8, effective July 14, 2018.

199.475. Petition by army post resident.

Any person who has been a resident of any United States Army post, military reservation or fort within the State of Kentucky for sixty (60) days, or a resident of this state who has resided on such United States Army post, military reservation or fort together aggregating sixty (60) days before filing the petition, may bring an action for adoption of a child in any county adjacent to said army post or military reservation.

History. Enact. Acts 1958, ch. 76, § 1; 1976, ch. 352, § 1.

Research References and Practice Aids

Cross-References.

Adoption of adult, KRS 405.390 .

Treatises

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.8, 29.9.

199.480. Parties defendant in an adoption proceeding — Process — Guardian ad litem.

  1. The following persons shall be made parties defendant in an action for leave to adopt a child:
    1. The child to be adopted;
    2. The biological living parents of a child under eighteen (18), if the child is born in lawful wedlock. If the child is born out of wedlock, its mother; and its father, if one (1) of the following requirements is met:
      1. He is known and voluntarily identified by the mother by affidavit;
      2. He has registered with the cabinet pursuant to KRS 199.503 as a putative father prior to the birth of the child, or if he did not have notice prior to the birth of the child, within twenty-one (21) days after the birth of the child;
      3. He has caused his name to be affixed to the birth certificate of the child;
      4. He has commenced a judicial proceeding claiming parental right;
      5. He has contributed financially to the support of the child, either by paying the medical or hospital bills associated with the birth of the child or financially contributed to the child’s support; or
      6. He has married the mother of the child or has lived openly or is living openly with the child or the person designated on the birth certificate as the biological mother of the child. A putative father shall not be made a party defendant if none of the requirements set forth above have been met, and a biological parent shall not be made a party defendant if the parental rights of that parent have been terminated under KRS Chapter 625, or under a comparable statute of another jurisdiction;
    3. The child’s guardian, if it has one.
    4. If the care, custody, and control of the child has been transferred to the cabinet, or any other individual or individuals, institution, or agency, then the cabinet, the other individual or individuals, institution, or agency shall be named a party defendant, unless the individual or individuals, or the institution or agency is also the petitioner.
  2. Each party defendant shall be brought before the court in the same manner as provided in other civil cases except that if the child to be adopted is under fourteen (14) years of age and the cabinet, individual, institution, or agency has custody of the child, the service of process upon the child shall be had by serving a copy of the summons in the action upon the cabinet, individual, institution or agency, any provision of CR 4.04(3) to the contrary notwithstanding.
  3. If the child’s biological living parents, if the child is born in lawful wedlock, or if the child is born out of wedlock, its mother, and if paternity is established in legal action or if an affidavit is filed stating that the affiant is father of the child, its father, are parties defendant, no guardian ad litem need be appointed to represent the child to be adopted.

History. Enact. Acts 1950, ch. 125, § 11; 1962, ch. 210, § 27; 1962, ch. 211, § 4; 1974, ch. 51, § 1; 1974, ch. 386, § 35; 1980, ch. 188, § 183, effective July 15, 1980; 1984, ch. 16, § 3, effective July 13, 1984; 1986, ch. 423, § 188, effective July 1, 1987; 1994, ch. 242, § 4, effective July 15, 1994; 2018 ch. 159, § 30, effective July 14, 2018; 2019 ch. 33, § 3, effective June 27, 2019.

Compiler’s Notes.

The amendment of this section by Acts 1980, ch. 280, § 145, which was to have taken effect on July 15, 1984 was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

Legislative Research Commission Notes.

This section was amended by 1980 Ky. Acts ch. 280, sec. 145, which was to have become effective July 1, 1982. Thereafter, 1982 Ky. Acts ch. 284 changed the effective date of that act to July 15, 1984. Then, 1984 Ky. Acts ch. 184 repealed both 1980 Ky. Acts ch. 280, and 1982 Ky. Acts ch. 284.

NOTES TO DECISIONS

1.Natural Father.

Where a child was legitimate and the natural father’s parental rights were not terminated, the father was an indispensable party to adoption proceedings and failure to join him as a party invalidated the judgment. Goldfuss v. Goldfuss, 565 S.W.2d 441, 1978 Ky. LEXIS 351 ( Ky. 1978 ).

2.Parties.

Where the mother was not joined as a defendant as required by subdivision (1)(b) of this section, no service was had on her on the children’s behalf, and the mother failed to file a sworn consent to the children’s adoption as required by subsection (1) of KRS 199.500 , the judgment of adoption was vacated and the petition dismissed. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

Foster parents’ petition for termination of parental rights and adoption did not comply with the applicable statutory scheme because, inter alia, the petition did not name the subject child as a party defendant. S.B.P. v. R.L., 567 S.W.3d 142, 2018 Ky. App. LEXIS 303 (Ky. Ct. App. 2018).

Adoptive parents had complied with the requirements of Ky. Rev. Stat. Ann. § 199.480 where they named the Cabinet for Health and Family Services, the child, and both of the child’s biological parents as party defendants, and all parties were served. C.J. v. M.S., 572 S.W.3d 492, 2019 Ky. App. LEXIS 48 (Ky. Ct. App. 2019).

Both Ky. Rev. Stat. Ann. §§ 199.470 and 199.480 are devoid of any language indicating the cabinet must be a named party in a step-parent adoption; neither of these statutes mandate that the cabinet must be a named party to the amended petition. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Cabinet was not an indispensable party to a step-mother’s petition seeking adoption because the child resided with the father and step-mother; the cabinet’s participation was not required because the step-mother was a party to the amended petition. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Circuit court erred in granting a mother’s motion to dismiss a father’s petition to add the step-mother as the child’s step-parent for adoption and in denying the step-mother’s motion to alter, amend, or vacate said order because the adoption superseded the termination, and the Cabinet for Health and Family Services was not an indispensable party since the step-mother was a party to the amended petition. E.K. v. T.A., 2019 Ky. App. LEXIS 22 (Ky. Ct. App. Feb. 22, 2019), op. withdrawn, sub. op., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

3.Service.

Service of the adoption petition on the children through the guardian ad litem was of no effect since service pursuant to subsection (3) of CR 4.04 is statutorily excluded under subsection (2) of this section. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

Cited in:

Hill v. Garner, 561 S.W.2d 106, 1977 Ky. App. LEXIS 891 (Ky. Ct. App. 1977); S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Opinions of Attorney General.

The parents of an over 18-year-old adult, as defined in KRS 405.390 , are not required to be made parties to a suit of adoption, wherein the over 18-year old is sought to be adopted. OAG 69-259 .

Research References and Practice Aids

Cross-References.

Uniform Act on Paternity, KRS Chapter 406.

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Order Appointing Guardian Ad Litem, Form 266.38.

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Adoption, § 266.32.

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Adoption of Child — Step-Parent Adoption, Form 266.34.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, Form 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.12, 29.16.

199.490. Contents of adoption petition — Accompanying papers.

  1. The petition shall allege:
    1. The name, date, place of birth, place of residence, and mailing address of each petitioner, and, if married, the date and place of their marriage;
    2. The name, date, place of birth, place of residence, and mailing address, if known, of the child sought to be adopted;
    3. Relationship, if any, of the child to each petitioner;
    4. Full name by which the child shall be known after adoption;
    5. A full description of the property, if any, of the child so far as it is known to the petitioner;
    6. The names of the parents of the child and the address of each living parent, if known. The name of the biological father of a child born out of wedlock shall not be given unless paternity is established in a legal action, or unless an affidavit is filed stating that the affiant is the father of the child. If certified copies of orders terminating parental rights are filed as provided in subsection (2) of this section, the name of any parent whose rights have been terminated shall not be given;
    7. The name and address of the child’s guardian, if any, or of the cabinet, institution, or agency having legal custody of the child;
    8. Any further facts necessary for the location of the person or persons whose consent to the adoption is required, or whom KRS 199.480 requires to be made a party to or notified of the proceeding; and
    9. If any fact required by this subsection to be alleged is unknown to the petitioners, the lack of knowledge shall be alleged.
  2. There shall be filed with the petition certified copies of any orders terminating parental rights. Any consent to adoption shall be filed prior to the entry of the adoption judgment.
  3. If the petitioner was not excepted by KRS 199.470(4), a copy of the written approval of the secretary of the Cabinet for Health and Family Services or the secretary’s designee shall be filed with the petition.

HISTORY: Enact. Acts 1950, ch. 125, § 12; 1974, ch. 386, § 36; 1976, ch. 243, § 1; 1994, ch. 242, § 5, effective July 15, 1994; 1998, ch. 426, § 141, effective July 15, 1998; 2005, ch. 99, § 179, effective June 20, 2005; 2018 ch. 159, § 37, effective July 14, 2018.

NOTES TO DECISIONS

1.Allegations Not Contradicted.

No statement contradicted the termination petition’s allegations required by Ky. Rev. Stat. Ann. § 199.490 where the report included required details about the petitioners, required details about the child sought to be adopted, the relationship of the child to each petitioner, a description of the child’s property (stating only that she had ample clothing), the names of the biological parents of the child, and that the addresses of the biological parents were not known to the Cabinet. The report omitted addressing only one item required to be in the petition, i.e., the full name by which the child was to be known after adoption, but that omission was not enough to conclude the report failed to say whether the contents of the petition required by § 199.490 were true. A.F. v. L.B., 572 S.W.3d 64, 2019 Ky. App. LEXIS 26 (Ky. Ct. App. 2019).

Cited in:

S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Adoption, § 266.00.

Caldwell’s Kentucky Form Book, 5th Ed., Report of Guardian Ad Litem — Terminating Parental Rights and Adoption, Form 266.40.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.11.

199.492. Attorney not to represent both biological and adoptive parents — Penalty.

  1. In an adoption proceeding, an attorney shall not represent both the biological parents and the prospective adoptive parents.
  2. Any person who violates subsection (1) of this section shall be guilty of a Class A misdemeanor.

History. Enact. Acts 1994, ch. 242, § 20, effective July 15, 1994.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Voluntary Termination of Parental Rights of Natural Mother, Form 266.02.

199.493. Prohibition against payment of attorney’s fees of biological parent without court approval — Penalty.

  1. No adoptive parent, proposed adoptive parent, agency, or intermediary shall pay the attorney’s fees of a biological parent for any purpose related to an adoption action except as approved by the court.
  2. Any person who violates subsection (1) of this section shall be guilty of a Class A misdemeanor.

History. Enact. Acts 1994, ch. 242, § 21, effective July 15, 1994.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Motion for Attorney’s Fees — Attorney for Petitioners, Form 266.47.

Caldwell’s Kentucky Form Book, 5th Ed., Order for Fees in Termination of Parental Rights Case, Form 266.22.

199.500. Consent to adoption.

  1. An adoption shall not be granted without the voluntary and informed consent, as defined in KRS 199.011 , of the living parent or parents of a child born in lawful wedlock or the mother of the child born out of wedlock, or the father of the child born out of wedlock if paternity is established in a legal action or if an affidavit is filed stating that the affiant is the father of the child, except that the consent of the living parent or parents shall not be required if:
    1. The parent or parents have been adjudged mentally disabled and the judgment shall have been in effect for not less than one (1) year prior to the filing of the petition for adoption;
    2. The parental rights of the parents have been terminated under KRS Chapter 625;
    3. The living parents are divorced and the parental rights of one (1) parent have been terminated under KRS Chapter 625 and consent has been given by the parent having custody and control of the child; or
    4. The biological parent has not established parental rights as required by KRS 625.065 .
  2. A minor parent who is a party defendant may consent to an adoption but a guardian ad litem for the parent shall be appointed.
  3. In the case of a child twelve (12) years of age or older, the consent of the child shall be given in court. The court in its discretion may waive this requirement.
  4. Notwithstanding the provisions of subsection (1) of this section, an adoption may be granted without the consent of the biological living parents of a child if it is pleaded and proved as a part of the adoption proceedings that any of the provisions of KRS 625.090 exist with respect to the child.
  5. An adoption shall not be granted or a consent for adoption be held valid if the consent for adoption is given prior to seventy-two (72) hours after the birth of the child. A voluntary and informed consent may be taken at seventy-two (72) hours after the birth of the child and shall become final and irrevocable seventy-two (72) hours after it is signed.

History. Enact. Acts 1950, ch. 125, § 13; 1974, ch. 386, § 37; 1978, ch. 137, § 7, effective June 17, 1978; 1980, ch. 188, § 184, effective July 15, 1980; 1980, ch. 396, § 20, effective July 1, 1982; 1982, ch. 141, § 65, effective July 1, 1982; 1984, ch. 16, § 4, effective July 13, 1984; 1986, ch. 423, § 189, effective July 1, 1987; 1994, ch. 242, § 6, effective July 15, 1994; 1998, ch. 426, § 142, effective July 15, 1998; 2001, ch. 69, § 2, effective June 21, 2001; 2018 ch. 159, § 42, effective July 14, 2018; 2019 ch. 33, § 4, effective June 27, 2019.

Compiler’s Notes.

The amendment of this section by Acts 1980, ch. 280, § 146, which was to have taken effect on July 15, 1984 was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

Legislative Research Commission Notes.

This section was amended by 1980 Ky. Acts ch. 280, sec. 146, which was to have become effective July 1, 1982. Thereafter, 1982 Ky. Acts ch. 284 changed the effective date of that act to July 15, 1984. Then, 1984 Ky. Acts ch. 184 repealed both 1980 Ky. Acts ch. 280, and 1982 Ky. Acts ch. 284.

NOTES TO DECISIONS

1.Legislative Intent.

The policy of the voluntary termination statute, subsection (2) of KRS 199.601 , (now repealed) and the consent to adoption statute, subsection (5) of this section, is to preserve to the mother her right of choice regardless of decisions made before the birth of the child. This policy was not violated by the existence of the contractual arrangements previously made by the surrogate mother to surrender custody and terminate parental rights because the law gives the mother the opportunity to reconsider her decision to fulfill the role as surrogate mother and refuse to perform the voluntary termination procedure. Surrogate Parenting Associates, Inc. v. Commonwealth, 704 S.W.2d 209, 1986 Ky. LEXIS 237 ( Ky. 1986 ).

2.Adoption Granted.

In action by married couple against the mother of an illegitimate child for order of adoption with change in surname to that of couple, wherein the evidence showed that the mother had for years lived a life of drunkenness and debauchery and had left the maintenance and care of the child entirely to petitioner (wife), the welfare of the child would best be served by granting a judgment of adoption, since petitioners were of good moral background and could give the child a Christian home and loving care. Smith v. Wilson, 269 S.W.2d 255, 1954 Ky. LEXIS 987 ( Ky. 1954 ).

3.Consent.
3.Consent.

Statute is only applicable to the extent specified in the adoption statutes, and adoption without consent may be granted if it is pleaded and proved as part of the adoption proceedings that any of the provisions of the statute are met with respect to the child. Any does not mean all. A.K.H. v. J.D.C., 2021 Ky. App. LEXIS 11 (Ky. Ct. App. Jan. 22, 2021).

4.—Withdrawal.

Mother of illegitimate child could withdraw her consent to its adoption if sufficient reason is shown before final judgment. The fact that consent was given under circumstance of temporary distress or discouragement or that the mother was an infant was sufficient to establish the right to such withdrawal. Warner v. Ward, 401 S.W.2d 62, 1966 Ky. LEXIS 402 ( Ky. 1966 ).

Where an attorney misinformed birth parents that they had until a hearing on the termination of parental rights to withdraw their consent to adoption, and where the birth parents relied upon that advice in signing consent forms, the forms were invalid; however, on remand the standard that applied in determining whether the birth parents or the adoptive parents had custody was the child’s best interest because the birth parents’ intentions to permanently change the legal custody of the child was clearly evident from their actions, including their signing the consent forms with the knowledge that the consent forms would facilitate the child’s adoption and delivering the child to the adoptive parents when placement was approved. Moore v. Asente, 110 S.W.3d 336, 2003 Ky. LEXIS 149 ( Ky. 2003 ).

5.—Sworn.

In the absence of sworn consent, a judgment granting adoption is erroneous. Higgason v. Henry, 313 S.W.2d 275, 1958 Ky. LEXIS 251 ( Ky. 1958 ).

Where father’s consent to adoption was not made under oath as required by this section, such omission was not cured or rendered harmless by the fact that the father later testified under oath that he had executed a consent, especially where such testimony clearly established that such consent was not sworn. Hill v. Poole, 493 S.W.2d 482, 1973 Ky. LEXIS 490 ( Ky. 1973 ).

Under the strict compliance rule, the mother’s execution of the verified petition for adoption did not satisfy the requirement of sworn consent to adoption under subsection (1) of this section. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

Where the mother was not joined as a defendant as required by subdivision (1)(b) of KRS 199.480 , no service was had on her on the children’s behalf, and the mother failed to file a sworn consent to the children’s adoption as required by subsection (1) of this section, the judgment of adoption was vacated and the petition dismissed. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

6.— —Substitute.

Allegation and proof of the grounds for involuntary termination suffice as a substitute for sworn consent under this section and, assuming all other legal requirements have been met, without resort to an order terminating the parental rights of the recalcitrant father, the trial court then can enter a valid judgment of adoption containing only the mandatory findings of KRS 199.520 . Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

The legislature in enacting subsection (4) of this section intended to provide a substitute to sworn consent under circumstances not covered by this section’s exceptions without resorting to an independent action to do so. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

7.—Absence.

Adoption of a child without the consent of the father, who had been awarded custody of the child after divorce, was not justified where there was no evidence that circumstances existed warranting an involuntary termination of parental rights. Hill v. Poole, 493 S.W.2d 482, 1973 Ky. LEXIS 490 ( Ky. 1973 ).

Grant of petition for adoption without the consent of the biological father, who had undergone gender reassignment surgery, was proper because the evidence showed that the minor child suffered major depression, suicidal ideation, a decline in school performance, physical symptoms and withdrawn behavior, and the child testified that the child felt abandoned and that the worst part was “knowing that I did not have a father, where you go to school and say, ‘I don’t have a father, he’s a woman.’” M.B. v. D.W., 236 S.W.3d 31, 2007 Ky. App. LEXIS 346 (Ky. Ct. App. 2007).

8.Standing to Adopt.

Action of trial court in permitting foster parents to amend their petition for termination of parental rights to one of adoption did not cure foster parent’s lack of standing to bring such termination action where the child had been placed in foster care under written contract which actually excluded adoption; moreover, since the child had not been placed for adoption as required, the foster parents had no standing to attempt adoption. L.S.J. v. E.B., 672 S.W.2d 937, 1984 Ky. App. LEXIS 505 (Ky. Ct. App. 1984).

Although grandparents had no standing to bring an action to terminate mother’s parental rights, under KRS 199.603(7) (now repealed), their petition to adopt, if granted, would have the same legal effect, under KRS 199.520(2) and 199.570(3); their entitlement to such relief, however, had to be predicated on clear and convincing evidence that the mother either abandoned the child or “substantially or continuously or repeatedly neglected or abused” the child, within the meaning of KRS 199.603(1)(a), (b) (now repealed) and subsection (4) of this section. D.S. v. F.A.H., 684 S.W.2d 320, 1985 Ky. App. LEXIS 516 (Ky. Ct. App. 1985).

9.Abandonment and Neglect.

Trial court’s findings were insufficient to support its conclusions that mother abandoned or neglected her child, where mother’s separation from the child was the result of her mental and emotional problems, for which she had sought and continued to receive treatment, and her failure to provide support was due to her inability to work due to her mental problems. D.S. v. F.A.H., 684 S.W.2d 320, 1985 Ky. App. LEXIS 516 (Ky. Ct. App. 1985).

Denial of a petition for the adoption of the child of a biological father who had not consented to the adoption was proper; there were no allegations set forth against the biological father which would have constituted a condition sufficient to terminate his parental rights as required by KRS 199.502 (1), and which were the same conditions set forth in KRS 625.090(2); the provisions of KRS ch. 625 were applicable only as permitted by KRS 199.500(4), and as specifically enumerated in KRS 199.502 . R.M. v. R.B., 281 S.W.3d 293, 2009 Ky. App. LEXIS 33 (Ky. Ct. App. 2009).

10.Acceptance of funds from potential adoptors.

In appellants’ theft trial under KRS 514.040(1), the parties stipulated that appellants were not under any obligation to permit someone to adopt the child, for purposes of KRS 199.500(1), 199.011(14), and no one told appellants they could not accept money for anyone else; the indictment was based on appellants’ failure to disclose to a couple, who had been paying appellants for pregnancy expenses in the hope of adopting the child, that appellants had also accepted money from an adoption agency, but the court found no crime, and the court found that (1) the couple knew money had already exchanged hands between appellants and the agency, and the couple was not guaranteed to be able to adopt appellants’ child, and there was no deception as to the purpose of the funds, (2) nothing required appellants to inform the couple of other adoptive parents they were considering and getting money from, and (3) the couple did not make the money contingent on appellants not contacting other potential adoptive parents or agencies, and there was no theft by deception or otherwise. Young v. Commonwealth, 2013 Ky. App. LEXIS 72 (Ky. Ct. App., sub. op., 2013 Ky. App. Unpub. LEXIS 1003 (Ky. Ct. App. May 3, 2013).

11.Miscellaneous.

Trial court was not required to consider less drastic means than adoption prior to granting an adoption petition. B.L. v. J.S., 434 S.W.3d 61, 2014 Ky. App. LEXIS 75 (Ky. Ct. App. 2014).

Cited in:

Stanfield v. Willoughby, 269 S.W.2d 270, 1954 Ky. LEXIS 992 ( Ky. 1954 ); Kantorowicz v. Reams, 332 S.W.2d 269, 1959 Ky. LEXIS 17 ( Ky. 1959 ); Jouett v. Rhorer, 339 S.W.2d 865, 1960 Ky. LEXIS 485 ( Ky. 1960 ); Hampton v. Judge of Jefferson Circuit Court, etc., 375 S.W.2d 276, 1964 Ky. LEXIS 408 ( Ky. 1964 ); Roark v. Yarbrough, 411 S.W.2d 916, 1966 Ky. LEXIS 27 ( Ky. 1966 ).

Opinions of Attorney General.

A married couple cannot legally contract with a surrogate mother that for a stated consideration she will agree to be artificially inseminated with the natural father’s sperm, carry the fetus to delivery and consent to the wife’s adoption of the child since under subsection (5) of this section the surrogate mother cannot give legally binding consent for the adoption of a child until five days (now 72 hours) after the birth of the child, and even a contract providing for future consent by the surrogate mother would be illegal since it would be against public policy to contract as a means of avoiding the language of this section. OAG 81-18 .

Research References and Practice Aids

Kentucky Law Journal.

Notes, In Defense of Surrogate Parenting: A Critical Analysis of the Recent Kentucky Experience, 69 Ky. L.J. 877 (1980-81).

Northern Kentucky Law Review.

Brantton, Joint Custody in Kentucky, 8 N. Ky. L. Rev. 553 (1981).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Consent of Natural Mother to Adoption, Form 266.28.

Caldwell’s Kentucky Form Book, 5th Ed., Minor Child’s Consent to Adoption, Form 266.30.

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Voluntary (Mother) and Involuntary (Absent Father) Termination of Parental Rights, Form 266.03.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Caldwell’s Kentucky Form Book, 5th Ed., Report of Guardian Ad Litem — Terminating Parental Rights and Adoption, Form 266.40.

Petrilli, Kentucky Family Law, Forms, Adoption and Termination of Parental Rights, Form 3.3.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.5, 29.14, 29.17.

199.502. Conditions necessary for adoption without consent of child’s biological living parents — Court decision — Representation of biological parent.

  1. Notwithstanding the provisions of KRS 199.500(1), an adoption may be granted without the consent of the biological living parents of a child if it is pleaded and proved as part of the adoption proceeding that any of the following conditions exist with respect to the child:
    1. That the parent has abandoned the child for a period of not less than ninety (90) days;
    2. That the parent had inflicted or allowed to be inflicted upon the child, by other than accidental means, serious physical injury;
    3. That the parent has continuously or repeatedly inflicted or allowed to be inflicted upon the child, by other than accidental means, physical injury or emotional harm;
    4. That the parent has been convicted of a felony that involved the infliction of serious physical injury to a child named in the present adoption proceeding;
    5. That the parent, for a period of not less than six (6) months, has continuously or repeatedly failed or refused to provide or has been substantially incapable of providing essential parental care and protection for the child, and that there is no reasonable expectation of improvement in parental care and protection, considering the age of the child;
    6. That the parent has caused or allowed the child to be sexually abused or exploited;
    7. That the parent, for reasons other than poverty alone, has continuously or repeatedly failed to provide or is incapable of providing essential food, clothing, shelter, medical care, or education reasonably necessary and available for the child’s well-being and that there is no reasonable expectation of significant improvement in the parent’s conduct in the immediately foreseeable future, considering the age of the child;
    8. That:
      1. The parent’s parental rights to another child have been involuntarily terminated;
      2. The child named in the present adoption proceeding was born subsequent to or during the pendency of the previous termination; and
      3. The condition or factor which was the basis for the previous termination finding has not been corrected;
    9. That the parent has been convicted in a criminal proceeding of having caused or contributed to the death of another child as a result of physical or sexual abuse or neglect; or
    10. That the parent is a putative father, as defined in KRS 199.503 , who fails to register as the minor’s putative father with the putative father registry established under KRS 199.503 or the court finds, after proper service of notice and hearing, that:
      1. The putative father is not the father of the minor;
      2. The putative father has willfully abandoned or willfully failed to care for and support the minor; or
      3. The putative father has willfully abandoned the mother of the minor during her pregnancy and up to the time of her surrender of the minor, or the minor’s placement in the home of the petitioner, whichever occurs first.
  2. Upon the conclusion of proof and argument of counsel, the Circuit Court shall enter findings of fact, conclusions of law, and a decision either:
    1. Granting the adoption without the biological parent’s consent; or
    2. Dismissing the adoption petition, and stating whether the child shall be returned to the biological parent or the child’s custody granted to the state, another agency, or the petitioner.
  3. A biological living parent has the right to legal representation in an adoption wherein he or she does not consent. The Circuit Court shall determine if a biological living parent is indigent and, therefore, entitled to counsel pursuant KRS Chapter 31. If the Circuit Court so finds, the Circuit Court shall inform the indigent parent; and, upon request, if it appears reasonably necessary in the interest of justice, the Circuit Court shall appoint an attorney to represent the biological living parent pursuant to KRS Chapter 31 to be provided or paid for by:
    1. The petitioner, a fee to be set by the court and not to exceed five hundred dollars ($500); or
    2. The Finance and Administration Cabinet if the petitioner is a blood relative or fictive kin as established in KRS 199.470(4)(a), a fee to be set by the court and not to exceed five hundred dollars ($500).

HISTORY: Enact. Acts 1994, ch. 242, § 10, effective July 15, 1994; 1998, ch. 57, § 18, effective March 17, 1998; 2018 ch. 159, § 35, effective July 14, 2018.

NOTES TO DECISIONS

1.Denial of Adoption Petition.

Denial of a petition for the adoption of the child of a biological father who had not consented to the adoption was proper; there were no allegations set forth against the biological father which would have constituted a condition sufficient to terminate his parental rights as required by KRS 199.502 (1), and which were the same conditions set forth in KRS 625.090(2); the provisions of KRS ch. 625 were applicable only as permitted by KRS 199.500(4), and as specifically enumerated in KRS 199.502 . R.M. v. R.B., 281 S.W.3d 293, 2009 Ky. App. LEXIS 33 (Ky. Ct. App. 2009).

Circuit court erred in terminating a father’s parental rights based upon willful abandonment and allowing the child’s stepfather to adopt him because the record showed that the mother thwarted the father’s attempts to visit with his son, that the mother treated the father with hostility and resentment, that the mother and her new husband removed the child from Kentucky every Father’s Day, that the father asked his family members to keep in contact with his child and the mother admonished them to stay away from the child, and that the mother never informed the father about the child’s extracurricular activities. Despite the mother’s attempts to sever the parent-child relationship between father and son, however, the record also reflected that the father was current in his child support obligation and that he sent gifts to the boy. P.C.C. v. C.M.C., 297 S.W.3d 590, 2009 Ky. App. LEXIS 144 (Ky. Ct. App. 2009).

Circuit court erred in granting a mother’s motion to dismiss a father’s petition to add the step-mother as the child’s step-parent for adoption and in denying the step-mother’s motion to alter, amend, or vacate said order because the adoption superseded the termination, and the Cabinet for Health and Family Services was not an indispensable party since the step-mother was a party to the amended petition. E.K. v. T.A., 2019 Ky. App. LEXIS 22 (Ky. Ct. App. Feb. 22, 2019), op. withdrawn, sub. op., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

2.Procedure.

There was no error in a trial court’s procedure in conducting an evidentiary hearing on an adoption petition and essentially permitting the presentation of a case for the involuntary termination of the nonconsenting biological father’s parental rights under KRS ch. 625 because the substantial provisions of KRS 625.090(2) pertaining to the involuntary termination of parental rights were identical to KRS 199.502(1). R.M. v. R.B., 281 S.W.3d 293, 2009 Ky. App. LEXIS 33 (Ky. Ct. App. 2009).

Family court was not required to issue its interlocutory judgment within 30 days of the termination portion of the bifurcated hearing where Ky. Rev. Stat. Ann. § 625.090(6) did not apply to actions brought under Ky. Rev. Stat. Ann. § 199.502 . A.F. v. L.B., 572 S.W.3d 64, 2019 Ky. App. LEXIS 26 (Ky. Ct. App. 2019).

Family court erred in finding that the stepfather had to satisfy all prongs of the parental termination statute before adoption could be granted, and in analyzing whether the stepfather had proven that the biological father abused or neglected the child, the family court plainly erred as the adoption statutes did not require a separate finding of abuse or neglect. The family court should have confined its review to whether the stepfather proved the existence of any one of the conditions outlined in Ky. Rev. Stat. Ann. § 199.502(1)(a)-(j). A.K.H. v. J.D.C., 2021 Ky. App. LEXIS 11 (Ky. Ct. App. Jan. 22, 2021).

3.Petition Granted.

Stepfather's adoption petition under this statute was granted because the trial court's order of termination was supported by the record where the biological father admitted that he had not been involved in the child's life and made no efforts to do so; the child was almost 5 years old and had not seen the biological father in three years. Although the father recently paid child support, he admitted that he had not paid in several years because he knew that other relatives were caring for the child. R.P. v. T.A.C., 469 S.W.3d 425, 2015 Ky. App. LEXIS 102 (Ky. Ct. App. 2015).

Although not much credence was given to the biological mother’s lack of financial support given her poverty and inability to work, adoption was appropriate where her testimony showed that for at least six months she had been substantially incapable of caring for the child, and there was no reasonable likelihood that she would be able to care for the child (or herself) any time in the reasonable future. C.J. v. M.S., 572 S.W.3d 492, 2019 Ky. App. LEXIS 48 (Ky. Ct. App. 2019).

Both adoption judgments had to be reversed because appellee neither pleaded nor proved any condition to justify terminating the mother’s parental rights against her will, and appellee’s pursuit of adoption under the concept of fictive kin was not persuasive. S.R.V. v. J.S.B., 2020 Ky. App. LEXIS 127 (Ky. Ct. App. Dec. 4, 2020).

In a step-parent adoption action, the trial court’s finding that the biological father abandoned the children for well over 90 days, satisfying this section, were supported by the testimony of record, which included the biological father’s admission that he had not seen the children in several years. T.R.F. v. D.A.H., 2021 Ky. App. LEXIS 34 (Ky. Ct. App. Mar. 19, 2021).

In a step-parent adoption action, the family court’s finding that the biological father emotionally harmed the children by abusing the mother in front of them satisfied this sectin, which requires a finding that the parent has continuously or repeatedly inflicted or allowed to be inflicted upon the child, by other than accidental means, physical injury or emotional harm. T.R.F. v. D.A.H., 2021 Ky. App. LEXIS 34 (Ky. Ct. App. Mar. 19, 2021).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Voluntary (Mother) and Involuntary (Absent Father) Termination of Parental Rights, Form 266.03.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

199.503. Putative father registry — Administrative regulations — Registration — Notification of opportunity to register — Data storage — Certified copy of registration form — Confidentiality — Information on Web site.

  1. The General Assembly of the Commonwealth of Kentucky hereby finds and declares that the purpose of the putative father registry established pursuant to this section is to determine the name and address of a father whose name and address have not been disclosed by the mother of the child, on or before the date the mother executes a consent to the child’s adoption to an attorney or an agency that is arranging the adoption of the child, and who may have conceived a child for whom a petition for adoption has been or may be filed so that notice of the adoption may be provided to the putative father.
  2. As used in this section, “putative father” means a male who may be a child’s father, but who:
    1. Is not married to the child’s mother on or before the date that the child is born;
    2. Has not established paternity of the child in a court or agency proceeding in this or another state before the filing of a petition for adoption of the child; or
    3. Has not completed an acknowledgment of paternity affidavit before the filing of a petition for adoption of the child.
  3. The cabinet shall establish a putative father registry and promulgate administrative regulations to administer the registry in accordance with this section.
    1. A putative father may register with the putative father registry by providing the following information to the cabinet: (4) (a) A putative father may register with the putative father registry by providing the following information to the cabinet:
      1. The putative father’s name, date of birth, place of birth, place of residence, and an address at which he may be served with notice of the filing of a petition for adoption;
      2. The mother’s name, date of birth, place of birth, place of residence, and mailing address, if known; and
      3. Any other information described in subsection (5) of this section that is known to the putative father.
    2. A putative father who registers under this section is responsible for:
      1. Verifying with the cabinet the accuracy of the registration; and
      2. Submitting to the cabinet an amended registration each time the information supplied by the putative father changes.
    3. A putative father who has registered pursuant to this section may revoke a registration at any time.
  4. The cabinet shall maintain the following information in the putative father registry:
    1. The putative father’s name, date of birth, place of birth, place of residence, and an address at which he may be served with notice of the filing of a petition for adoption;
    2. The mother’s name, date of birth, place of birth, place of residence, and mailing address, if known;
    3. The child’s name, date of birth, and place of birth, if known;
    4. The date that the cabinet receives a putative father’s registration;
    5. The name of any attorney or agency that requests the cabinet to search the registry pursuant to KRS 199.505 and the date of the request; and
    6. Any other information that the cabinet determines is necessary to access the information in the registry.
  5. If a child’s mother provides the name of a potential putative father and his place of residence and mailing address, if known, to the cabinet, the cabinet shall, to the best of its ability, notify the potential putative father to inform him of his opportunity to register with the putative father registry.
  6. The cabinet shall store the registry’s data so that it is accessible under the following:
    1. The putative father’s name;
    2. The mother’s name; or
    3. The child’s name.
  7. Subject to subsection (9) of this section, the cabinet shall furnish a certified copy of a putative father’s registration form upon written request by:
    1. A putative father;
    2. A mother;
    3. A child;
    4. Any party or attorney of record in a pending adoption;
    5. An attorney who represents:
      1. Prospective adoptive parents;
      2. Petitioners in an adoption;
      3. A mother;
      4. A putative father; or
      5. A child-placing agency;
    6. A licensed child-placing agency that represents:
      1. Prospective adoptive parents;
      2. Petitioners in an adoption;
      3. A mother; or
      4. A putative father; or
    7. A court that presides over a pending adoption.
  8. The cabinet may release the certified copy of the registration form to a person under subsection (8)(a) to (c) of this section only if the information contained in the registration form names the requesting person.
  9. A person who makes a request pursuant to this section shall state that the requesting person is entitled to receive the information under this section. The cabinet may charge a fee of twenty-five dollars ($25) to a person who makes a request under this section. The fee established by this subsection shall not apply to a court.
  10. Except as otherwise provided in this section and KRS 199.505 , information contained within the registry is confidential.
  11. The cabinet shall publish information regarding the putative father registry on its Web site.

HISTORY: 2018 ch. 159, § 28, effective July 14, 2018.

199.505. Request for search of putative father registry — Service of notice — Affidavit and registration form provided to requesting party — Adoption not granted unless affidavit filed with court — Exceptions.

  1. An attorney or child-placing agency that arranges a prospective adoption may at any time request that the cabinet search the putative father registry established under KRS 199.503 to determine whether a putative father is registered in relation to a mother whose child is the subject of the adoption.
  2. An attorney or child-placing agency that arranges a prospective adoption may at any time serve the putative father of a child or cause the putative father to be served with actual notice that the mother of the child is considering an adoptive placement for the child.
  3. Beginning July 14, 2018, whenever a petition for adoption is filed, the attorney or child-placing agency that arranges the adoption shall request that the cabinet search the putative father registry at least one (1) day after the expiration of the period specified by KRS 199.480(1)(b)2.
  4. No later than five (5) days after receiving a request under subsection (1) or (3) of this section, the cabinet shall submit an affidavit to the requesting party verifying whether a putative father is registered in relation to a mother whose child is the subject of the adoption.
  5. Whenever the cabinet finds that one (1) or more putative fathers are registered, the cabinet shall submit a copy of each registration form with its affidavit.
  6. A court shall not grant an adoption unless the cabinet’s affidavit under this section is filed with the court.
  7. An adoption involving a foreign-born child, an adoption initiated out-of-state, or a public agency adoption shall not be subject to the requirements of this section.

HISTORY: 2018 ch. 159, § 29, effective July 14, 2018; 2019 ch. 33, § 6, effective March 19, 2019.

199.510. Investigation and report.

  1. Upon filing a petition for the adoption of a minor child, the clerk of the court shall forward two (2) copies of the petition to the cabinet. The cabinet, or any person, agency or institution designated by it or the court shall, to the extent of available facilities, investigate and report in writing to the court:
    1. Whether the contents of the petition required by KRS 199.490 are true;
    2. Whether the proposed adoptive parents are financially able and morally fit to have the care, custody and training of the child; and
    3. Whether the adoption is to the best interest of the child and the child is suitable for adoption.
  2. The report of the cabinet or the designated person, agency or institution shall be filed with the court as soon as practicable but not later than ninety (90) days from the placement of the child or ninety (90) days after the filing date of the petition, whichever is longer, unless for good cause the court by written order extends the period of time for filing the report. If the cabinet or the designated person, agency or institution is unable to make the report, it shall within ten (10) days of receipt of the petition notify the court of its inability to conduct the investigation, and the court may designate some other person, agency or institution to make the necessary investigation. If the court designates some other person, agency or institution, the clerk shall forward one (1) copy of the petition to such person, agency or institution and shall notify the cabinet of such other designation at the time he forwards the petition to the cabinet.
  3. If the cabinet is a party defendant, its reports, if it files no other pleadings, shall be considered its answer to the petition.
  4. The clerk’s fee for copying and forwarding the copies of the petitions required by this section shall be taxed as a cost of the action.

History. Enact. Acts 1950, ch. 125, § 14; 1956, ch. 157, § 12; 1974, ch. 121, § 2; 1994, ch. 242, § 7, effective July 15, 1994.

NOTES TO DECISIONS

1.Failure to Investigate.

It is not mandatory upon the trial court to appoint another investigating agency upon the failure of the Department of Economic Security (now Cabinet for Families and Children) to investigate. Keeling v. Minton, 339 S.W.2d 464, 1960 Ky. LEXIS 459 ( Ky. 1960 ).

Foster parents’ petition for termination of parental rights and adoption did not comply with the applicable statutory scheme because, inter alia, (1) a father contested the adoption, and (2) no required Cabinet for Health and Family Services investigation was done. S.B.P. v. R.L., 567 S.W.3d 142, 2018 Ky. App. LEXIS 303 (Ky. Ct. App. 2018).

2.Report.

Report of Department of Child Welfare (now Cabinet for Families and Children) on question of adoption was properly considered by court as against objection it was hearsay. Warner v. Ward, 401 S.W.2d 62, 1966 Ky. LEXIS 402 ( Ky. 1966 ).

Denial of a petition for the adoption of the child of a biological father who had not consented to the adoption was proper since there was no indication that the Kentucky Health and Family Services Cabinet filed the report required by KRS 199.510 ; although three Cabinet representatives testified regarding a neglect case involving the biological father in a different county, none of them testified in support of the adoption or that they had investigated the adoption pursuant to KRS 199.510 . Without the Cabinet’s report, the trial court could not have granted the adoption. R.M. v. R.B., 281 S.W.3d 293, 2009 Ky. App. LEXIS 33 (Ky. Ct. App. 2009).

3.Failure to Fulfill All Requirements.

Same-sex life partner’s adoption of her partner’s biological child was invalid because the Kentucky Cabinet of Families and Children refused to consent as required by KRS 199.510(1); however, the decree could not be attacked under CR 60.02 because the one-year adoption annulment period in KRS 199.540(2) had passed. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

4.Application.

Although the trail court’s dismissal of a step-mother’s amended petition seeking adoption was dismissed in its entirety, the case was remanded for a final hearing on the amended petition because while the step-mother’s amended petition fully complied with the statutory requirements at the time the mother filed a motion to dismiss, there were post-petition requirements that the step-mother had to fulfill. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Trial court incorrectly applied Ky. Rev. Stat. Ann. § 625 to a step-mother’s amended petition because it was an adoption, and therefore, Ky. Rev. Stat. Ann. § 199 governed the entirety of the amended petition seeking adoption. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

5.Parties.

Both Ky. Rev. Stat. Ann. §§ 199.470 and 199.480 are devoid of any language indicating the cabinet must be a named party in a step-parent adoption; neither of these statutes mandate that the cabinet must be a named party to the amended petition. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Cited in:

Kantorowicz v. Reams, 332 S.W.2d 269, 1959 Ky. LEXIS 17 ( Ky. 1959 ); Gilliam v. Weinberger, 364 F. Supp. 1230, 1973 U.S. Dist. LEXIS 11492 (E.D. Ky. 1973 ).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.16.

199.515. Hearing — Notice.

After the report of the guardian ad litem, if any, for the child and the report required by KRS 199.510 have been filed, the court at any time on motion of its own or that of any interested party may set a time for a hearing on the petition to be conducted in chambers in privacy, except as hereinafter provided. Notice of the hearing shall be given to all necessary parties at least ten (10) days in advance thereof, unless such parties shall have answered and agreed to the adoption or have failed to answer and the time for answering has expired, or shall have waived notice of the hearing. All necessary parties may be present and at least one (1) of the adopting parents and the guardian ad litem, if any, for the child must be present at the hearing.

History. Enact. Acts 1956, ch. 157, § 13.

NOTES TO DECISIONS

1.Waiver of Notice.

Where the guardian ad litem of a child was not notified of a hearing on a petition for adoption within the time required by this section, but no objection to the proceeding was raised by the guardian and no motion was made to vacate or modify the trial court’s order, the lack of notice was waived. Goldfuss v. Goldfuss, 556 S.W.2d 159, 1977 Ky. App. LEXIS 808 (Ky. Ct. App. 1977).

2.Failure to File Required Report.

Denial of a petition for the adoption of the child of a biological father who had not consented to the adoption was proper since there was no indication that the Kentucky Health and Family Services Cabinet (Cabinet) filed the report required by KRS 199.510 ; although three Cabinet representatives testified regarding a neglect case involving the biological father in a different county, none of them testified in support of the adoption or that they had investigated the adoption pursuant to § 199.510 . Without the Cabinet’s report, the trial court could not have granted the adoption. R.M. v. R.B., 281 S.W.3d 293, 2009 Ky. App. LEXIS 33 (Ky. Ct. App. 2009).

Research References and Practice Aids

Kentucky Bench & Bar.

Wiederstein, Closed Courtrooms and the Public’s Right of Access, Vol. 67, No. 4, July 2003, Ky. Bench & Bar 15.

Treatises

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.17, 29.25.

199.520. Judgment — Prerequisites — Orders — Name and legal status of child — Health history and other nonidentifying information of biological parents and relatives to be given to adoptive parents.

  1. After hearing the case, the court shall enter a judgment of adoption, if it finds that the facts stated in the petition were established; that all legal requirements, including jurisdiction, relating to the adoption have been complied with; that the petitioners are of good moral character, of reputable standing in the community and of ability to properly maintain and educate the child; and that the best interest of the child will be promoted by the adoption and that the child is suitable for adoption. In the judgment, the name of the child shall be changed to conform with the prayer of the petition. The judgment and all orders required to be entered and recorded in the order book, including the caption, shall contain only the names of the petitioners and the proposed adopted name of the child, without any reference to its former name or the names of its birth parents.
  2. Upon entry of the judgment of adoption, from and after the date of the filing of the petition, the child shall be deemed the child of petitioners and shall be considered for purposes of inheritance and succession and for all other legal considerations, the natural child of the parents adopting it the same as if born of their bodies. Upon granting an adoption, all legal relationship between the adopted child and the biological parents shall be terminated except the relationship of a biological parent who is the spouse of an adoptive parent.
  3. The clerk of the court shall notify the cabinet of any action of the court with respect to entering a judgment granting an adoption, the amendment of an adoption, or the denial or dismissal of a petition for adoption.
    1. The health history and other nonidentifying background information of biological parents and blood relatives of the adopted person, in writing, on a standardized form, provided by the cabinet, if known, shall be given by the cabinet or child-placing agency which has the information to the adoptive parents and to the Circuit Court not later than the date of finalization of the adoption proceedings. This information shall include the results of any tests for HIV or hepatitis A, B, and C; and (4) (a) The health history and other nonidentifying background information of biological parents and blood relatives of the adopted person, in writing, on a standardized form, provided by the cabinet, if known, shall be given by the cabinet or child-placing agency which has the information to the adoptive parents and to the Circuit Court not later than the date of finalization of the adoption proceedings. This information shall include the results of any tests for HIV or hepatitis A, B, and C; and
    2. The information provided for in paragraph (a) of this subsection, if known, shall, upon the request in person or in writing of the adult adopted person be made available in writing to that person. The information shall not be made available if it is of a nature that would tend to identify the biological parents of the adopted person except as provided in KRS 199.570 and 199.572 .

History. Enact. Acts 1950, ch. 125, § 15; 1956, ch. 157, § 14; 1974, ch. 121, § 3; 1984, ch. 16, § 5, effective July 13, 1984; 1986, ch. 43, § 2, effective July 15, 1986; 1994, ch. 242, § 8, effective July 15, 1994; 2000, ch. 432, § 1, effective July 14, 2000; 2003, ch. 166, § 2, effective June 24, 2003.

NOTES TO DECISIONS

1.Constitutionality.

The statute did not deny the equal protection of the laws under the federal or state constitutions to two persons who were adopted by their paternal grandparents after the death of their natural parents and, thus, were barred from inheriting from their maternal grandmother. Pyles v. Russell, 36 S.W.3d 365, 2000 Ky. LEXIS 116 ( Ky. 2000 ).

2.Construction.

Where will directed distribution of estate to the children of testatrix’ son, such term did not include adults adopted by the testatrix’ son. Wilson v. Johnson, 389 S.W.2d 634, 1965 Ky. LEXIS 390 ( Ky. 1965 ).

Neither the adoption statute, Ky. Rev. Stat. Ann. § 199.520 nor the grandparent visitation statute, Ky. Rev. Stat. Ann. § 405.021 , requires notice to grandparents of a pending adoption petition initiated by another grandparent. Considering these statutory deficiencies, extending the stepparent adoption exception established in Hicks v. Enlow to grandparent adoptions is necessary. Blackaby v. Barnes, 614 S.W.3d 897, 2021 Ky. LEXIS 12 ( Ky. 2021 ).

3.Inheritance Rights.

Person adopted in 1950 (prior to change in law in 1956) was not entitled to inherit from the father of her natural mother who died in 1963. Thornberry v. Timmons, 406 S.W.2d 151, 1966 Ky. LEXIS 191 ( Ky. 1966 ).

Adoption of an adult for the purpose of bringing that person under the provisions of a preexisting testamentary instrument when he clearly was not intended to be so covered should not be permitted. Minary v. Citizens Fidelity Bank & Trust Co., 419 S.W.2d 340, 1967 Ky. LEXIS 149 ( Ky. 1967 ), limited, Harper v. Martin, 552 S.W.2d 690, 1977 Ky. App. LEXIS 735 (Ky. Ct. App. 1977).

As a matter of law, for the purposes of decedent’s will, adopted child was not the “issue of the body” of decedent. Vega v. Kosair Charities Committee, Inc., 832 S.W.2d 895, 1992 Ky. App. LEXIS 141 (Ky. Ct. App. 1992).

4.Failure to Fulfill All Requirements.

The fact that a trial court finds one of the elements enumerated in this section in the negative does not prevent the court from allowing adoption. Dickey v. Boxley, 481 S.W.2d 283, 1972 Ky. LEXIS 245 ( Ky. 1972 ).

5.Mandatory Judgment Required.

If all facts required under this section are found in the affirmative, the court must enter a judgment of adoption. Dickey v. Boxley, 481 S.W.2d 283, 1972 Ky. LEXIS 245 ( Ky. 1972 ).

6.Workers’ Compensation Entitlement.

The adoption of a child terminated his legal relationship to his natural parent, and, therefore, he was not the “child” of the employee under the Workers' Compensation Act. Smith v. Dixie Fuel Co., 566 S.W.2d 156, 1977 Ky. App. LEXIS 912 (Ky. Ct. App. 1977).

7.Custody Proceedings.

In a child custody case where the child’s natural mother and the child’s adoptive father each sought custody and each was regarded as a fit parent, the court was required by subsection (2) of this section to ignore the fact of adoption, treat the father and mother equally, and make the decision as if the father were the natural father of the child; accordingly, a decision that the father should be granted custody, when made in consideration of the fact that the child was currently with the father and had lived with him for the longest period of time over the prior two years, was in the best interest of the child under subsection (1) of KRS 403.270 . Davis v. Davis, 619 S.W.2d 727, 1981 Ky. App. LEXIS 275 (Ky. Ct. App. 1981).

8.Standing.

Although grandparents had no standing to bring an action to terminate mother’s parental rights, under KRS 199.603(7) (now repealed), their petition to adopt, if granted, would have the same legal effect, under subsection (2) of this section and 199.570(3); their entitlement to such relief, however, had to be predicated on clear and convincing evidence that the mother either abandoned the child or “substantially or continuously or repeatedly neglected or abused” the child, within the meaning of KRS 199.603(1)(a) and (b) (now repealed), and 199.500(4). D.S. v. F.A.H., 684 S.W.2d 320, 1985 Ky. App. LEXIS 516 (Ky. Ct. App. 1985).

9.Parental Rights.

The adoption judgment itself terminates parental rights by virtue of the provisions of subsection (2) of this section. Wright v. Howard, 711 S.W.2d 492, 1986 Ky. App. LEXIS 1150 (Ky. Ct. App. 1986).

KRS 199.520(2), requiring termination of all ties between biological parents and children upon adoption, is not subject to waiver by agreement of the parties. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Biological parent was not permitted to waive the public policy-based requirement in KRS 199.520(2) that, upon a Family Court’s grant of her same-sex life partner’s petition to adopt her child, all legal relationships between the child and the biological parent were terminated. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

As a matter of law, the doctrine of estoppel cannot be applied to authorize the retention of the parental rights of a biological parent whose child is adopted by a non-spouse because parental rights are terminated by the finalization of an adoption by operation of KRS 199.520(2). S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

As a matter of law, a court was not judicially estopped from declaring a Family Court’s decree granting a same-sex life partner’s adoption petition with regard to her partner’s biological child invalid, even though the biological parent’s parental rights were terminated by operation of KRS 199.520(2). S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

Adoptive parents were eligible to adopt and the statutory prerequisites were satisfied where the child had lived continuously with the parents for more than three years before the petition was filed, and the parents met the definition of fictive kin as the child regarded them as her family and was emotionally attached to them. Moreover, the parents named and served the appropriate parties, were of good moral character, and were financially able to support the child. C.J. v. M.S., 572 S.W.3d 492, 2019 Ky. App. LEXIS 48 (Ky. Ct. App. 2019).

Findings that the parents intended to abandon their child were supported by clear and convincing evidence given their continued drug-use, limited time they saw the child, and lack of support. A.F. v. L.B., 572 S.W.3d 64, 2019 Ky. App. LEXIS 26 (Ky. Ct. App. 2019).

10.Stepparent Adoption.

The overriding considerations expressed through the termination and adoption statutes for cutting, finally and irrevocably, all connections to the biological parent and his family where there has been a final order terminating parental rights and where there has been an adoption introducing the child into a new family, simply do not apply where there has been only a stepparent adoption with no prior legal severance of the bond to the grandparents. Hicks v. Enlow, 764 S.W.2d 68, 1989 Ky. LEXIS 8 ( Ky. 1989 ).

Unlike the termination statute, the statutory mandate in the adoption statute does provide for an exception. The same sentence that mandates that “an adopted child from the time of adoption shall have no legal relationship to its birth parents,” first states an exception “where a natural parent is the spouse of an adoptive parent.” Hicks v. Enlow, 764 S.W.2d 68, 1989 Ky. LEXIS 8 ( Ky. 1989 ).

“Stepparent-like” adoption does not exist under the laws of Kentucky because KRS 199.520(2) makes a biological parent’s retention of parental rights on the one hand, and his or her consent to the adoption of his or her child by a non-spouse on the other hand, mutually exclusive options under the law. S.J.L.S. v. T.L.S., 265 S.W.3d 804, 2008 Ky. App. LEXIS 282 (Ky. Ct. App. 2008).

By its nature, adoption under Ky. Rev. Stat. Ann. § 199 vitiates parental rights of biological parents. Ky. Rev. Stat. Ann. § 199.520(2); when there is a dual petition involving an adoption and involuntary termination of parental rights, the adoption supersedes the termination because § 199 encompasses Ky. Rev. Stat. Ann. § 625. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Trial court incorrectly applied Ky. Rev. Stat. Ann. § 625 to a step-mother’s amended petition because it was an adoption, and therefore, Ky. Rev. Stat. Ann. § 199 governed the entirety of the amended petition seeking adoption. E.K. v. T.A., 572 S.W.3d 80, 2019 Ky. App. LEXIS 32 (Ky. Ct. App. 2019).

Family court referred several times to stepfather’s motion to terminate biological father’s parental rights; however, stepfather never filed such a motion and would not have standing to do so. Stepfather filed an adoption petition and thus it was wholly unnecessary for him to separately motion or petition the family court for termination of biological father’s parental rights. A.K.H. v. J.D.C., 2021 Ky. App. LEXIS 11 (Ky. Ct. App. Jan. 22, 2021).

11.Candor With Tribunal.

Grandmother was precluded from challenging a grandfather’s standing to seek visitation under KRS 405.021 since the grandmother concealed a pending adoption proceeding as a tactical maneuver to circumvent the grandfather’s right to have a determination made as to whether visitation was in a grandchild’s best interest; the premise of KRS 403.838(4) was applied, even though no similar provision was found in the grandparents’ visitation statute or in the adoption statutes such as KRS 199.520(2). Zoeller v. Gutterman, 2007 Ky. App. Unpub. LEXIS 40 (Ky. Ct. App. Oct. 26, 2007).

Cited in:

Kentucky Trust Co. v. Sweeney, 163 F. Supp. 450, 1958 U.S. Dist. LEXIS 2908 (D. Ky. 1958 ); Stanfield v. Willoughby, 286 S.W.2d 908, 1956 Ky. LEXIS 433 , 53 A.L.R.2d 925 ( Ky. 1956 ); Breckinridge v. Skillman’s Trustee, 330 S.W.2d 726, 1959 Ky. LEXIS 202 ( Ky. 1959 ); Jouett v. Rhorer, 339 S.W.2d 865, 1960 Ky. LEXIS 485 ( Ky. 1960 ); Ryburn v. First Nat’l Bank, 399 S.W.2d 313, 1965 Ky. LEXIS 25 ( Ky. 1965 ); Warner v. Ward, 401 S.W.2d 62, 1966 Ky. LEXIS 402 ( Ky. 1966 ); Murray v. Murray, 564 S.W.2d 5, 1978 Ky. LEXIS 344 ( Ky. 1978 ); Walton v. Lee, 634 S.W.2d 159, 1982 Ky. LEXIS 25 5 ( Ky. 1982 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Eldred, Should We Replace Fiction With Fact?, Volume 52, No. 3, Summer 1988 Ky. Bench & B. 21.

Kentucky Law Journal.

The Dilemma of Adoptees in the Class Gift Structure — The Kentucky Approach: A Rule Without Reason, 59 Ky. L.J. 921 (1971).

Bratt, Material Participation and the Valuation of Farm Land for Estate Tax Purposes Under the Tax Reform Act of 1976, 66 Ky. L.J. 848 (1977-78).

Bratt, Family Protection Under Kentucky’s Inheritance Laws: Is the Family Really Protected? 76 Ky. L.J. 387 (1987-88).

Bratt, A Primer on Kentucky Intestacy Laws, 82 Ky. L.J. 29 (1993-94).

Northern Kentucky Law Review.

Schneider, A Kentucky Study of Will Provisions: Implications for Intestate Succession Law, 13 N. Ky. L. Rev. 409 (1987).

Note, King v. King: The Best Interest of the Child: A Judicial Determination for Grandparent Visitation, 20 N. Ky. L. Rev. 815 (1993).

Calvert, Probate Law, 21 N. Ky. L. Rev. 367 (1994).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Judgment of Adoption, Form 266.44.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Personal Rights and Privileges Resulting from Marriage, § 12.4.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.7, 29.17, 29.20, 29.21, 29.22, 29.23.

199.525. Dissemination of post-adoption information about medical or genetic condition affecting an adopted person.

  1. If the cabinet receives written information from the biological parent or adult biological sibling of an adopted person or a provider of medical services concerning a physician-verified medical or genetic condition which has affected or may affect the physical or mental health of genetically-related persons, the cabinet shall make a diligent effort to notify the adoptive parent if the adopted person is a minor, the adult adopted person, or the adult adoptable person in order to transmit the health information. For the purposes of this section, “adoptable person” means a person for whom the court has terminated the parental rights of both biological parents but who has not been adopted.
  2. The cabinet shall submit the health information to the clerk of the Circuit Court which issued the adoption order, and the clerk shall place the health information in the adoption case file.
  3. If a child-placing agency or the court receives health information, it shall notify and transmit the information to the cabinet.

History. Enact. Acts 1996, ch. 325, § 2, effective July 15, 1996.

199.530. Judgment of adoption — Name and legal status of adopted child — Inheritance rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 16) was repealed by Acts 1956, ch. 157, § 15.

199.540. Annulment of adoption — Period after which adoption not subject to attack.

  1. If a child adopted under KRS 199.470 to 199.520 reveals definite traits of ethnological ancestry different from those of the adoptive parents, and of which the adoptive parents had no knowledge or information prior to the adoption, a petition setting forth the facts may be filed by the original petitioner or the cabinet at any time within five (5) years after the adoption with the court which decreed the adoption. If upon hearing the facts set forth in the petition they are established, the court may enter a decree of annulment of the adoption and setting aside any or all rights or obligations which may have accrued by reason of the adoption.
  2. After the expiration of one (1) year from the date of the entry of judgment of adoption, the validity thereof shall not be subject to attack in any action, collateral or direct, by reason of any irregularity or failure to comply with KRS 199.470 to 199.520 , either procedurally or substantively.

History. Enact. Acts 1950, ch. 125, § 17; 1970, ch. 92, § 66; 1994, ch. 242, § 9, effective July 15, 1994.

NOTES TO DECISIONS

1.Fraud upon the Court.

If a forgery constitutes a fraud upon the court, the judgment might be adjudged void without regard to statutory limitations based upon “irregularity.” Jones v. Sutton, 255 S.W.2d 658, 1953 Ky. LEXIS 682 ( Ky. 1953 ).

2.Due Process.

Since the mother claimed she lacked adequate notice of adoption proceedings, strict application of the one-year period in KRS 199.540(2) for challenging adoptions could violate her Fourteenth Amendment due process rights. Remand was thus required to determine whether she had sufficient notice of the adoption proceedings to satisfy due process. Storm v. Mullins, 199 S.W.3d 156, 2006 Ky. LEXIS 204 ( Ky. 2006 ).

3.Failure to Challenge.

Where a mother alleged she never signed a consent to adoption and was never served with a copy of the adoption petition, since she failed to challenge the adoption within a year after entry of the judgment, her challenge based on the failure to comply with the statutory adoption procedures was barred by the one-year limitation period in KRS 199.540(2). Storm v. Mullins, 199 S.W.3d 156, 2006 Ky. LEXIS 204 ( Ky. 2006 ).

Cited in:

Allen v. Martin, 735 S.W.2d 332, 1987 Ky. App. LEXIS 545 (Ky. Ct. App. 1987).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Judgment of Adoption, Form 266.44.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.7, 29.25.

199.550. Disposition of child if adoption not adjudged.

If for any reason whatsoever a petition for adoption of a minor child be dismissed or the judgment of adoption annulled, the following disposition shall be made of the child:

  1. If the child is, or was, prior to the filing of the petition, in the care, custody, and control of the cabinet, individual, institution, or agency, then the child shall be returned to the custody of the cabinet or such individual, institution, or agency;
  2. Otherwise the court shall certify the case to the juvenile session of the District Court of the county where the adoption proceeding is pending for appropriate action and disposition. Said District Court shall advise the cabinet of the pendency of such action.

History. Enact. Acts 1950, ch. 125, § 18; 1976 (Ex. Sess.), ch. 14, § 177, effective January 2, 1978.

NOTES TO DECISIONS

1.Return of Child to Prospective Adoptive Parents.

Where the court sustained the order dismissing the adoption, this section did not authorize the return of the child to the prospective adoptive parents, since this section was designed to facilitate the re-establishment of the status quo where custody of a child had been awarded in prior court proceedings. Hill v. Poole, 493 S.W.2d 482, 1973 Ky. LEXIS 490 ( Ky. 1973 ).

Where judgment of adoption was void for lack of jurisdiction since child had not resided with petitioners for at least 90 days prior to filing of petition, as provided in subsection (1) of this section custody must be returned to the custody of the individual having custody at the time the petition for adoption was filed. Day v. Day, 937 S.W.2d 717, 1997 Ky. LEXIS 9 ( Ky. 1997 ).

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.18.

199.555. State-funded adoption assistance payments — Conditions.

  1. A “special-needs child” means:
    1. A child which the state has determined cannot or should not be returned to the home of the child’s parents; and
    2. A child which the state has first determined:
      1. That there exists a specific factor or condition the existence of which leads to the reasonable conclusion that the child cannot be placed with adoptive parents without providing adoption assistance under this section or medical assistance under Title XIX; and
      2. That except where it would be against the best interests of the child because of such factors as the existence of significant emotional ties with prospective adoptive parents while in the care of these parents as a foster child, a reasonable, but unsuccessful, effort has been made to place the child with appropriate adoptive parents without providing adoption assistance under this section or medical assistance under Title XIX.
  2. “State-funded adoption assistance” means a monthly payment to assist in meeting the special needs of a child which was placed by the Cabinet for Health and Family Services. The state-funded adoption assistance shall also include payment of nonrecurring adoption expenses, and may include reimbursement of extraordinary medical expenses.
  3. “Nonrecurring adoption expenses” means those expenses which are incurred in the legal adoption of a special-needs child for which parents are ultimately responsible which include reasonable and necessary adoption fees, court costs, attorney fees, and other expenses which are directly related to the special-needs adoption and which are not incurred in violation of state or federal law.
  4. “Extraordinary medical expenses” means those expenses which are related to the child’s special needs which existed prior to the adoption and are not reimbursed by private insurance, Medicaid, or other third-party payors or government programs.
  5. If the secretary of the Cabinet for Health and Family Services or his designated representative finds that a child may benefit from being adopted and that a monthly assistance payment to adoptive parents after the adoption will increase the likelihood of adoption, state funds may be paid to the adoptive parents after completion of the adoption of the child if the following conditions exist:
    1. The child was considered a special-needs child prior to the adoption;
    2. The child is committed to the Cabinet for Health and Family Services and the cabinet has authority to consent to the child’s adoption; and
    3. The adoptive parents can give suitable care to the child if a monthly adoption assistance is paid.
  6. Agreements for the payments of state funds under this section shall be made prior to the adoption of the child. However, if the secretary for health and family services or his designated representative finds that the adoption is likely to disrupt, state-funded extraordinary medical expenses may be reimbursed contingent upon availability of resources, if the following conditions exist:
    1. The child was placed for adoption by the Cabinet for Health and Family Services;
    2. The child was considered a special-needs child prior to the adoption;
    3. The parents have made a reasonable effort under the circumstances to meet the needs of the child without reimbursement for extraordinary medical expenses.

      This subsection shall apply to any child meeting the conditions of this subsection who at the time of application for the state-funded post-adoption extraordinary medical expenses is under the age of eighteen (18). This subsection shall have retroactive as well as prospective effect.

  7. The payments shall be out of funds appropriated to the cabinet and those funds collected pursuant to KRS 199.473(13), which shall be deposited in a restricted account for the purpose of assisting special-needs adoptions, and shall be in accordance with regulations promulgated by the secretary. The payments shall not exceed the amount which would be paid for foster care for the child. Monthly state-funded assistance payments shall not exceed the amount which would be paid for foster care for the child and may include reimbursement for extraordinary medical expenses. Payment of nonrecurring adoption expenses shall only be reimbursed up to the limit established by the secretary for health and family services in accord with 42 U.S.C. sec. 673 . However, payments under agreements entered into under subsection (6) of this section shall be limited to reimbursement of authorized extraordinary medical expenses related to problems or conditions that existed prior to the adoption.
  8. State-funded adoption assistance payments shall not be made to parents if:
    1. The child has attained the age of eighteen (18), except that if the child is enrolled in a state or federal educational program, the payments may continue through age twenty-one (21);
    2. The cabinet determines the parents are no longer legally responsible for the support of the child; or
    3. The cabinet determines that the child is no longer receiving any support from the parents.
  9. Parents who have been receiving state-funded adoption assistance payments under this section shall keep the cabinet informed of circumstances which would, pursuant to subsection (8) of this section, make them ineligible for assistance, or eligible for assistance in a different amount.
  10. The cabinet shall establish criteria to be followed for the adoption of children under provisions of this section and shall promulgate the criteria by administrative regulations.

History. Enact. Acts 1972, ch. 346, § 1; 1974, ch. 179, § 1; 1986, ch. 467, § 1, effective July 15, 1986; 1990, ch. 247, § 2, effective July 13, 1990; 1998, ch. 426, § 143, effective July 15, 1998; 2005, ch. 99, § 180, effective June 20, 2005; 2005, ch. 175, § 3, effective June 20, 2005; 2008, ch. 48, § 1, effective July 15, 2008.

Compiler’s Notes.

The reference to “Title XIX” in subsections (1)(b)1. and (1)(b)2. is a reference to Title XIX of the federal Social Security Act, which is compiled as 42 USCS § 1396 et seq.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.10; 1991 Supp., § 29.6.

199.557. Federal Title IV-E adoption assistance.

  1. For the purpose of this section, unless the context requires otherwise, “Federal Title IV-E adoption assistance” means a monthly payment to assist in the integration of the child into the adoptive family and the payment of nonrecurring adoption expenses which include reasonable and necessary adoption fees, court costs, attorney fees, and other expenses which are directly related to legal adoption of a special-needs child and which are not incurred in violation of state or federal law.
  2. Federal Title IV-E adoption assistance shall be paid to the adoptive parent or parents after conclusion of the adoption if the child meets the eligibility criteria established at 42 U.S.C. sec. 673 .
  3. Agreements for Federal Title IV-E adoption assistance under this section shall be made prior to the adoption of the child.
  4. Payment shall be out of funds appropriated to the cabinet and Federal Title IV-E funds of the Social Security Act as amended (42 U.S.C. secs. 673 et seq.). All payments shall be in accordance with administrative regulations promulgated by the Cabinet for Health and Family Services. Payments shall not exceed the amount which would be paid for foster care for the child. Nonrecurring adoption expenses shall only be reimbursed up to the limit established by the secretary of the Cabinet for Health and Family Services or his designated representative in accordance with 42 U.S.C. secs. 673 et seq.

History. Enact. Acts 1990, ch. 247, § 4, effective July 13, 1990; 1998, ch. 426, § 144, effective July 15, 1998; 2005, ch. 99, § 181, effective June 20, 2005; 2008, ch. 48, § 2, effective July 15, 2008.

Compiler’s Notes.

The references to “Title IV-E” throughout the section are references to Title IV-E of the federal Social Security Act, which is compiled as 42 USCS § 670 et seq.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, 1991 Supp., Termination of Parental Rights and Adoption, § 29.6.

199.560. Appeal.

Any party to any adoption proceeding shall have the same right of appeal to the Court of Appeals of Kentucky as in other equity actions.

History. Enact. Acts 1950, ch. 125, § 19.

NOTES TO DECISIONS

1.Construction With Other Laws.

Though petitions by children’s custodians to adopt the children despite their biological mother’s withholding of consent necessitated an order of involuntary termination of parental rights, and though KRS 625.110 prohibited appeals from orders denying involuntary termination of parental right, that general prohibition was overcome by the specific statutory authority of KRS 199.560 that allowed appeals of orders denying adoption petitions. The court held that the custodians’ appeals could proceed. C.M.C. v. A.L.W., 180 S.W.3d 485, 2005 Ky. App. LEXIS 246 (Ky. Ct. App. 2005).

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.19.

199.565. Statewide swift adoption procedures — Protocol — Teams — Quarterly report. [Repealed]

HISTORY: Enact. Acts 1996, ch. 325, § 3, effective July 15, 1996; 2000, ch. 14, § 19, effective July 14, 2000; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

199.570. Adoption records confidential — Exception — New birth certificate.

    1. The files and records of the court during adoption proceedings shall not be open to inspection by persons other than parties to the proceedings, their attorneys, and representatives of the cabinet except under order of the court expressly permitting inspection. (1) (a) The files and records of the court during adoption proceedings shall not be open to inspection by persons other than parties to the proceedings, their attorneys, and representatives of the cabinet except under order of the court expressly permitting inspection.
    2. Upon the entry of the final order in the case, the clerk shall place all papers and records in the case in a suitable envelope which shall be sealed and shall not be open for inspection by any person except on written order of the court, except that upon the written consent of the biological parents and upon written order of the Circuit Court all papers and records including all files and records of the Circuit Court during proceedings for termination of parental rights provided in KRS 625.108 shall be open for inspection to any adult adopted person who applies in person or in writing to the Circuit Court as provided in KRS 199.572 . Health information received pursuant to KRS 199.525 shall be added to the adoption case file. The clerk of the Circuit Court shall set up a separate docket and order book for adoption cases and these files and records shall be kept locked.
    3. No person having charge of any adoption records shall disclose the names of any parties appearing in such records or furnish any copy of any such records to any person or other entity that does not meet the requirements of KRS 199.572 , except upon order of the court which entered the judgment of adoption.
  1. After entry of the adoption judgment, the clerk of the Circuit Court shall promptly report to the Cabinet for Health and Family Services of Kentucky full information as called for on forms furnished by the Cabinet for Health and Family Services, necessary to make a new birth certificate conforming to the standard birth certificate form. Upon receipt of this information, the Cabinet for Health and Family Services shall cause to be made a new record of the birth and it shall be filed with the original certificate, and the original certificate shall be stamped with the words, “CONFIDENTIAL — subject to copy and/or inspection only on written order of the court.”
  2. The new certificate shall set forth the new name, if any, of the adopted child, the names of the adoptive parents, and such other information deemed necessary in accordance with rules and regulations promulgated by the Cabinet for Health and Family Services in issuing of birth certificates. If the adopted child is under eighteen (18) years of age, the birth certificate shall not contain any information revealing the child is adopted and shall show the adoptive parent or parents as the biological parent or parents of the child. If requested by the adoptive parents, the new birth certificate when issued shall contain the location of birth, hospital, and name of doctor or midwife. This information should be given only by an order of the court in which the child was adopted. The new birth certificate shall recite the residence of the adoptive parents as the birthplace of the child and this shall be deemed for all legal purposes to be the birthplace of the child. If no birth certificate is on file for a child born in Kentucky, the Cabinet for Health and Family Services shall prepare a certificate of birth in accordance with the information furnished the cabinet by the clerk of the Circuit Court which issued the adoption order. The Cabinet for Health and Family Services shall furnish to the clerks of the Circuit Courts the necessary forms to carry out the provisions of this section. If the child was born in another state, the order of adoption shall be forwarded to the division of vital statistics of the state concerned to be changed in accordance with the laws of such state. If the child was born in a foreign country, the report of adoption shall be returned to the attorney or agency handling the adoption for submission to the appropriate federal agency.
  3. Thereafter when any copy of the certificate of birth of any child is issued it shall be a copy of the new certificate of birth, except when an order of the court granting the judgment of adoption shall request the issuance of the copy of the original certificate of the child’s birth.
  4. If any judgment of adoption is reversed, modified, or vacated in any particular, the clerk of the Circuit Court shall notify the Cabinet for Health and Family Services of the reversal or modification and the effect of same, and the cabinet shall make any necessary changes in its records.

History. Enact. Acts 1950, ch. 125, § 20; 1956, ch. 157, § 16; 1968, ch. 69, § 1; 1970, ch. 232, § 1; 1974, ch. 74, Art. VI, § 107(4); 1976, ch. 122, § 1; 1986, ch. 43, § 3, effective July 15, 1986; 1994, ch. 242, § 11, effective July 15, 1994; 1996, ch. 325, § 1, effective July 15, 1996; 1998, ch. 426, § 145, effective July 15, 1998; 2004, ch. 186, § 8, effective July 13, 2004; 2005, ch. 99, § 148 and 182, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). This section was amended by 2005 Ky. Acts ch. 99, § 148 and 182, which are identical and have been codified together.

(10/3/90). Pursuant to KRS 7.136(1), KRS 625.108 has been substituted for the prior reference to KRS 625.100(4) in subsection (1) of this statute. KRS 625.100(4) was deleted by 1988 Ky. Acts ch. 350, § 76, and the substance of its provisions reenacted in 1988 Ky. Acts ch. 350, § 78, which was codified at KRS 625.108 .

NOTES TO DECISIONS

1.Application.

This section, as it provides for sealing the adoption record, does not apply to a judgment of adoption being appealed. Bone v. Shadoan, 746 S.W.2d 68, 1988 Ky. LEXIS 16 ( Ky. 1988 ).

2.Standing.

Although grandparents had no standing to bring an action to terminate mother’s parental rights, under KRS 199.603(7) (now repealed), their petition to adopt, if granted, would have the same legal effect, under KRS 199.520(2) and subsection (3) of this section; their entitlement to such relief, however, had to be predicated on clear and convincing evidence that the mother either abandoned the child or “substantially or continuously or repeatedly neglected or abused” the child, within the meaning of KRS 199.603(1)(a), (b) (now repealed) and 199.500(4). D.S. v. F.A.H., 684 S.W.2d 320, 1985 Ky. App. LEXIS 516 (Ky. Ct. App. 1985).

Cited in:

Stanfield v. Willoughby, 286 S.W.2d 908, 1956 Ky. LEXIS 433 , 53 A.L.R.2d 925 ( Ky. 1956 ); Jouett v. Rhorer, 339 S.W.2d 865, 1960 Ky. LEXIS 485 ( Ky. 1960 ); Warner v. Ward, 401 S.W.2d 62, 1966 Ky. LEXIS 402 ( Ky. 1966 ).

Opinions of Attorney General.

If the original record of birth is on file in another state, subsections (1) and (2) of this section prohibit the division of vital statistics from forwarding the court order to the other state. OAG 67-211 .

Under this section the division of vital statistics, upon receipt of the prescribed forms from a Kentucky Circuit Court based on an order of adoption, is required to issue a new birth certificate if the adopted child was born in Kentucky or in another state and no birth certificate is on file in Kentucky or in another state. OAG 67-211 .

Research References and Practice Aids

Cross-References.

Vital statistics, KRS Chapter 213.

Kentucky Bench & Bar.

Wiederstein, Closed Courtrooms and the Public’s Right of Access, Vol. 67, No. 4, July 2003, Ky. Bench & Bar 15.

Kentucky Law Journal.

Comments, Access to Public Documents in Kentucky, 64 Ky. L.J. 165 (1975-76).

Note, The Unwed Father and the Right to Know of His Child’s Existence, 76 Ky. L.J. 949 (1987-88).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Application for Birth Certificate, Form 266.49.

Caldwell’s Kentucky Form Book, 5th Ed., Petition To Inspect Adoption Records (AOC 290), Form 266.48.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.20.

199.572. Inspection of adoption records — Limitations.

  1. At the time the biological parents give up the child for adoption, they shall be asked by the cabinet whether they consent to the inspection of the adoption records, to personal contact by the child, or to both when he becomes an adult. If consent is then given, it can later be revoked. If consent is withheld at that time, the biological parents may give consent at any later time. The initial written statement of consent or refusal of consent to inspection of records and personal contact shall be filed with the Circuit Court not later than the date of finalization of the adoption proceedings. When a written consent is on file, the records shall be available to the adult adopted person, upon his request therefor in writing.
  2. When any adult adopted person applies in person or in writing to the Circuit Court for authorization to inspect all papers and records pertaining to the adoption proceedings of that adult adopted person as provided in KRS 199.570(1), and the biological parents have previously refused consent to inspection of records and to personal contact, the court may, if satisfied as to the identity of the adult adopted person, authorize the adult adopted person to inspect the papers and records if written consent is obtained from the biological parents identified on the adult adopted person’s original birth certificate.
  3. The Circuit Court shall, within seven (7) working days of the receipt of the request, direct the secretary of the cabinet to notify each biological parent identified on the adult adopted person’s original birth certificate that the person has applied to the court for information identifying the biological parent. Within six (6) months of receiving the notice of the request of the adult adopted person, the secretary of the cabinet shall make complete and reasonable efforts to notify each biological parent identified on the adult adopted person’s original birth certificate. The secretary may charge a reasonable fee not to exceed two hundred fifty dollars ($250) to the adult adopted person for making this search. Every child-caring facility and child-placing agency in the Commonwealth shall cooperate with the secretary in his efforts to notify these biological parents.
  4. If the cabinet utilizes the services of another person or entity to perform a search under subsection (3) of this section, the cabinet shall enter into a formal contract with that person or entity. A person or entity contracted to perform a search shall be licensed under the provisions of KRS Chapter 329A.
  5. The notification of the biological parents shall not be by mail and shall be by personal and confidential contact by the cabinet. The notification shall be done without disclosing the identity of the adult adopted person. The personal and confidential contact with the biological parents shall be evidenced by filing with the Circuit Court an affidavit of notification executed by the person who notified each parent and certifying each parent was given the following information:
    1. The nature of the information requested by the adult adopted person;
    2. The date of the request of the adult adopted person;
    3. The right of the biological parent to file, within sixty (60) days of receipt of the notice, an affidavit with the Circuit Court stating that the adult adopted person shall be authorized to inspect all papers and records pertaining to his adoption proceedings;
    4. The right of the biological parent to file at any time an affidavit authorizing the adult adopted person to inspect all papers and records pertaining to his adoption proceedings; and
    5. The right of a biological parent to file an affidavit with the Circuit Court stating that all papers and records pertaining to the adoption proceedings of the adult adopted person shall not be open for inspection by the adult adopted person.
  6. The adult adopted person shall not be authorized to inspect the papers and records pertaining to his or her adoption proceedings unless those biological parents identified on the original birth certificate agree in writing to that inspection.
  7. If after diligent and reasonable effort, the secretary of the cabinet certifies that both biological parents identified in the original birth certificate are deceased or the secretary is unable to locate said parents, then a judge of the Circuit Court, upon motion of the adult adopted person, may order that all papers and records of the Cabinet for Health and Family Services and those of the Circuit Court pertaining to the adoption shall be open for inspection to the adult adopted person. In any case, the court shall order that only identifying information about the biological parents be shared with the adult adopted person.

History. Enact. Acts 1986, ch. 43, § 4, effective July 15, 1986; 1998, ch. 426, § 146, effective July 15, 1998; 2004, ch. 186, § 9, effective July 13, 2004; 2005, ch. 99, § 183, effective June 20, 2005.

NOTES TO DECISIONS

1.Right to Continuing Inspection.

Where petitioner, upon application to the court, inspected his adoption records, and where the court in its initial order denied petitioner’s request to copy these records, it was an abuse of discretion to deny his request to inspect the records a second time, as nowhere in the statute is there a restriction on the number of times the petitioner may view these records. Newsom v. Newsom, 786 S.W.2d 878, 1990 Ky. App. LEXIS 38 (Ky. Ct. App. 1990).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Petition To Inspect Adoption Records (AOC 290), Form 266.48.

Petrilli, Kentucky Family Law, 1991 Supp., Termination of Parental Rights and Adoption, § 29.20.

199.575. Procedure whereby adopted person may seek to locate preadoptive sibling.

In situations where a preadoptive brother or sister relationship existed, and one (1) or more of these siblings was then adopted, the following procedures shall be followed on an inquiry by one (1) or more of the siblings to the Cabinet for Health and Family Services seeking information about his brother or sister:

  1. In all cases, an adopted person eighteen (18) years of age or older or a preadoptive sibling eighteen (18) years of age or older of an adopted person may file information concerning himself, his present location, and his known antecedents with the Cabinet for Health and Family Services, stating his interest in being reunited with his preadoptive siblings and authorizing the cabinet to release such information to his preadoptive siblings who may make similar inquiry.
  2. In any case in which a person eighteen (18) years of age or older requests information about or expresses a desire in being reunited with a preadoptive sibling, the cabinet shall first determine whether such sibling has made similar inquiry pursuant to subsection (1) of this section. If the sibling has previously authorized release of information about himself, the cabinet shall release the information to the sibling making inquiry.

History. Enact. Acts 1982, ch. 365, § 1, effective July 15, 1982; 1998, ch. 426, § 147, effective July 15, 1998; 2005, ch. 99, § 184, effective June 20, 2005.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.21.

199.580. Adoption proceedings pending on June 15, 1950. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 21) was repealed by Acts 1968, ch. 152, § 168.

199.585. Recognition of foreign adoptions — Registration in Commonwealth — When KRS 199.470 petition required.

  1. The Commonwealth of Kentucky shall recognize a decree, judgment, or final order of adoption issued by a court or other governmental authority with appropriate jurisdiction in a foreign country when the child to be adopted has been approved for United States citizenship, or as otherwise provided by federal law.
  2. Upon presentation of an original decree, judgment, or final order of adoption issued by a court or other governmental authority with appropriate jurisdiction in a foreign country, the secretary or his or her designee shall issue, within thirty (30) days, a certified notice that the foreign adoption is registered in the Commonwealth of Kentucky. The secretary or his or her designee may require a translated copy if the original decree, judgment, or final order is not in English. The cabinet shall maintain all records and notices of foreign adoptions in a manner similar to other adoption records.
  3. A petition for adoption under KRS 199.470 shall be required for a child born outside the United States without a decree, judgment, or final order of adoption issued by a court or other governmental authority with appropriate jurisdiction in a foreign country, or for any child born outside of the United States who does not qualify for United States citizenship upon entry into the United States.

History. Enact. Acts 2005, ch. 68, § 1, effective June 20, 2005; 2005, ch. 175, § 4, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). This new section of the Kentucky Revised Statutes was enacted by both 2005 Ky. Acts chs. 68 and 175.

199.590. Prohibited acts and practices in adoption of children — Expenses paid by prospective adoptive parents to be submitted to court.

  1. A person, corporation, or association shall not advertise in any manner that it will receive children for the purpose of adoption. A newspaper published in the Commonwealth of Kentucky or any other publication which is prepared, sold, or distributed in the Commonwealth of Kentucky shall not contain an advertisement which solicits children for adoption or solicits the custody of children.
  2. A person, agency, institution, or intermediary shall not sell or purchase or procure for sale or purchase any child for the purpose of adoption or any other purpose, including termination of parental rights. This section shall not prohibit a child-placing agency from charging a fee for adoption services. This section shall not be construed to prohibit in vitro fertilization. For purposes of this section, “in vitro fertilization” means the process by which an egg is removed from a woman, and fertilized in a receptacle by the sperm of the husband of the woman in whose womb the fertilized egg will thereafter be implanted.
  3. No person, association, or organization, other than the cabinet or a child-placing institution or agency shall place a child or act as intermediary in the placement of a child for adoption or otherwise, except in the home of a stepparent, grandparent, sister, brother, aunt, or uncle, or upon written approval of the secretary. This subsection shall not be construed to limit the Cabinet for Health and Family Services in carrying out its public assistance under Title IV-A of the Federal Social Security Act program in accordance with KRS Chapter 205. This section shall not be construed to prohibit private independent adoption or the right to seek legal services relating to a private independent adoption.
  4. A person, agency, institution, or intermediary shall not be a party to a contract or agreement which would compensate a woman for her artificial insemination and subsequent termination of parental rights to a child born as a result of that artificial insemination. A person, agency, institution, or intermediary shall not receive compensation for the facilitation of contracts or agreements as proscribed by this subsection. Contracts or agreements entered into in violation of this subsection shall be void.
  5. A person, organization, group, agency, or any legal entity, except a child-placing agency, shall not accept any fee for bringing the adoptive parents together with the child to be adopted or the biological parents of the child to be adopted. This section shall not interfere with the legitimate practice of law by an attorney.
    1. In every adoption proceeding, the expenses paid, including but not limited to any fees for legal services, placement services, and expenses of the biological parent or parents, by the prospective adoptive parents for any purpose related to the adoption shall be submitted to the court, supported by an affidavit, setting forth in detail a listing of expenses for the court’s approval or modification. (6) (a) In every adoption proceeding, the expenses paid, including but not limited to any fees for legal services, placement services, and expenses of the biological parent or parents, by the prospective adoptive parents for any purpose related to the adoption shall be submitted to the court, supported by an affidavit, setting forth in detail a listing of expenses for the court’s approval or modification.
    2. In the event the court modifies the expense request as it relates to legal fees and legal expenses only, the attorney for the adoptive parents shall not have any claim against the adoptive parents for the amount not approved.

History. Enact. Acts 1950, ch. 125, § 22; 1984, ch. 119, § 1, effective July 13, 1984; 1988, ch. 52, § 1, effective July 15, 1988; 1994, ch. 242, § 12, effective July 15, 1994; 1998, ch. 426, § 148, effective July 15, 1998; 2005, ch. 99, § 185, effective June 20, 2005.

Compiler’s Notes.

Title IV-A of the federal Social Security Act, referred to in subsection (3), is compiled as 42 USCS § 601 et seq.

NOTES TO DECISIONS

1.Construction.

KRS 199.590(2) makes it illegal to sell or purchase a child or pay money for the promise of being able to adopt a child. Young v. Commonwealth, 2013 Ky. App. LEXIS 72 (Ky. Ct. App., sub. op., 2013 Ky. App. Unpub. LEXIS 1003 (Ky. Ct. App. May 3, 2013).

2.Surrogate Parenting.

There are fundamental differences between surrogate parenting procedure and the buying and selling of children which place surrogate parenting procedure beyond the purview of subsection (2) of this section. Surrogate Parenting Associates, Inc. v. Commonwealth, 704 S.W.2d 209, 1986 Ky. LEXIS 237 ( Ky. 1986 ).

When the Legislature included “in vitro” fertilization procedure in this section while leaving out the surrogate parenting procedure, the legislature was not legislating against surrogate parenting; all that can be derived from this language is that the legislature has expressed itself about one procedure for medically assisted conception while remaining silent on others. Surrogate Parenting Associates, Inc. v. Commonwealth, 704 S.W.2d 209, 1986 Ky. LEXIS 237 ( Ky. 1986 ).

3.Guarantee.

In appellants’ theft trial under KRS 514.040(1), the parties stipulated that appellants were not under any obligation to permit someone to adopt the child, for purposes of KRS 199.500(1), 199.011(14), and no one told appellants they could not accept money for anyone else; the indictment was based on appellants’ failure to disclose to a couple, who had been paying appellants for pregnancy expenses in the hope of adopting the child, that appellants had also accepted money from an adoption agency, but the court found no crime, and the court found that (1) the couple knew money had already exchanged hands between appellants and the agency, and the couple was not guaranteed to be able to adopt appellants’ child, and there was no deception as to the purpose of the funds, (2) nothing required appellants to inform the couple of other adoptive parents they were considering and getting money from, and (3) the couple did not make the money contingent on appellants not contacting other potential adoptive parents or agencies, and there was no theft by deception or otherwise. Young v. Commonwealth, 2013 Ky. App. LEXIS 72 (Ky. Ct. App., sub. op., 2013 Ky. App. Unpub. LEXIS 1003 (Ky. Ct. App. May 3, 2013).

Cited in:

O.S. v. C.F., 655 S.W.2d 32, 1983 Ky. App. LEXIS 334 (Ky. Ct. App. 1983).

Opinions of Attorney General.

Neither a surrogate mother nor anyone else involved in a surrogate parent transaction may receive payments as consideration, regardless of whether the transaction is accomplished through an adoption proceeding or as a termination of parental rights proceeding, since a strong Kentucky public policy against the buying and selling of children is embodied in the prohibitions against remuneration in adoption proceedings found under this section. OAG 81-18 .

Research References and Practice Aids

Kentucky Bench & Bar.

Keller, Beware: Major Changes in Private Independent Adoptions, Vol. 42, No. 3, Summer 1996 Ky. Bench & B. 38.

Kentucky Law Journal.

Notes, In Defense of Surrogate Parenting: A Critical Analysis of the Recent Kentucky Experience, 69 Ky. L.J. 877 (1980-81).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, § 29.6.

Interstate Compacts on Subsidized Adoptions

199.595. Legislative finding and purpose.

  1. The General Assembly finds that:
    1. Finding adoptive families for children, for whom state assistance is desirable pursuant to KRS 199.555 , and assuring the protection of the interests of the children affected during the entire assistance period, require special measures when the adoptive parents move to other states or are residents of another state; and
    2. Provision of medical and other necessary services for children, with state assistance, encounters special difficulties when the provision of services takes place in other states.
  2. The purposes of KRS 199.5951 to 199.5955 are to:
    1. Authorize the Cabinet for Health and Family Services to enter into interstate agreements with agencies of other states for protection of children on behalf of whom adoption assistance is being provided by the Cabinet for Health and Family Services; and
    2. Provide procedures for interstate children’s adoption assistance payments, including medical payments.

History. Enact. Acts 1986, ch. 80, § 1, effective July 15, 1986; 1998, ch. 426, § 149, effective July 15, 1998; 2005, ch. 99, § 186, effective June 20, 2005.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Petrilli, Kentucky Family Law, 1991 Supp., Termination of Parental Rights and Adoption, § 29.6.

199.5951. Duty of cabinet with respect to interstate compacts.

  1. The Cabinet for Health and Family Services is authorized to develop, participate in the development of, negotiate and enter into one (1) or more interstate compacts on behalf of this state with other states to implement one (1) or more of the purposes set forth in KRS 199.595 to 199.595 5. When so entered into, and for so long as it shall remain in force, such a compact shall have the force and effect of law.
  2. For the purposes of KRS 199.595 to 199.595 5, the term “state” shall mean a state of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Commonwealth of the Northern Mariana Islands, or a territory or possession of or administered by the United States.
  3. For the purposes of KRS 199.595 to 199.595 5, the term “adoption assistance state” means the state that is signatory to an adoption assistance agreement in a particular case.
  4. For the purposes of KRS 199.595 to 199.595 5, the term “residence state” means the state of which the child is a resident by virtue of the residence of the adoptive parents.

History. Enact. Acts 1986, ch. 80, § 2, effective July 15, 1986; 1998, ch. 426, § 150, effective July 15, 1998; 2005, ch. 99, § 187, effective June 20, 2005.

199.5952. Contents of interstate compacts.

A compact entered into pursuant to the authority conferred by KRS 199.595 to 199.595 5 shall have the following content:

  1. A provision making it available for joinder by all states;
  2. A provision or provisions for withdrawal from the compact upon written notice to the parties, but with a period of one (1) year between the date of the notice and the effective date of the withdrawal;
  3. A requirement that the protections afforded by or pursuant to the compact continue in force for the duration of the adoption assistance and be applicable to all children and their adoptive parents who on the effective date of the withdrawal are receiving adoption assistance from a party state other than the one in which they are resident and have their principal place of abode;
  4. A requirement that each instance of adoption assistance to which the compact applies be covered by an adoption assistance agreement in writing between the adoptive parents and the state child welfare agency of the state which undertakes to provide the adoption assistance, and further, that any such agreement be expressly for the benefit of the adopted child and enforceable by the adoptive parents, and the state agency providing the adoption assistance; and
  5. Such other provisions as may be appropriate to implement the proper administration of the compact.

History. Enact. Acts 1986, ch. 80, § 3, effective July 15, 1986.

199.5953. Additional compact provisions.

A compact entered into pursuant to the authority conferred by KRS 199.595 to 199.595 5 may contain provisions in addition to those required pursuant to KRS 199.5952 , as follows:

  1. Provisions establishing procedures and entitlements to medical, developmental, child care or other social services for the child in accordance with applicable laws, even though the child and the adoptive parents are in a state other than the one responsible for or providing the services or the funds to defray part or all of the costs thereof; and
  2. Such other provisions as may be appropriate or incidental to the proper administration of the compact.

History. Enact. Acts 1986, ch. 80, § 4, effective July 15, 1986.

199.5954. State medical assistance for special-needs adoptee.

  1. A child with special needs residing in this state, who is the subject of an adoption assistance agreement with another state, shall be entitled to receive medical assistance from this state upon the filing in the Department for Community Based Services, Cabinet for Health and Family Services, a certified copy of the adoption assistance agreement obtained from the adoption assistance state. In accordance with regulations of the Department for Medicaid Services, Cabinet for Health and Family Services, the adoptive parents shall be required at least annually to show that the agreement is still in force or has been renewed.
  2. The Department for Medicaid Services, Cabinet for Health and Family Services shall consider recipients of medical assistance pursuant to this section as any other recipient of medical assistance under the laws of this state and shall process and make payment on claims on account of the recipient in the same manner and pursuant to the same conditions and procedures as for other recipients of medical assistance.
  3. The Department for Medicaid Services, Cabinet for Health and Family Services shall provide coverage and benefits for a child who is in another state and who is covered by an adoption assistance agreement made by the Department for Community Based Services, Cabinet for Health and Family Services, for the coverage or benefits, if any, not provided by the residence state. To this end, the adoptive parents acting for the child may submit evidence of payment for services or benefit amounts not payable in the residence state and shall be reimbursed therefor. However, there shall be no reimbursement for services or benefit amounts covered under any insurance or other third-party medical contract or arrangement held by the child or the adoptive parents. The Cabinet for Health and Family Services shall make regulations implementing this subsection. The additional coverages and benefit amounts provided pursuant to this subsection shall be for services to the cost of which there is no federal contribution, or which, if federally aided, are not provided by the residence state. Among other things, the regulations shall include procedures to be followed in obtaining prior approvals for services in those instances where required for the assistance.
  4. The submission of any claim for payment or reimbursement for services or benefits pursuant to this section or the making of any statement in connection therewith, which claim or statement the maker knows or should know to be false, misleading, or fraudulent shall be punishable as perjury and shall also be subject to a fine not to exceed ten thousand dollars ($10,000) or imprisonment for not more than two (2) years, or both such fine and imprisonment.
  5. The provisions of this section shall apply only to medical assistance for children under adoption assistance agreements from states that have entered into a compact with this state under which the other state provides medical assistance agreements made by this state. All other children entitled to medical assistance pursuant to adoption assistance agreements entered into by this state shall be eligible to receive it in accordance with the laws and procedures applicable thereto.

History. Enact. Acts 1986, ch. 80, § 5, effective July 15, 1986; 1990, ch. 247, § 3, effective July 13, 1990; 1998, ch. 426, § 151, effective July 15, 1998; 2000, ch. 14, § 20, effective July 14, 2000; 2005, ch. 99, § 188, effective June 20, 2005.

199.5955. Federal medical and adoption assistance.

Consistent with federal law, the Cabinet for Health and Family Services, in connection with the administration of KRS 199.595 to 199.595 5 and any compact pursuant hereto shall include in any state plan made pursuant to the Adoption Assistance and Child Welfare Act of 1980 (Pub. L. 96-272), Titles IV (e) and XIX of the Social Security Act, and any other applicable federal laws, the provision of adoption assistance and medical assistance for which the federal government pays some or all of the cost. The Cabinet for Health and Family Services shall apply for and administer all relevant federal aid in accordance with law.

History. Enact. Acts 1986, ch. 80, § 6, effective July 15, 1986; 1998, ch. 426, § 152, effective July 15, 1998; 2005, ch. 99, § 189, effective June 20, 2005.

Compiler’s Notes.

The Adoption Assistance and Child Welfare Act of 1980 (P.L. 96-272) is compiled primarily as 42 USCS § 670 et seq.

Titles IV(e) and XIX of the Social Security Act are compiled as 42 USCS § 670 et seq. and 42 USCS § 1396 et seq., respectively.

Termination of Parental Rights

199.600. Involuntary termination of parental rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 23; 1962, ch. 211, § 5; 1966, ch. 219; 1968, ch. 42; 1972, ch. 190, § 1; 1974, ch. 255, § 10; 1974, ch. 386, § 38; 1976, ch. 21, § 1; 1976, ch. 62, § 99) was repealed by Acts 1978, ch. 137, § 18, effective June 17, 1978. For present law see KRS 625.050 to 625.120 .

199.601. Voluntary termination of parental rights — Petition — Hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 8) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.040 to 625.046 .

199.603. Involuntary termination of parental rights of a parent of dependent, neglected or abused child. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 10) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.050 to 625.120 .

199.605. Termination of parental rights on birth of illegitimate children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 57, § 1; 1974, ch. 74, Art. VI, § 42) was repealed by Acts 1986, ch. 423, § 198.

199.607. Termination of parental rights of father of child born out of wedlock. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 11) was repealed by Acts 1986, ch. 423, § 198.

199.609. Proceedings to terminate parental rights to be in circuit court — Contents of petition for involuntary termination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 12; 1980, ch. 188, § 155) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.040 to 625.120 .

199.610. Appeal from judgment terminating parental rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 24) was repealed by Acts 1978, ch. 137, § 18, effective June 17, 1978. For present law see KRS 625.110 .

199.611. Order of termination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 9) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.100 to 625.110 .

199.613. Parents not be named in termination order — All rights terminated except right to inherit. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 13) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.100 to 625.110 .

199.615. Records of proceeding to terminate parental rights confidential. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 131; 1974, ch. 74, Art. VI, § 107(1), (13); 1980, ch. 188, § 186) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.100 to 625.110 .

199.617. Appeal from order for involuntary termination of parental rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 137, § 14) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS 625.100 to 625.110 .

199.620. Voluntary termination of parental rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 25; 1974, ch. 386, § 39) was repealed by Acts 1978, ch. 137, § 18, effective June 17, 1978. For present law see KRS 625.040 to 625.046 .

199.630. Form of order terminating parental rights — Recording and certification — Status of parties after termination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 125, § 26) was repealed by Acts 1978, ch. 137, § 18, effective June 17, 1978. For present law see KRS 625.100 .

Child Care and Placement Agencies

199.640. Licensing of child-caring and child-placing agencies or facilities — License fees — Standards — Recordkeeping and reporting — Use of corporal punishment — Prohibition against hiring convicted sex offender — Confidentiality of records.

  1. Any facility or agency seeking to conduct, operate, or maintain any child-caring facility or child-placing agency shall first obtain a license to conduct, operate, or maintain the facility or agency from the cabinet.
  2. The cabinet shall:
    1. Develop standards, as provided in subsection (5) of this section, which must be met by any facility or agency seeking to be licensed to conduct, operate, or maintain a child-caring facility or child-placing agency;
    2. Issue licenses to any facility or agency found to meet established standards and revoke or suspend a license after a hearing in any case that a facility or agency holding a license is determined to have substantially failed to conform to the requirements of the standards;
    3. Establish and follow procedures designed to ensure that any facility or agency licensed to conduct, operate, or maintain a child-caring facility or child-placing agency complies with the requirements of the standards on an ongoing basis.
  3. Licenses shall be issued for a period of one (1) year from date of issue unless revoked by the cabinet. Each licensed facility or agency shall be visited and inspected at least one (1) time each year by a person authorized by the cabinet and meeting specific qualifications established by the secretary of the cabinet in an administrative regulation. A complete report of the visit and inspection shall be filed with the cabinet.
  4. Each license issued shall specify the type of care or service the licensee is authorized to perform. The cabinet may promulgate administrative regulations to establish fees that shall not exceed costs of the program to the cabinet, for the proper administration of licensure. The fees collected by the secretary shall be deposited in the State Treasury and credited to a revolving fund account for the purpose of carrying out the provisions of this section. The balance of said account shall lapse to the general fund at the end of each biennium.
    1. The secretary shall promulgate administrative regulations establishing basic standards of care and service for child-caring facilities and child-placing agencies relating to the health and safety of all children in the care of the facility or agency, the basic components for a quality program, as referenced below, and any other factors as may be necessary to promote the welfare of children cared for or placed by the agencies and facilities. Standards established may vary depending on the capacity of the agency or facility seeking licensure. These administrative regulations shall establish standards that ensure that: (5) (a) The secretary shall promulgate administrative regulations establishing basic standards of care and service for child-caring facilities and child-placing agencies relating to the health and safety of all children in the care of the facility or agency, the basic components for a quality program, as referenced below, and any other factors as may be necessary to promote the welfare of children cared for or placed by the agencies and facilities. Standards established may vary depending on the capacity of the agency or facility seeking licensure. These administrative regulations shall establish standards that ensure that:
      1. The treatment program offered by the facility or agency is directed toward child safety, improved child functioning, improved family functioning, and continuity and permanence for the child;
      2. The facility or agency has on staff, or has contracted with, individuals who are qualified to meet the treatment needs of the children being served, including their psychological and psychiatric needs;
      3. The facility or agency has procedures in place to ensure that its staff receives ongoing training and that all staff members who are required to do so meet all regional and national standards;
      4. The facility or agency develops an integrated, outcomes-based treatment plan that meets the health, mental health, education, safety, and security needs of each child in its care;
      5. The facility or agency has procedures in place to include parents, family, and other caregivers in a child’s treatment program;
      6. The facility or agency has procedures in place whereby it evaluates its programs on a quarterly basis and documents changes in the program if the results of the review indicate a change is needed;
      7. The facility or agency makes available quality programs for substance abuse prevention and treatment with providers licensed under KRS Chapter 222 as part of its treatment services;
      8. The facility or agency initiates discharge planning at admission and provides sufficient aftercare; and
      9. The facility or agency has written policies and procedures in place that outline the structure and objectives of cooperative relationships with the community within which it is located and the local school district, including outreach activities to be undertaken by the facility or agency to both develop and maintain those cooperative relationships.
    2. The secretary shall promulgate administrative regulations establishing recordkeeping and reporting requirements and standards for licensed agencies and facilities that recognize the electronic storage and retrieval of information for those facilities that possess the necessary technology and that include, at a minimum, the following information relating to children in the care of the agency or facility:
      1. The name, age, social security number, county of origin, and all former residences of the child;
      2. The names, residences, and occupations, if available, of the child’s parents;
      3. The date on which the child was received by the agency or facility; the date on which the child was placed in a foster home or made available for adoption; and the name, occupation, and residence of any person with whom a child is placed; and
      4. A brief and continuing written narrative history of each child covering the period during which the child is in the care of the agency or facility.
    3. The secretary may promulgate administrative regulations creating separate licensure standards for different types of facilities.
    4. The secretary shall promulgate administrative regulations to establish practices and procedures for the inspection of child-caring facilities and child-placing agencies. These administrative regulations shall establish a uniform reporting mechanism that includes guidelines for enforcement.
  5. Any administrative regulations promulgated pursuant to KRS Chapter 13A to govern services provided by church-related privately operated child-caring agencies or facilities shall not prohibit the use of reasonable corporal physical discipline which complies with the provisions of KRS 503.110(1), including the use of spanking or paddling, as a means of punishment, discipline, or behavior modification and shall prohibit the employment of persons convicted of any sexual offense with any child-caring facility or child-placing agency.
  6. All records regarding children or facts learned about children and their parents and relatives by any licensed agency or facility shall be deemed confidential in the same manner and subject to the same provisions as similar records of the cabinet. The information thus obtained shall not be published or be open for public inspection, except to authorized employees of:
    1. The cabinet or of such licensed agency or facility in performance of their duties; and
    2. A school or local school district in which a child is enrolling or currently enrolled, in order to identify and serve the educational needs of the child, in accordance with KRS 199.802 .

History. Enact. Acts 1950, ch. 125, § 27; 1972, ch. 153, § 2; 1974, ch. 74, Art. VI, § 107(21); 1978, ch. 314, § 4, effective June 17, 1978; 1982, ch. 247, § 4, effective July 15, 1982; 1988, ch. 239, § 2, effective July 15, 1988; 1998, ch. 524, § 1, effective July 15, 1998; 1998, ch. 527, § 2, effective July 15, 1998; 2005, ch. 99, § 45, effective June 20, 2005; 2018 ch. 136, § 4, effective July 1, 2019; 2020 ch. 64, § 3, effective July 15, 2020.

Opinions of Attorney General.

A county detention home is not a “child-caring or child-placing institution or agency” within the meaning of this section and need not be licensed by the Department of Child Welfare (now Cabinet for Families and Children). OAG 68-604 .

Kentucky Baptist Homes for Children, Inc., although it is organized as a private nonprofit corporation as provided for in KRS 199.640 , is a facility operating under a plan and budget approved by the Cabinet and the comprehensive scheme of legislation. Because KBHC derives at least 25% of the funds it expends in the Commonwealth from state or local authority funds, approximately 56%, it is a public agency within the meaning of KRS 61.870(1)(h) and, therefore, is subject to the provisions of the Open Records Act. OAG 04-ORD-111.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Consent of Agency to Adoption, Form 266.26.

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Voluntary (Mother) and Involuntary (Absent Father) Termination of Parental Rights, Form 266.03.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

199.641. Definitions — Payments to child-caring facility or child-placing agency.

  1. As used in this section, unless the context otherwise requires:
    1. “Allowable costs report” means a report from each child-caring facility or child-placing agency that contracts with the department for services and includes all allowable costs as defined by the Federal Office of Management and Budget’s guidance, including Title 2 of the Code of Federal Regulations, and other information the department may require, utilizing cost data from each child-caring facility’s or child-placing agency’s most recent yearly audited financial statement;
    2. “Department” means the Department for Community Based Services of the Cabinet for Health and Family Services;
    3. “Model program cost analysis” means a report based on a time study, the allowable costs report, and other information required by the department from each child-caring facility or child-placing agency that contracts with the department for services that determines a statewide median cost for each licensed program category of service provided by child-caring facilities or child-placing agencies; and
    4. “Time study” means the process of reporting the work performed by employees of child-caring facilities or child-placing agencies in specified time periods.
  2. Subject to the limitations set forth in subsection (4) of this section, when the department chooses to contract with a child-caring facility or child-placing agency for services to a child in the custody of or committed to the department, the department shall make payments to that facility based on the rate setting methodology developed from the model program cost analysis. The department shall also assure that the methodology:
    1. Provides payment incentives for moving children as quickly as possible to a permanent, continuous, stable environment;
    2. Provides children who require out-of-home care or alternative treatment with placements that are as close as possible to their home geographic area and ensure continuity with their families, schools, faiths, and communities;
    3. Provides appropriate placement and treatment services that effectively and efficiently meet the needs of the child and the child’s family as close as possible to the child’s home geographic area; and
    4. Facilitates provider participation in the state Medicaid program established in accordance with KRS Chapter 205.
  3. The department shall use the model program cost analysis as a basis for cost estimates for the development of the department’s biennial budget request.
  4. The secretary shall, to the extent funds are appropriated, establish and implement the rate setting methodology and rate of payment by promulgation of administrative regulations in accordance with KRS Chapter 13A that are consistent with the level and quality of service provided by child-caring facilities. The administrative regulations shall also include the forms and formats for the model program cost analysis.
  5. Nothing in this section shall prohibit the department from soliciting proposals to improve or expand alternative services for children in the custody of or committed to the cabinet.

HISTORY: Enact. Acts 1988, ch. 239, § 1, effective July 15, 1988; 1992, ch. 297, § 1, effective July 14, 1992; 1998, ch. 426, § 153, effective July 15, 1998; 2000, ch. 14, § 21, effective July 14, 2000; 2000, ch. 307, § 1, effective July 14, 2000; 2005, ch. 99, § 190, effective June 20, 2005; 2018 ch. 159, § 5, effective July 14, 2018.

Legislative Research Commission Notes.

(7/4/2000). This section was amended by 2000 Ky. Acts chs. 14 and 307. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 307, which was last enacted by the General Assembly, prevails under KRS 446.250 .

199.642. Staff members of child-caring facilities must submit to background checks in accordance with federal law and regulations — Administrative regulations.

  1. As used in this section, “staff member” means:
    1. An individual who is employed by a child-caring facility or child-placing agency for compensation;
    2. A contract employee or a self-employed individual whose employment directly involves the care or supervision of children or unsupervised access to children placed with the child-caring facility or child-placing agency; or
    3. A volunteer or intern whose activities on behalf of a child-caring facility or child-placing agency involve the care or supervision of children or unsupervised access to children.
  2. The cabinet shall require a staff member of a child-caring facility or child-placing agency to submit to background checks in accordance with 42 U.S.C. sec. 671(a)(20) (D) and the implementing federal rules, including national and state fingerprint-supported criminal background checks by the Department of Kentucky State Police and the Federal Bureau of Investigation.
  3. The child-caring facility or child-placing agency staff member shall provide the staff member’s fingerprints to the Department of Kentucky State Police for submission to the Federal Bureau of Investigation after a state criminal background check is conducted.
  4. The results of the national and state criminal background checks shall be sent to the cabinet.
  5. The cabinet shall provide notice to a child-caring facility or child-placing agency if a staff member is eligible for employment not to exceed seven (7) business days after the date the staff member submitted fingerprints through a means approved by the cabinet to the Department of Kentucky State Police. The cabinet shall reissue notice of the staff member’s eligibility for employment subsequent to the cabinet’s receipt of additional information about the staff member, including a result from the rap back.
  6. The cabinet may register a child-caring facility or child-placing agency staff member in the rap back system.
  7. The request for background checks shall be in a manner approved by the Justice and Public Safety Cabinet, and the Cabinet for Health and Family Services may charge a fee to be paid by a child-caring facility or child-placing agency not to exceed the actual cost of processing the request.
  8. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.
  9. The requirements of this section shall apply to a child-placing agency only if a background check required under subsection (2) of this section can be accomplished electronically, pursuant to KRS 17.185 .

HISTORY: Enact. Acts 2019, ch. 33, § 1, effective March 19, 2019; renumbered from § 199.8966 by 2020 ch. 53, § 2, effective July 15, 2020.

Compiler’s Notes.

This section was formerly compiled as KRS 199.8966 .

199.645. Administrative regulations for facilities and agencies caring for children before adjudication under KRS Chapter 630.

The Cabinet for Health and Family Services shall issue and enforce administrative regulations specifically addressing the unique situation of child-caring facilities and child-placing agencies which provide nonsecure care for children during the preadjudication phase of proceedings under KRS Chapter 630. These facilities and agencies shall include those operated privately and those operated by units of local government. These administrative regulations shall include standards relating to the following:

  1. Administration;
  2. Personnel;
  3. Training and staff development;
  4. Recordkeeping;
  5. Physical plant;
  6. Security and control;
  7. Safety and emergency procedures;
  8. Sanitation and hygiene;
  9. Medical services;
  10. Food services;
  11. Intake and classification;
  12. Programs and services;
  13. Resident rights;
  14. Rules and discipline;
  15. Admission procedures;
  16. Communication, including mail, visitation and telephone;
  17. Release preparation and transfer programs; and
  18. Volunteer involvement.

History. Enact. Acts 1986, ch. 423, § 183, effective July 1, 1987; 1988, ch. 350, § 139, effective April 10, 1988; 1998, ch. 426, § 154, effective July 15, 1998; 1998, ch. 538, § 3, effective April 13, 1998; 2005, ch. 99, § 191, effective June 20, 2005.

199.650. Authorized activities of child-caring facilities or child-placing agencies — Child-caring facility to designate on-site official to apply reasonable and prudent parent standard.

  1. Any licensed child-caring facility or child-placing agency may contract to provide care, maintenance, and services for a child in accordance with the terms of its license.
  2. Any licensed child-caring facility or child-placing agency may receive children committed to its custody and provide care and services for the child until the child is discharged from custody pursuant to law.
  3. Each licensed child-caring facility shall designate an on-site official who is trained and authorized to apply the reasonable and prudent parent standard as defined in KRS 199.011 in accordance with 42 U.S.C. sec. 671 .

History. Enact. Acts 1950, ch. 125, § 28; 1972, ch. 153, § 3; 2016 ch. 115, § 2, effective July 15, 2016.

199.660. Authorized activities of child-placing agencies — Registry of closed foster family homes — Restrictions on approvals of or placements in foster family homes — Collaboration to promote educational stability.

  1. A licensed child-placing agency may place children in any licensed child-caring facility, including institutions and group homes, or in foster family homes under its direct supervision, in a facility certified by an appropriate agency as operated primarily for educational or medical purposes, or may place children for adoption if specifically authorized by its license to do so. The child-placing agency shall provide careful supervision of all children under its care and of children placed by it in child-caring facilities or foster family homes, and its agents shall visit such facilities or foster family homes as often as may be necessary to promote the welfare of the children.
    1. A licensed child-placing agency shall notify the department within fourteen (14) calendar days of the closure of a foster family home under its supervision for any reason, and shall state the reason for the closure. (2) (a) A licensed child-placing agency shall notify the department within fourteen (14) calendar days of the closure of a foster family home under its supervision for any reason, and shall state the reason for the closure.
    2. The department shall maintain a foster family home registry where this closure information, and closure information for all foster family homes closed by the cabinet, are stored.
      1. A licensed child-placing agency shall not approve a foster family home, and shall not place a child into any foster family home, until the child-placing agency first requests information from the department to determine if the prospective foster family home is listed in the registry, if the foster family home has ever been closed, and the reason for closure. (c) 1. A licensed child-placing agency shall not approve a foster family home, and shall not place a child into any foster family home, until the child-placing agency first requests information from the department to determine if the prospective foster family home is listed in the registry, if the foster family home has ever been closed, and the reason for closure.
      2. A licensed child-placing agency shall not approve a foster family home, and shall not place a child into a foster family home, which has been closed for cause by any other licensed child-placing agency or by the cabinet unless the foster family home has been successfully and continually operating as a cabinet foster family home for one (1) year after it was closed for cause by a licensed child-placing agency.
      3. A licensed child-placing agency shall not approve a foster family home, and shall not place a child into a foster family home, which is under corrective action by any other licensed child-placing agency or by the cabinet at time of the closure unless:
        1. The foster family home provides all information on the corrective action to the licensed child-placing agency;
        2. The licensed child-placing agency fully addresses the foster family home’s corrective action in the foster family’s home study narrative; and
        3. The department reviews and approves the foster family’s home study.
  2. Licensed child-caring facilities and child-placing agencies shall collaborate with local school districts to promote educational stability for children under their care in accordance with KRS 199.802 , and shall work to ensure that foster family homes under a child-placing agency’s supervision understand and actively support the educational needs of the children placed in their care through training, support, and supervision of the home by the child-placing agency.

History. Enact. Acts 1950, ch. 125, § 29; 1972, ch. 153, § 4; 2020 ch. 64, § 4, effective July 15, 2020.

NOTES TO DECISIONS

1.Certification.

Since plaintiffs had to be certified in order to become foster parents and had completed two courses in order to be certified as special foster parents decertification by department was a cognizable property interest under the due process clause of the fourteenth amendment and plaintiffs have standing to assert an underlying constitutional claim. Timmy S. v. Stumbo, 537 F. Supp. 39, 1981 U.S. Dist. LEXIS 17595 (E.D. Ky. 1981 ).

199.665. Performance-based contracting for child-caring facilities and child-placing agencies — Study group — Implementation — Administrative regulations.

  1. As used in this section, unless the context otherwise requires;
    1. “Cabinet” means the Cabinet for Health and Family Services;
    2. “Performance-based contracting” means an approach that stresses permanency outcomes for children and utilizes a payment structure that reinforces provider agencies’ efforts to offer services that improve the outcomes for children; and
    3. “Secretary” means the secretary of the Cabinet for Health and Family Services.
  2. The secretary shall designate a study group to make recommendations regarding the creation and implementation of performance-based contracting for licensed child-caring facilities and child-placing agencies in the Commonwealth.
  3. The study group shall be composed of the following members:
    1. The secretary;
    2. The commissioner for the Department for Community Based Services;
    3. The director of the Administrative Office of the Courts, or designee;
    4. The executive director of the Governor’s Office of Early Childhood, or designee;
    5. One (1) adult who was a former foster child in the Commonwealth;
    6. One (1) adult who is a current or former foster parent in the Commonwealth;
    7. Two (2) employees of a licensed child-placing agency;
    8. Two (2) employees of a licensed child-caring facility; and
    9. Any personnel within the Department for Community Based Services that the secretary deems necessary.
  4. In its deliberations, the study group shall include but not be limited to analysis of improved timeliness and likelihood of permanency such as reunification, adoption, or guardianship; fewer moves for children in foster care; and reduced instances of reentry into care.
  5. The study group shall report its recommendations by December 1, 2018, to the Governor, the Interim Joint Committees on Appropriations and Revenue and Health and Welfare and Family Services, and the Child Welfare Oversight and Advisory Committee established in KRS 6.943 . The study group shall cease to operate after the delivery of the recommendations required by this subsection.
  6. By July 1, 2019, the cabinet shall:
    1. Establish and implement performance-based contracting for licensed child-caring facilities and child-placing agencies that contract with the department for services; and
    2. Apply and implement all standards, processes, and procedures established for performance-based contracting for licensed child-caring facilities and child-placing agencies in accordance with paragraph (a) of this subsection to all other cabinet-operated programs that are like those operated by child-caring facilities and child-placing agencies.
  7. The cabinet shall promulgate administrative regulations to implement this section.

HISTORY: 2018 ch. 159, § 9, effective July 14, 2018.

199.670. Denial, suspension, or revocation of license of child-caring facilities or child-placing agencies.

  1. The cabinet may revoke or suspend a license issued under KRS 199.640 for any deficiency or condition which would have caused a denial of the license in the first instance. The cabinet may refuse to issue a license in any case where the applicant is not found to meet the standards established by the secretary in an administrative regulation promulgated in accordance with the provisions of KRS 199.640 .
  2. If the cabinet proposes to revoke or suspend, or to refuse to issue a license, written notice shall be given to the licensee or applicant, stating the proposed action and grounds therefor, and notifying the licensee or applicant that the license will be revoked, suspended, or refused unless the applicant or licensee makes a written request to engage in informal dispute resolution, in accordance with the provisions of subsection (4) of this section, or the applicant or licensee makes a written request for a hearing before the secretary within thirty (30) days of notice. Notice shall be complete and effective upon mailing. If the cabinet proposes to deny the issuance or renewal of a license, notice of the proposed action shall be provided to the licensee or applicant no later than thirty (30) days after the application for licensure or renewal is received by the cabinet.
  3. If a request for a hearing is made, the hearing shall be conducted in accordance with KRS Chapter 13B. If the cabinet has probable cause to believe that an immediate threat to the public health, safety, or welfare exists, the cabinet may take emergency action pursuant to KRS 13B.125 .
    1. Upon receipt of a statement of deficiency from the cabinet, the applicant or licensee may request one (1) informal opportunity per survey to dispute any deficiencies with which it disagrees. The applicant or licensee shall make a written request to the cabinet for informal dispute resolution, which must be received by the cabinet within ten (10) days of the receipt of the statement of deficiency by the applicant or licensee. The request shall: (4) (a) Upon receipt of a statement of deficiency from the cabinet, the applicant or licensee may request one (1) informal opportunity per survey to dispute any deficiencies with which it disagrees. The applicant or licensee shall make a written request to the cabinet for informal dispute resolution, which must be received by the cabinet within ten (10) days of the receipt of the statement of deficiency by the applicant or licensee. The request shall:
      1. Specify the deficiencies in dispute;
      2. Provide a detailed explanation of the basis for the dispute;
      3. Include any supporting documentation, including any information that was not available at the time of the survey; and
      4. If desired, request a face-to-face meeting with the regional program manager, or the manager’s designee, and a surveyor who did not participate in the original survey or the decision to issue the disputed deficiency.
    2. Upon receipt of a request for informal dispute resolution, the regional program manager, or the manager’s designee, and a child-caring surveyor who did not participate in the original survey or the decision to issue the disputed deficiency shall, within thirty (30) days of receipt of the request, review the specific deficiencies in dispute and notify the applicant or licensee in writing of the results of the review. If a face-to-face meeting was requested by the applicant or licensee, the meeting shall be held, and no decision shall be made regarding the disputed deficiencies until after the face-to-face meeting has occurred.
      1. If materials submitted by the applicant or licensee by mail or at the face-to-face meeting demonstrate that specific deficiencies should not have been cited, those deficiencies will be removed from the statement of deficiencies and any enforcement actions imposed solely as a result of those cited deficiencies will be rescinded.
      2. If, after review of the disputed deficiencies, the regional office staff affirms the deficiencies, the licensee or applicant may accept the findings of the regional office staff and make any corrections required by the cabinet, or may, within thirty (30) days of receipt of the notice, request in writing a meeting with the secretary or the secretary’s designee. The secretary may designate an individual who holds the position of director or above to serve as the designee.
      3. The secretary or the secretary’s designee shall meet in person with the licensee or applicant and review the documentation available within fifteen (15) days of receipt of the request.
      4. If the information provided demonstrates that specific deficiencies should not have been cited, those deficiencies will be removed from the statement of deficiencies and any enforcement actions imposed solely as a result of those cited deficiencies will be rescinded.
      5. If the secretary or the secretary’s designee affirms the deficiencies, the secretary or the secretary’s designee shall, within fifteen (15) days issue a final written order stating the cabinet’s final position regarding the deficiencies in dispute. The decision of the secretary or the secretary’s designee shall be a final order for purposes of subsection (5) of this section.
    3. A request for informal dispute resolution shall not delay the required submission of a plan of correction for any deficiency not in dispute. Any corrective plan of action or similar submission required by the cabinet relating to any deficiency in dispute shall be suspended until a decision is rendered and a corrective plan of action is agreed to within the informal dispute resolution process or the secretary or the secretary’s designee issues a final order.
  4. Any final order may be reviewed in the Circuit Court of the county in which the child-caring facility or child-placing agency is located in accordance with KRS Chapter 13B.

History. Enact. Acts 1950, ch. 125, § 30; 1972, ch. 153, § 5; 1974, ch. 74, Art. VI, § 107(21); 1974, ch. 315, § 26; 1980, ch. 114, § 37, effective July 15, 1980; 1996, ch. 318, § 89, effective July 15, 1996; 1998, ch. 527, § 3, effective July 15, 1998.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Consent of Agency to Adoption, Form 266.26.

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Voluntary (Mother) and Involuntary (Absent Father) Termination of Parental Rights, Form 266.03.

199.680. Nonreimbursement of out-of-state providers of residential care for children — Exception — Administrative regulations.

  1. The Department for Community Based Services and the Department for Medicaid Services shall not reimburse an out-of-state provider of residential care for children whose care is paid by state general funds or state administered federal funds unless the Department for Medicaid Services or the Department for Community Based Services or a designated agent thereof has determined that there is no provider within the Commonwealth that is capable and willing to provide comparable services at a comparable cost per child to those that would be delivered by the out-of-state provider. An exception may be made if:
    1. The identified in-state resource is farther away from the child’s parent or guardian than a similar out-of-state resource; or
    2. The services offered by the out-of-state resource is deemed by either department or a designated agent thereof to be more appropriate for the individual child than the services offered by the in-state provider.
  2. Prior to promulgating administrative regulations governing the determination of the availability of providers of residential care within the Commonwealth, the Department for Medicaid Services and the Department for Community Based Services shall establish uniform conditions, requirements, and exceptions for the determination of the availability of providers of residential care within the Commonwealth.
  3. Each department shall promulgate an administrative regulation in accordance with KRS Chapter 13A that contains the uniform conditions, requirements, and exceptions for the determination of the availability of providers of residential care within the Commonwealth established under subsection (2) of this section.

History. Enact. Acts 1998, ch. 527, § 4, effective July 15, 1998; 2000, ch. 14, § 22, effective July 14, 2000.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Termination of Parental Rights and Adoption, § 266.00.

Placement Coordination

199.800. Definitions for KRS 199.800 to 199.801.

For the purposes of KRS 199.800 to 199.801 :

  1. “Department” means the Department for Community Based Services;
  2. “Home county” means the county in which the child’s natural parents, adoptive parents, or guardian reside. If the parents are divorced, the home county is the county of residence of the parent with legal custody. If the child is committed, the home county is the county of original commitment or case responsibility;
  3. “Home region” means the Department for Community Based Services region in which the child’s home county is located;
  4. “Type of placement” means the living arrangement, including family foster home, child-caring facility, or other residential alternative that is deemed appropriate for a child as determined by the department; and
  5. “Unmet need” means the type of facility or placement needed to serve the child’s needs which is unavailable at the time placement is being sought for the child.

HISTORY: Enact. Acts 1998, ch. 395, § 3, effective July 15, 1998; 2000, ch. 14, § 23, effective July 14, 2000; 2018 ch. 159, § 6, effective July 14, 2018.

199.801. Procedure for placement of children who are in custody of department — State-level and regional placement coordinators — Type of placement — Cases of unmet need — Recruitment and reporting.

  1. The department shall establish a procedure throughout the state that is designed to determine and expedite the placement of children who are in the custody of or committed to the department. The procedure shall utilize state-level and regional placement coordinators who may be state employees or employees of a contracted entity.
  2. The type of placement selected for a child in the custody of or committed to the department shall be the best alternative for the child that is in closest proximity to the child’s home county, including considerations of the child’s current early care and education provider or school, in order to promote educational stability for the child to the extent practicable in accordance with KRS 199.802 and the federal Every Student Succeeds Act of 2015, Pub. L. No. 114-95.
  3. If the type of placement that best suits the child’s needs is not available in the child’s home county, the regional placement coordinator shall document the circumstance as an unmet need and may seek a placement in surrounding counties, regions, and the state, in that order.
  4. If the type of placement that best suits the child’s needs is not available within the state, the regional placement coordinator shall contact the commissioner of the department or the commissioner’s designee to explore out-of-state placement.
  5. The department shall develop a diligent recruitment plan and reporting to support the recruitment and retention of family foster homes that are responsive to the needs of children in care, areas of unmet need, and strategies to meet the need. The plan and reporting shall be used as a guide in the establishment and modification of agreements with placements for the care of children in the custody of or committed to the cabinet and shall be made available upon request.

History. Enact. Acts 1998, ch. 395, § 4, effective July 15, 1998; 2000, ch. 14, § 60, effective July 14, 2000; 2005, ch. 99, § 46, effective June 20, 2005; 2018 ch. 159, § 7, effective July 14, 2018; 2020 ch. 64, § 5, effective July 15, 2020.

199.802. Consideration of best interest of child in placing child within same or different school district — Transportation to be provided as needed — Timely record and information sharing — Confidentiality of information.

  1. As used in this section:
    1. “Best interest of the child” means the determination regarding the enrollment of a child made when considering all factors relating to the best interest of a child, as outlined in 20 U.S.C. secs. 6301 et seq., including but not limited to:
      1. The benefits to the child of maintaining educational stability;
      2. The appropriateness of the current educational setting;
      3. The child’s attachment and meaningful relationships with staff and peers at the current educational setting;
      4. The influence of the school’s climate on the child;
      5. The safety of the child; and
      6. The proximity of the placement to the school of origin, and how the length of a commute would impact the child;
    2. “Child” means any person who has not reached his or her eighteenth birthday, unless otherwise provided, that is in the care of the department;
    3. “Educational stability” means the maintenance of the enrollment of a child in a particular school upon a transition to a different placement or living arrangement when such maintenance is in the best interest of the child, and if not, the enrollment of the child in a new school in a time and manner that ensures the child experiences a minimal lapse in school attendance; and
    4. “School of origin” means the public school in which the child was enrolled immediately prior to placement.
  2. In determining the placement of a child under KRS 199.801 , the department shall, if practicable, locate a placement within the same school district where the child was most recently enrolled to allow the child to remain enrolled in the school of origin.
    1. The department, in consultation with the local education agency, shall make the determination on whether the child shall remain enrolled in the school of origin based on the best interest of the child, weighing the promotion of educational stability as a primary factor. (3) (a) The department, in consultation with the local education agency, shall make the determination on whether the child shall remain enrolled in the school of origin based on the best interest of the child, weighing the promotion of educational stability as a primary factor.
    2. In accordance with 20 U.S.C. secs. 6301 et seq., the cost of transportation shall not be a factor in determining the best interest of a child for an enrollment decision.
  3. If the department finds it is in the best interest of a child to remain in the school of origin upon placement of the child in a new school district, reasonable transportation shall be offered from the location of placement to the school of origin in which the child is enrolled for any regularly scheduled school day. In accordance with 20 U.S.C. secs. 6301 et seq., costs incurred by a school district, foster parent, child-placing agency, or child-caring facility for transportation to the school shall be reimbursed by the department upon request.
  4. Upon the determination that changing a child’s school of enrollment is in the best interest of the child:
    1. The department, any applicable child-caring facility, child-placing agency, school, and local school district, and the child’s state agency caseworker shall collaborate to ensure the immediate and appropriate enrollment of the child;
      1. The child’s state agency caseworker shall immediately contact the receiving district to inform the district of the pending enrollment changes. (b) 1. The child’s state agency caseworker shall immediately contact the receiving district to inform the district of the pending enrollment changes.
      2. The child’s state agency caseworker or child-caring facility or child- placing agency case manager shall either accompany the child and the foster parent to the new school to enroll the child or contact applicable staff at the new school via telephone during the day of enrollment, to assist with the enrollment, to share information relating to the child’s unique needs and prior experiences that may impact their education, and to identify and prevent disruptions in any instructional or support services that the child may have been receiving prior to that time, including but not limited to medical and behavioral health history and individual service plans;
    2. In accordance with 20 U.S.C. secs. 6301 et seq., the new school shall immediately enroll the child, even if the child is unable to produce records required for enrollment, including but not limited to:
      1. Academic records;
      2. Medical records; and
      3. Proof of residency;
    3. The new school shall immediately request the records of the child from the child’s previous school;
    4. The previous school shall provide the new school:
      1. Notwithstanding KRS 159.170 , all records within the student information system maintained by the Kentucky Department of Education regarding the child by the end of the working day on the day of receipt of a request made under this subsection. If a record provided to the new school is incomplete, the previous school shall provide the completed record within three (3) working days of the original request; and
      2. In accordance with KRS 159.170 , all remaining records regarding the child within ten (10) working days of receipt of a request made under this subsection;
    5. In accordance with 20 U.S.C. sec. 1232 g, the department responsible for the child, and the child’s state agency caseworker, or child-caring facility or child-placing agency case manager shall be granted access to all educational records on a confidential basis in order to facilitate the proper transfer, enrollment, and educational placement of the child;
    6. In accordance with KRS 158.140(1), promotions or credits earned in attendance in any approved public school shall be accepted as valid at the new school;
    7. The department, child-caring facilities, child-placing agencies, child’s state agency caseworkers, school districts, and foster parents shall each collaborate with one another to ensure the educational stability of each child, and to assist one another with meeting the educational needs of each child in furtherance of the rights enumerated in KRS 620.363 ; and
      1. The department, child-caring facilities, child-placing agencies, and a child’s state agency caseworker, may share information regarding a child and facts learned about a child and his or her unique needs and prior experiences, as necessary, with staff of the new school district in which the child is enrolling in order to identify and serve the educational needs of the child. (i) 1. The department, child-caring facilities, child-placing agencies, and a child’s state agency caseworker, may share information regarding a child and facts learned about a child and his or her unique needs and prior experiences, as necessary, with staff of the new school district in which the child is enrolling in order to identify and serve the educational needs of the child.
      2. All information regarding a child or facts learned about a child by the department, any child-caring facility or child-placing agency licensed by the cabinet, or a child’s state agency caseworker, and shared with staff of a school district pursuant to this section, shall be deemed confidential in the same manner and subject to the same provisions as similar records of the cabinet. The information thus obtained shall not be published or be open for public inspection, except to authorized employees of the school district in performance of their duties and to identify and serve the educational needs of the child.
  5. The school district in which the child is enrolled upon his or her successful completion of all high school graduation requirements shall issue a diploma indicating graduation from high school to the child.

HISTORY: 2018 ch. 147, § 1, effective July 14, 2018; 2020 ch. 64, § 6, effective July 15, 2020.

Legislative Research Commission Notes.

(7/14/2018). 2018 Ky. Acts ch. 147, sec. 2 provides that this statute created in 2018 Ky. Acts ch. 147, sec. 1 may be cited as the Uninterrupted Scholars Act of Kentucky.

199.803. Limitation on purpose of release of child’s educational records.

In accordance with the Family Educational Rights and Privacy Act, 20 U.S.C. sec. 1232 g, when a statute within this chapter refers to the release of educational records, the purpose of the release shall be limited to providing the department with the ability to effectively serve the needs of the child whose records are sought, and any educational records shall only be released to persons authorized by statute and shall not be released to any other person without the written consent of the parent of the child.

HISTORY: 2020 ch. 64, § 2, effective July 15, 2020.

199.805. Inventory of placements. [Repealed]

HISTORY: Enact. Acts 1998, ch. 395, § 5, effective July 15, 1998; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

Department for Human Resources

199.810. Establishment of department — Commissioner. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 1; 1966, ch. 255, § 190) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.820. Children’s Advisory Council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 2; 1968, ch. 70, § 1) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.830. Terms of original council members. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 3; 1968, ch. 70, § 2) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.840. Functions of council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 4; 1974, ch. 74, Art. VI, § 107(1), (30)) was repealed by Acts 1978, ch. 384, § 584, effective June 17, 1978.

199.850. Transfer of functions and facilities to department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, §§ 5, 8; 1966, ch. 255, § 191) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.860. Child welfare funds. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 6) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.870. Conformity to merit system. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 7) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

199.880. Transition duties of commissioner of finance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 9) was repealed by Acts 1966, ch. 255, § 283.

199.890. Relationship with aid to dependent children program. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. IX, § 10) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

Child Care

199.892. Declaration of legislative intent.

In enacting legislation relating to the regulation of day-care centers, it is the intention of the General Assembly to enable the Cabinet for Health and Family Services to qualify to receive federal funds under provisions of the Federal Social Security Act and to provide for effective regulation of day-care centers.

History. Enact. Acts 1962, ch. 196, § 1; 1974, ch. 74, Art. VI, § 107(1), (13); 1998, ch. 426, § 155, effective July 15, 1998; 2005, ch. 99, § 192, effective June 20, 2005.

Opinions of Attorney General.

A day-care center for mentally retarded children who are considered “educable” or “trainable,” which is operated by a regional mental health board established pursuant to KRS 203.450 (renumbered KRS 210.410 ), must comply with the licensing requirements for day-care centers. OAG 67-345 .

A regional mental health board, established pursuant to KRS 203.450 (renumbered KRS 210.410 ), that operates a day-care center for mentally retarded children who are considered “educable” or “trainable” must be licensed as a day-care center under KRS 199.892 to 199.896 , but, since any education of the children would only be incidental to their care, need not be licensed as a kindergarten or nursery school under KRS 158.300 (repealed). OAG 67-345 .

199.894. Definitions for KRS 199.892 to 199.896.

As used in KRS 199.892 to 199.896 , unless the context otherwise requires:

  1. “Cabinet” means the Cabinet for Health and Family Services;
  2. “Secretary” means secretary for health and family services;
  3. “Child-care center” means any child-care center that provides full-or part-time care, day or night, to four (4) or more children in a nonresidential setting who are not the children, grandchildren, nieces, nephews, or children in legal custody of the operator. “Child-care center” shall not include any child-care facility operated by a religious organization while religious services are being conducted, or a youth development agency. For the purposes of this section, “youth development agency” means a program with tax-exempt status under 26 U.S.C. sec. 501(c)(3) , which operates continuously throughout the year as an outside-school-hours center for youth who are six (6) years of age or older, and for which there are no fee or scheduled-care arrangements with the parent or guardian of the youth served;
  4. “Department” means the Department for Community Based Services; and
  5. “Family child-care home” means a private home that is the primary residence of an individual who provides full or part-time care day or night for six (6) or fewer children who are not the children, siblings, stepchildren, grandchildren, nieces, nephews, or children in legal custody of the provider.

History. Enact. Acts 1962, ch. 196, § 2; 1974, ch. 74, Art. VI, § 107(1), (13), (21) and (30); 1992, ch. 57, § 3, effective July 14, 1992; 1996, ch. 81, § 1, effective July 15, 1996; 1998, ch. 426, § 156, effective July 15, 1998; 2000, ch. 308, § 17, effective July 14, 2000; 2005, ch. 99, § 193, effective June 20, 2005; 2020 ch. 36, § 10, effective July 15, 2020.

Opinions of Attorney General.

The Attorney General cannot categorically state whether a facility operated by a particular organization, association or individual and caring for four or more children comes within the definition of “day-care center” since such determination is the duty of the Department for Human Resources (now Cabinet for Families and Children). OAG 74-736 .

199.8941. Monetary incentives for child-care facilities — Professional development.

  1. To the extent that funds are available, the Cabinet for Health and Family Services, in consultation with the Early Childhood Advisory Council, shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, establish a program of monetary incentives including but not limited to an increased child-care subsidy and a one-time merit achievement award for child-care centers and certified family child-care homes that are tied to a quality rating system for child care as established under KRS 199.8943 .
  2. The monetary incentive program shall be reviewed annually by the cabinet, in consultation with the council, for the purpose of determining future opportunities to provide incentives.
  3. Participation in the program of monetary incentives and in the quality rating system by public-funded child-care centers and certified family child-care homes is mandatory.
  4. The Cabinet for Health and Family Services shall encourage the professional development of persons who are employed or provide training in a child-care or early childhood setting by facilitating their participation in the scholarship program for obtaining a child development associate credential, postsecondary certificate, diploma, degree, or specialty credential as established under KRS 164.518 .

HISTORY: Enact. Acts 2000, ch. 308, § 14, effective July 14, 2000; 2005, ch. 99, § 194, effective June 20, 2005; 2013, ch. 57, § 3, effective June 25, 2013; 2015 ch. 16, § 2, effective June 24, 2015; 2018 ch. 112, § 2, effective July 14, 2018.

199.8943. Quality-based graduated early care and education program rating system — Administrative regulations.

  1. As used in this section:
    1. “Federally funded time-limited employee” has the same meaning as in KRS 18A.005 ;
    2. “Primary school program” has the same meaning as in KRS 158.031(1); and
    3. “Public-funded” means a program which receives local, state, or federal funding.
  2. The Early Childhood Advisory Council shall, in consultation with early care and education providers, the Cabinet for Health and Family Services, and others, including but not limited to child-care resource and referral agencies and family resource centers, Head Start agencies, and the Kentucky Department of Education, develop a quality-based graduated early care and education program rating system for public-funded licensed child-care and certified family child-care homes, public-funded preschool, and Head Start, based on but not limited to:
    1. Classroom and instructional quality;
    2. Administrative and leadership practices;
    3. Staff qualifications and professional development; and
    4. Family and community engagement.
    1. The Cabinet for Health and Family Services shall, in consultation with the Early Childhood Advisory Council, promulgate administrative regulations in accordance with KRS Chapter 13A to implement the quality-based graduated early childhood rating system for public-funded child-care and certified family child-care homes developed under subsection (2) of this section. (3) (a) The Cabinet for Health and Family Services shall, in consultation with the Early Childhood Advisory Council, promulgate administrative regulations in accordance with KRS Chapter 13A to implement the quality-based graduated early childhood rating system for public-funded child-care and certified family child-care homes developed under subsection (2) of this section.
    2. The Kentucky Department of Education shall, in consultation with the Early Childhood Advisory Council, promulgate administrative regulations in accordance with KRS Chapter 13A to implement the quality-based graduated early childhood rating system, developed under subsection (2) of this section, for public-funded preschool.
    3. The administrative regulations promulgated in accordance with paragraphs (a) and (b) of this subsection shall include:
      1. Agency time frames of reviews for rating;
      2. An appellate process under KRS Chapter 13B; and
      3. The ability of providers to request reevaluation for rating.
  3. The quality-based early childhood rating system shall not be used for enforcement of compliance or in any punitive manner.
  4. The Early Childhood Advisory Council, in consultation with the Kentucky Center for Education and Workforce Statistics, the Kentucky Department of Education, and the Cabinet for Health and Family Services, shall report by October 1 of each year to the Interim Joint Committee on Education and the Child Welfare Oversight and Advisory Committee established in KRS 6.943 on the implementation of the quality-based graduated early childhood rating system. The report shall include the following quantitative performance measures as data becomes available:
    1. Program participation in the rating system;
    2. Ratings of programs by program type;
    3. Changes in student school-readiness measures;
    4. Longitudinal student cohort performance data tracked through student completion of the primary school program; and
    5. Long-term viability recommendations for sustainability at the end of the Race to the Top-Early Learning Challenge grant.
  5. By November 1, 2017, the Early Childhood Advisory Council and the Cabinet for Health and Family Services shall report to the Interim Joint Committee on Education and the Interim Joint Committee on Health and Welfare on recommendations and plans for sustaining program quality after the depletion of federal Race to the Top-Early Learning Challenge grant funds.
  6. Any federally funded time-limited employee personnel positions created as a result of the federal Race to the Top-Early Learning Challenge grant shall be eliminated upon depletion of the grant funds.

History. Enact. Acts 2000, ch. 308, § 15, effective July 14, 2000; 2005, ch. 99, § 195, effective June 20, 2005; 2013, ch. 57, § 4, effective June 25, 2013; 2015 ch. 16, § 1, effective June 24, 2015; 2018 ch. 112, § 3, effective July 14, 2018; 2018 ch. 159, § 52, § 52, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 112 and 159, which do not appear to be in conflict and have been codified together.

199.8945. Healthy Start in Child Care Program — Technical assistance for child-care providers.

  1. The secretary of the Cabinet for Health and Family Services shall work to achieve the goals of the Healthy Start in Child Care Program as follows:
    1. To train and educate child-care providers in health and safety;
    2. Provide nutrition consultation to parents;
    3. Increase awareness of methods for the prevention of communicable diseases in child-care settings; and
    4. Provide information to parents of children who attend child care.
  2. The Cabinet for Health and Family Services shall establish technical assistance positions dedicated to child care within the Kentucky child-care resource and referral agencies in order to offer technical assistance to child-care providers to upgrade quality in early child-care and education facilities.

History. Enact. Acts 2000, ch. 308, § 16, effective July 14, 2000; 2005, ch. 99, § 47, effective June 20, 2005.

199.895. Evacuation plan required for child-care centers and family child-care homes — Annual updating of plan — Provision of plan to local emergency management officials and parents.

  1. A child-care center licensed under KRS 199.896 and a family child-care home certified under KRS 199.8982 shall have a written plan for evacuation in the event of fire, natural disaster, or other threatening situation that may pose a health or safety hazard to the children in the center or home. The plan shall include but not be limited to:
    1. A designated relocation site and evacuation route;
    2. Procedures for notifying parents of the relocation and ensuring family reunification;
    3. Procedures to address the needs of individual children including children with special needs;
    4. Instructions relating to the training of staff or the reassignment of staff duties, as appropriate;
    5. Coordination with local emergency management officials; and
    6. A program to ensure that appropriate staff are familiar with the plan’s components.
  2. A child-care center and a family child-care home shall update the evacuation plan by December 31 each year.
  3. A child-care center and a family child-care home shall retain an updated copy of the plan for evacuation, provide an updated copy to appropriate local emergency management officials, and provide a copy to each parent, custodian, or guardian of the child at the time of the child’s enrollment in the program and whenever the plan is updated.

History. Enact. Acts 2011, ch. 69, § 3, effective December 31, 2011; 2012, ch. 102, § 1, effective July 12, 2012.

199.8951. Use of epinephrine auto-injectors in child-care centers and family child-care homes — Administrative regulations.

  1. A child-care center licensed under KRS 199.896 and a family child-care home certified under KRS 199.8982 may comply with KRS 311.646 and obtain a prescription for epinephrine auto-injectors. These epinephrine auto-injectors shall be stored in a secure, accessible, readily available location not accessible to children, for quick administration.
  2. The cabinet shall promulgate administrative regulations governing epinephrine auto-injectors in licensed child-care centers and certified family child-care homes, including:
    1. Any center- or home-specific requirements that the cabinet deems necessary for the safe and proper storage, administration, and disposal of epinephrine auto-injectors;
    2. A written plan of action in case of an emergency necessitating the administration of an epinephrine auto-injector in a center or home; and
    3. A written notice that is provided to a child’s parents, custodians, or guardians stating that the center or home has epinephrine auto-injectors at the center or home and that the center or home will notify a child’s parents, custodians, or guardians when a epinephrine auto-injector is used on their child.

HISTORY: 2016 ch. 122, § 1, effective July 15, 2016.

199.896. License requirement — Application — Fee — Emergency action — Use of information — Hearing — Disposition of receipts — Advertisement — Unannounced inspections — Orientation and training requirements — Prohibition against use of corporal physical discipline — Partial and full exemption from regulation — Criminal record check — Probationary employment status.

  1. No person, association, or organization shall conduct, operate, maintain, or advertise any child-care center without obtaining a license as provided in KRS 199.892 to 199.896 .
  2. The cabinet may promulgate administrative regulations pursuant to KRS Chapter 13A relating to license fees and may, in the administrative regulations, establish standards of care and service for a child-care center, criteria for the denial of a license if criminal records indicate convictions that may impact the safety and security of children in care, and procedures for enforcement of penalties which are not in contravention of this section.
  3. Each initial application for a license shall be made to the cabinet and shall be accompanied by a fee that shall not exceed administrative costs of the program to the cabinet and shall be renewable annually upon expiration and reapplication when accompanied by a renewal fee that shall not exceed administrative costs of the program to the cabinet. Regular licenses and renewals thereof shall expire one (1) year from their effective date.
  4. No child-care center shall be refused a license or have its license revoked for failure to meet standards set by the secretary until after the expiration of a period not to exceed six (6) months from the date of the first official notice that the standards have not been met. If, however, the cabinet has probable cause to believe that an immediate threat to the public health, safety, or welfare exists, the cabinet may take emergency action pursuant to KRS 13B.125 . All administrative hearings conducted under authority of KRS 199.892 to 199.896 shall be conducted in accordance with KRS Chapter 13B.
  5. If, upon inspection or investigation, the inspector general finds that a child-care center licensed under this section has violated the administrative regulations, standards, or requirements of the cabinet, the inspector general shall issue a statement of deficiency to the center containing:
    1. A statement of fact;
    2. A statement of how an administrative regulation, standard, or requirement of the cabinet was violated; and
    3. The timeframe, negotiated with the child-care center, within which a violation is to be corrected, except that a violation that poses an immediate threat to the health, safety, or welfare of children in the center shall be corrected in no event later than five (5) working days from the date of the statement of deficiency.
  6. The Cabinet for Health and Family Services, in consultation with the Office of the Inspector General, shall establish by administrative regulations promulgated in accordance with KRS Chapter 13A an informal dispute resolution process through which a child-care provider may dispute licensure deficiencies that have an adverse effect on the child-care provider’s license.
  7. A child-care center shall have the right to appeal to the Cabinet for Health and Family Services under KRS Chapter 13B any action adverse to its license or the assessment of a civil penalty issued by the inspector general as the result of a violation contained in a statement of deficiency within twenty (20) days of the issuance of the action or assessment of the civil penalty. An appeal shall not act to stay the correction of a violation.
  8. In assessing the civil penalty to be levied against a child-care center for a violation contained in a statement of deficiency issued under this section, the inspector general or the inspector general’s designee shall take into consideration the following factors:
    1. The gravity of the threat to the health, safety, or welfare of children posed by the violation;
    2. The number and type of previous violations of the child-care center;
    3. The reasonable diligence exercised by the child-care center and efforts to correct the violation; and
    4. The amount of assessment necessary to assure immediate and continued compliance.
  9. Upon a child-care center’s failure to take action to correct a violation of the administrative regulations, standards, or requirements of the cabinet contained in a statement of deficiency, or at any time when the operation of a child-care center poses an immediate threat to the health, safety, or welfare of children in the center, and the child-care center continues to operate after the cabinet has taken emergency action to deny, suspend, or revoke its license, the cabinet or the cabinet’s designee shall take at least one (1) of the following actions against the center:
    1. Institute proceedings to obtain an order compelling compliance with the administrative regulations, standards, and requirements of the cabinet;
    2. Institute injunctive proceedings in Circuit Court to terminate the operation of the center;
    3. Institute action to discontinue payment of child-care subsidies; or
    4. Suspend or revoke the license or impose other penalties provided by law.
  10. Upon request of any person, the cabinet shall provide information regarding the denial, revocation, suspension, or violation of any type of child-care center license of the operator. Identifying information regarding children and their families shall remain confidential.
  11. The cabinet shall provide, upon request, public information regarding the inspections of and the plans of correction for the child-care center within the past year. All information distributed by the cabinet under this subsection shall include a statement indicating that the reports as provided under this subsection from the past five (5) years are available from the child-care center upon the parent’s, custodian’s, guardian’s, or other interested person’s request.
  12. All fees collected under the provisions of KRS 199.892 to 199.896 for license and certification applications shall be paid into the State Treasury and credited to a special fund for the purpose of administering KRS 199.892 to 199.896 including the payment of expenses of and to the participants in child-care workshops. The funds collected are hereby appropriated for the use of the cabinet. The balance of the special fund shall lapse to the general fund at the end of each biennium.
  13. Any advertisement for child-care services shall include the address of where the service is being provided.
  14. All inspections of licensed and unlicensed child-care centers by the Cabinet for Health and Family Services shall be unannounced.
  15. All employees and owners of a child-care center who provide care to children shall demonstrate within the first three (3) months of employment completion of at least a total of six (6) hours of orientation in the following areas:
    1. Basic health, safety, and sanitation;
    2. Recognizing and reporting child abuse; and
    3. Developmentally appropriate child-care practice.
  16. All employees and owners of a child-care center who provide care to children shall annually demonstrate to the department completion of at least six (6) hours of training in child development. These hours shall include but are not limited to one and one-half (1.5) hours one (1) time every five (5) years of continuing education in the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 . Training in recognizing pediatric abusive head trauma may be designed in collaboration with organizations and agencies that specialize in the prevention and recognition of pediatric head trauma approved by the secretary of the Cabinet for Health and Family Services The one and one-half (1.5) hours required under this section shall be included in the current number of required continuing education hours.
  17. The Cabinet for Health and Family Services shall make available either through the development or approval of a model training curriculum and training materials, including video instructional materials, to cover the areas specified in subsection (15) of this section. The cabinet shall develop or approve the model training curriculum and training materials to cover the areas specified in subsection (15) of this section.
  18. Child-care centers licensed pursuant to this section and family child-care homes certified pursuant to KRS 199.8982 shall not use corporal physical discipline, including the use of spanking, shaking, or paddling, as a means of punishment, discipline, behavior modification, or for any other reason. For the purposes of this section, “corporal physical discipline” means the deliberate infliction of physical pain and does not include spontaneous physical contact that is intended to protect a child from immediate danger.
  19. Child-care centers that provide instructional and educational programs for preschool-aged children that operate for a maximum of twenty (20) hours per week and that a child attends for no more than fifteen (15) hours per week shall:
    1. Notify the cabinet in writing that the center is operating;
    2. Meet all child-care center licensure requirements and administrative regulations related to employee background checks;
    3. Meet all child-care center licensure requirements and administrative regulations related to tuberculosis screenings; and
    4. Be exempt from all other child-care center licensure requirements and administrative regulations.
  20. Child-care centers that provide instructional and educational programs for preschool-aged children that operate for a maximum of twenty (20) hours per week and that a child attends for no more than ten (10) hours per week shall be exempt from all child-care licensure requirements and administrative regulations.
  21. Instructional programs for school-age children shall be exempt from all child-care licensure administrative regulations if the following criteria are met:
    1. The program provides direct instruction in a single skill, talent, ability, expertise, or proficiency;
    2. The program does not provide services or offerings that are not directly related to the single talent, ability, expertise, or proficiency;
    3. The program operates outside the time period when school is in session, including before or after school hours, holidays, school breaks, teaching planning days, or summer vacation;
    4. The program does not advertise or otherwise represent that the program is a licensed child-care center or that the program offers child-care services;
    5. The program informs the parent or guardian:
      1. That the program is not licensed by the cabinet; and
      2. About the physical risks a child may face while participating in the program; and
    6. The program conducts the following background checks for all program employees and volunteers who work with children:
      1. Check of the child abuse and neglect records maintained by the cabinet; and
      2. In-state criminal background information check from the Justice and Public Safety Cabinet or Administrative Office of the Courts.
  22. Directors and employees of child-care centers in a position that involves supervisory or disciplinary power over a minor, or direct contact with a minor, shall submit to a criminal record check in accordance with KRS 199.8965 .
  23. A director or employee of a child-care center may be employed on a probationary status pending receipt of the criminal background check. Application for the criminal record of a probationary employee shall be made no later than the date probationary employment begins.
  24. The cabinet shall promulgate administrative regulations to identify emergency care providers who provide essential child-care services during an identified state of emergency.
  25. Notwithstanding any state law, administrative regulation, executive order, or executive directive to the contrary, during the 2020 or 2021 state of emergency declared by the Governor in response to COVID-19, including but not limited to any mutated strain of the COVID-19 virus, the cabinet shall not establish any restrictions on capacity for class or group size or the ability to combine classes and groups for capacity limits in the morning or afternoon that is below the number that was in effect on February 1, 2020.

History. Enact. Acts 1962, ch. 196, § 3; 1974, ch. 74, Art. VI, § 107(21); 1978, ch. 203, § 1, effective June 17, 1978; 1980, ch. 188, § 187, effective July 15, 1980; 1982, ch. 247, § 5, effective July 15, 1982; 1992, ch. 57, § 4, effective July 14, 1992; 1994, ch. 131, § 1, effective July 15, 1994; 1996, ch. 318, § 90, effective July 15, 1996; 1998, ch. 426, § 157, effective July 15, 1998; 1998, ch. 524, § 2, effective July 15, 1998; 2000, ch. 308, § 18, effective July 14, 2000; 2005, ch. 99, § 48, effective June 20, 2005; 2010, ch. 171, § 7, effective July 15, 2010; 2015 ch. 16, § 3, effective June 24, 2015; 2017 ch. 135, § 5, effective March 27, 2017; 2018 ch. 136, § 5, effective July 1, 2019; 2020 ch. 36, § 11, effective July 15, 2020; 2021 ch. 172, § 1, effective March 30, 2021.

Opinions of Attorney General.

The Attorney General cannot categorically state whether a facility operated by a particular organization, association or individual and caring for four or more children must be licensed as a “day-care center” since such determination is the duty of the Department for Human Resources (now Cabinet for Families and Children). OAG 74-736 .

199.8962. Required standards for child-care centers licensed under KRS 199.896 — Administrative regulations.

  1. Child-care centers licensed pursuant to KRS 199.896 shall have the following standards:
    1. Nutrition standards, if the child-care center provides food, that are consistent with the meal and snack patterns of the most recent version of the United States Department of Agriculture’s Food and Nutrition Service standards for the Child and Adult Care Food Program. These nutrition standards do not apply to food that is brought from a child’s home;
    2. Physical activity standards;
    3. Screen time standards; and
    4. Sugary drink standards.
  2. The cabinet shall, within ninety (90) days of July 15, 2020, promulgate administrative regulations, in consultation with the Kentucky Early Childhood Advisory Council established pursuant to KRS 200.700 , the Kentucky Child Care Advisory Council established pursuant to KRS 199.8983 , and state and national organizations that have expertise in nutrition, physical activity, screen time, and sugary drink standards, to establish the requirements and procedures for the implementation of the standards established in this section.

HISTORY: 2020 ch. 8, § 1, effective July 15, 2020.

199.8965. Child care staff members must submit to background checks in accordance with federal law and regulations — Administrative regulations.

  1. For the purposes of this section, “child care staff member” has the same meaning as in 42 U.S.C. sec. 9858 f and the implementing federal rules.
  2. The cabinet shall require a child care staff member to submit to background checks in accordance with 42 U.S.C. sec. 9858 f and the implementing federal rules, including national and state fingerprint-supported criminal background checks by the Department of Kentucky State Police and the Federal Bureau of Investigation.
  3. The child care staff member shall provide the member’s fingerprints to the Department of Kentucky State Police for submission to the Federal Bureau of Investigation after a state criminal background check is conducted.
  4. The results of the national and state criminal background checks shall be sent to the cabinet.
  5. The cabinet may register a child care staff member in the rap back system.
  6. The request for background checks shall be in a manner approved by the Justice and Public Safety Cabinet, and the cabinet may charge a fee to be paid by a child care staff member for the actual cost of processing the request.
  7. Any fee charged by the Department of Kentucky State Police or the Federal Bureau of Investigation shall be an amount no greater than the actual cost of processing the request and conducting the criminal background check and rap back system ongoing status notification.
  8. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.

HISTORY: 2017 ch. 135, § 4, effective March 27, 2017.

199.8966. Staff members of child-caring facilities must submit to background checks in accordance with federal law and regulations — Administrative regulations. [Renumbered]

HISTORY: 2019 ch. 33, § 1, effective March 19, 2019; renumbered to § 199.642 by 2020 ch. 53, § 4, effective July 15, 2020.

199.897. Notification concerning Kentucky Consumer Product Safety Program.

  1. The Cabinet for Health and Family Services shall notify licensed child-care centers and certified family child-care homes on an ongoing basis, including during the license or certification application process and any monitoring visits, of the Kentucky Consumer Product Safety Program and the program’s Web site. Licensed child-care centers shall post in a prominent location a notice of the existence of the Consumer Product Safety Program and the program’s Web site.
  2. The Cabinet for Health and Family Services may promulgate administrative regulations to carry out this section.
  3. This section may be cited as The Child Safety Act of 2009.

History. Enact. Acts 2009, ch. 51, § 1, effective June 25, 2009.

199.898. Rights for children in child-care programs and their parents, custodians, or guardians — Posting and distribution requirements.

  1. All children receiving child-care services in a day-care center licensed pursuant to KRS 199.896 , a family child-care home certified pursuant to KRS 199.8982 , or from a provider or program receiving public funds shall have the following rights:
    1. The right to be free from physical or mental abuse;
    2. The right not to be subjected to abusive language or abusive punishment; and
    3. The right to be in the care of adults who shall meet their health, safety, and developmental needs.
  2. Parents, custodians, or guardians of children specified in subsection (1) of this section shall have the following rights:
    1. The right to have access to their children at all times the child is in care and access to the provider caring for their children during normal hours of provider operation and whenever the children are in the care of the provider;
    2. The right to be provided with information about child-care regulatory standards, if applicable; where to direct questions about regulatory standards; and how to file a complaint;
    3. The right to file a complaint against a child-care provider without any retribution against the parent, custodian, guardian, or child;
    4. The right to obtain information from the cabinet regarding any type of licensure denial, suspension, or revocation of an operator, and cabinet reports that have found abuse or neglect by any child-care provider or any employee of a child care provider. Identifying information regarding children and their families shall remain confidential;
    5. The right to obtain information from the cabinet regarding the inspections and plans of correction of the day-care center, the family child-care home, or the provider or program receiving public funds within the past year; and
    6. The right to review and discuss with the provider any state reports and deficiencies revealed by such reports.
  3. The child-care provider who is licensed pursuant to KRS 199.896 or certified pursuant to KRS 199.8982 shall post these rights in a prominent place and shall provide a copy of these rights to the parent, custodian, or guardian of the child at the time of the child’s enrollment in the program.

History. Enact. Acts 1992, ch. 57, § 1, effective July 14, 1992; 1998, ch. 524, § 3, effective July 15, 1998.

199.8982. Family child-care home certification program — When required — Requirements for certification — Unannounced inspection — Use of information — Authority to promulgate administrative regulations — Hearing — Emergency action — Training.

    1. The cabinet shall establish a family child-care home certification program which shall be administered by the department. A family child-care provider shall apply for certification of the provider’s home if the provider is caring for four (4) to six (6) children unrelated to the provider. A family child-care provider caring for three (3) or fewer children may apply for certification of the provider’s home at the discretion of the provider. Applicants for certification shall not have been found by the cabinet or a court to have abused or neglected a child, and shall meet the following minimum requirements: (1) (a) The cabinet shall establish a family child-care home certification program which shall be administered by the department. A family child-care provider shall apply for certification of the provider’s home if the provider is caring for four (4) to six (6) children unrelated to the provider. A family child-care provider caring for three (3) or fewer children may apply for certification of the provider’s home at the discretion of the provider. Applicants for certification shall not have been found by the cabinet or a court to have abused or neglected a child, and shall meet the following minimum requirements:
      1. Submit two (2) written character references;
      2. Provide a written statement from a physician or advanced practice registered nurse that the applicant is in good health;
      3. Submit to a criminal record check in accordance with KRS 199.8965 ;
      4. Provide smoke detectors, a telephone, an adequate water supply, sufficient lighting and space, and a safe environment in the residence in which care is provided;
      5. Provide a copy of the results of a tuberculosis risk assessment and the results of any appropriate follow-up with skin testing or chest X-ray for applicants who are determined to be at risk for developing tuberculosis in accordance with the recommendations of the Centers for Disease Control and Prevention within thirty (30) days of the date of application for certification; and
      6. Demonstrate completion of a total of at least six (6) hours of training in the following areas within three (3) months of application for certification:
        1. Basic health, safety, and sanitation;
        2. Recognizing and reporting child abuse; and
        3. Developmentally appropriate child-care practice.
    2. Initial applications for certification shall be made to the department. The cabinet may promulgate administrative regulations to establish fees that shall not exceed costs of the program to the cabinet, for proper administration of the certification. The department shall issue a certificate of operation upon inspecting the family child-care home and determining the provider’s compliance with the provisions of this section. The inspection shall be unannounced. A certificate of operation issued pursuant to this section shall not be transferable and shall be renewed every two (2) years for a fee that shall not exceed costs of the program to the cabinet for renewal.
    3. A certified family child-care provider shall display the certificate of operation in a prominent place within the residence in which care is provided. The cabinet shall provide the certified family child-care provider with written information explaining the requirements for a family day-care provider and instructions on the method of reporting violations of the requirements which the provider shall distribute to parents.
    4. Upon request of any person, the cabinet shall provide information regarding the denial, revocation, suspension, or violation of any type of day-care license of the family child-care provider. Identifying information regarding children and their families shall remain confidential.
    5. The cabinet shall provide, upon request, public information regarding the inspections of and the plans of correction for the family child-care home within the past year. All information distributed by the cabinet under this paragraph shall include a statement indicating that the reports as provided under this paragraph from the past five (5) years are available from the family child-care home upon the parent’s, custodian’s, guardian’s, or other interested person’s request.
    6. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A which establish standards for the issuance, monitoring, release of information under this section and KRS 199.896 and 199.898 , renewal, denial, revocation, and suspension of a certificate of operation for a family child-care home and establish criteria for the denial of certification if criminal records indicate convictions that may impact the safety and security of children in care. A denial, suspension, or revocation of a certificate may be appealed, and upon appeal an administrative hearing shall be conducted in accordance with KRS Chapter 13B. If the cabinet has probable cause to believe that there is an immediate threat to the public health, safety, or welfare, the cabinet may take emergency action to suspend a certificate pursuant to KRS 13B.125 . The cabinet shall promulgate administrative regulations to impose minimum staff-to-child ratios. The cabinet may promulgate administrative regulations relating to other requirements necessary to ensure minimum safety in family child-care homes. The cabinet shall develop and provide an “easy-to-read” guide containing the following information to a family child-care provider seeking certification of his home:
      1. Certification requirements and procedures;
      2. Information about available child-care training; and
      3. Child-care food sponsoring organizations.
  1. Family child-care providers shall annually demonstrate to the department completion of at least six (6) hours of training in child development. These hours shall include but are not limited to one and one-half (1.5) hours one (1) time every five (5) years of continuing education in the recognition and prevention of pediatric abusive head trauma, as defined in KRS 620.020 . Training in recognizing pediatric abusive head trauma may be designed in collaboration with organizations and agencies that specialize in the prevention and recognition of pediatric abusive head trauma approved by the secretary of the Cabinet for Health and Family Services. The one and one-half (1.5) hours of continuing education required under this section shall be included in the current number of required continuing education hours.
  2. The cabinet shall, either through the development of or approval of, make available a model training curriculum and training materials, including video instructional materials, to cover the areas specified in subsection (1)(a)6. of this section. The cabinet shall develop or approve the model training curriculum and training materials to cover the areas specified in subsection (1)(a)6. of this section.
    1. As used in this subsection “local government” means a city, county, charter county, urban-county government, consolidated local government, or unified local government. (4) (a) As used in this subsection “local government” means a city, county, charter county, urban-county government, consolidated local government, or unified local government.
    2. The provisions of this section shall supersede all local government ordinances or regulations pertaining to the certification, licensure, and training requirements related to the operation of family child-care homes and no local government shall adopt or enforce any additional licensure, certification, or training requirements specifically applicable to family child-care homes in addition to those provided in this section. This subsection shall not be interpreted or construed to exempt family child-care homes from compliance with local government ordinances and regulations that apply generally within the jurisdiction.
    3. Because the availability of adequate child-care as an essential business is vital to the Commonwealth’s state and local economies, by January 1, 2022, a local government that has adopted land use regulations pursuant to KRS Chapter 100 shall specifically name family child-care homes in the text of its zoning regulations to authorize the board of adjustments to separately consider the applications of proposed family child-care homes for conditional use permits within the residential zones of the planning unit where they are not a fully permitted use pursuant to KRS 100.237 .

History. Enact. Acts 1992, ch. 57, § 2, effective July 14, 1992; 1996, ch. 318, § 91, effective July 15, 1996; 1998, ch. 426, § 158, effective July 15, 1998; 1998, ch. 524, § 4, effective July 15, 1998; 2000, ch. 14, § 24, effective July 14, 2000; 2000, ch. 308, § 19, effective July 14, 2000; 2008, ch. 144, § 1, effective July 15, 2008; 2010, ch. 85, § 71, effective July 15, 2010; 2010, ch. 171, § 8, effective July 15, 2010; 2017 ch. 135, § 6, effective March 27, 2017; 2018 ch. 136, § 6, effective July 1, 2019; 2021 ch. 172, § 2, effective March 30, 2021.

Legislative Research Commission Notes.

(7/14/2000). This section was amended by 2000 Ky. Acts chs. 14 and 308, which are in conflict. Under KRS 446.250 , Acts ch. 308, which was last enacted by the General Assembly, prevails.

199.8983. Kentucky Child Care Advisory Council.

  1. There is hereby created the Kentucky Child Care Advisory Council to be composed of eighteen (18) members. The members appointed by the Governor shall serve a term of three (3) years. The appointed members of the council shall be geographically and culturally representative of the population of the Commonwealth. For administrative purposes, the council shall be attached to the department. The members shall be as follows:
    1. The commissioner of the department, or designee;
    2. Four (4) members appointed by the Governor representing child-care center providers licensed pursuant to this chapter;
    3. Two (2) members appointed by the Governor representing family child-care home providers licensed pursuant to this chapter;
    4. Three (3) members appointed by the Governor who are parents, de facto custodians, guardians, or legal custodians of children receiving services from child-care centers or family child-care homes licensed pursuant to this chapter;
    5. Three (3) members appointed by the Governor from the private sector who are knowledgeable about education, health, and development of children;
    6. The director of the Division of Child Care within the department, or designee, as a nonvoting ex officio member;
    7. The commissioner of education, Education and Workforce Development Cabinet, or designee, as a nonvoting ex officio member;
    8. The executive director of the Governor’s Office of Early Childhood, or designee, as a nonvoting ex officio member;
    9. The commissioner of the Department for Public Health within the cabinet, or designee, as a nonvoting ex officio member; and
    10. The state fire marshal, Public Protection Cabinet, or designee, as a nonvoting ex officio member;
  2. The council shall have two (2) co-chairpersons. One (1) co-chairperson shall be the commissioner of the department, or designee, and one (1) co-chairperson shall be elected by the voting members of the council.
  3. Members shall serve until a successor has been appointed. If a vacancy on the council occurs, the Governor shall appoint a replacement for the remainder of the unexpired term.
  4. Members shall serve without compensation but shall be reimbursed for reasonable and necessary expenses in accordance with state travel expenses and reimbursement administrative regulations.
  5. The council shall meet at least quarterly and at other times upon call of the co-chairpersons.
  6. The council shall advise the cabinet on matters affecting the operations, funding, and licensing of child-care centers and family child-care homes. The council shall provide input and recommendations for ways to improve quality, access, and outcomes.
  7. The council shall make an annual report by December 1 that provides summaries and recommendations to address the availability, affordability, accessibility, and quality of child care in the Commonwealth. A copy of the annual report shall be provided to the secretary, the Governor, the Legislative Research Commission, and the Child Welfare Oversight and Advisory Committee established in KRS 6.943 .

HISTORY: 2015 ch. 49, § 1, effective June 24, 2015; 2018 ch. 159, § 53, effective July 14, 2018.

199.8984. Child-Care Policy Council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1992, ch. 57, § 5, effective July 14, 1992; 1994, ch. 486, § 29, effective July 15, 1994; 1998, ch. 426, § 159, effective July 15, 1998) was repealed by Acts 2000, ch. 308, § 28, effective July 14, 2000. For present law, see KRS 200.700 et seq.

Legislative Research Commission Notes.

(7/14/2000). Under KRS 446.260 , the repeal of this section in 2000 Ky. Acts ch. 308 prevails over its amendment in 2000 Ky. Acts ch. 14.

199.899. Market-rate survey to determine rates for child-care services receiving public funds.

  1. The Cabinet for Health and Family Services shall conduct a market-rate survey at least biennially to set the minimum rates paid by the cabinet for child-care services receiving public funds in the Commonwealth. The market-rate survey shall:
    1. Survey all child-care programs in the Commonwealth licensed pursuant to KRS 199.896 or certified pursuant to KRS 199.8982 ;
    2. Determine market rates; and
    3. Make public its findings.
  2. In counties containing no more than two (2) child-care programs of the same type regulated by the cabinet, the cabinet shall pay the rate charged by the program up to the maximum allowable market rate, set in accordance with federal regulations, paid to a program of the same type in that area development district.
  3. The Cabinet for Health and Family Services shall evaluate, at least annually, the adequacy of the child-care subsidy to enable low income families in need of child-care services to obtain child care.

History. Enact. Acts 1992, ch. 57, § 6, effective July 14, 1992; 1998, ch. 426, § 160, effective July 15, 1998; 2000, ch. 308, § 20, effective July 14, 2000; 2005, ch. 99, § 196, effective June 20, 2005.

199.8992. Development of statewide network of community-based child-care resource and referral services — Awarding of contracts. [Repealed]

History. Enact. Acts 1992, ch. 57, § 7, effective July 14, 1992; 1998, ch. 426, § 161, effective July 15, 1998; 2000, ch. 308, § 21, effective July 14, 2000; 2005, ch. 99, § 197, effective June 20, 2005; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

199.8994. Uniform administration of child-care funds — Dedicated child-care licensing surveyors.

  1. All child-day-care funds administered by the cabinet, including Title XX of the Social Security Act, shall be administered by the Cabinet for Health and Family Services to the extent allowable under federal law or regulation and in a manner which is in the best interest of the clients to be served. To the extent permitted by federal law or regulations, requirements relating to application, eligibility, provider agreements, and payment for child-care services shall be the same regardless of the source of public funding.
  2. The cabinet shall, to the extent allowable under federal law or regulation and in a manner which is in the best interest of the clients to be served, develop a system which provides a single intake point in each county through which parents seeking public subsidies for child-care services can make application.
  3. The cabinet shall, subject to the extent funds are available, cooperate with the Cabinet for Health and Family Services to fund and establish dedicated child-care licensing surveyor positions within the Division of Licensed Child Care to conduct all the cabinet’s child-care licensing activities. The cabinet shall have the authority to request the transfer of funds to establish these positions. Where possible, dedicated child-care surveyors shall have expertise or experience in child-care or early childhood education.
  4. The targeted ratio of dedicated child-care licensing surveyor positions shall be one (1) surveyor for each fifty (50) child-care facilities in order to allow for the provision of an expedient, constructive, and thorough licensing visit.
  5. The cabinet shall, in cooperation with the Division of Licensed Child Care, Cabinet for Health and Family Services, provide appropriate specialized training for child-care surveyors.
    1. The cabinet shall evaluate ways to improve the monitoring of unregulated child-care providers that receive a public subsidy for child care, and promulgate administrative regulations in accordance with KRS Chapter 13A that establish minimum health and safety standards, limitations on the maximum number of children in care, training requirements for a child-care provider that receives a child-care subsidy administered by the cabinet, and criteria for the denial of subsidies if criminal records indicate convictions that impact the safety and security of children in care. (6) (a) The cabinet shall evaluate ways to improve the monitoring of unregulated child-care providers that receive a public subsidy for child care, and promulgate administrative regulations in accordance with KRS Chapter 13A that establish minimum health and safety standards, limitations on the maximum number of children in care, training requirements for a child-care provider that receives a child-care subsidy administered by the cabinet, and criteria for the denial of subsidies if criminal records indicate convictions that impact the safety and security of children in care.
    2. If the cabinet has probable cause to believe that there is an immediate threat to the public health, safety, or welfare, it may take emergency action to deny a public subsidy for child-care services under KRS 13B.125 .

History. Enact. Acts 1992, ch. 57, § 8, effective July 14, 1992; 1998, ch. 426, § 162, effective July 15, 1998; 2000, ch. 308, § 22, effective July 14, 2000; 2001, ch. 81, § 2, effective June 21, 2001; 2005, ch. 99, § 198, effective June 20, 2005.

Compiler’s Notes.

Title XX of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 1397 et seq.

199.8996. Reports on child-care program activity.

  1. The Cabinet for Health and Family Services shall prepare the following reports on child-care programs, and shall make them available upon request:
    1. State and federally mandated reports on the child-care funds administered by the Department for Community Based Services; and
    2. Reports on the child-care subsidy programs, training, resource and referral, and similar activities upon request by the public, the Early Childhood Advisory Council, or the Child Care Advisory Council, to the extent resources are available within the cabinet and as permitted under the Kentucky Open Records Act, KRS 61.870 to 61.884 , and state and federal laws governing the protection of human research subjects.
  2. The cabinet shall include the number of dedicated child-care licensing surveyor positions and the ratio of surveyors to child-care facilities within its half-year block grant status reports.
  3. By November 1, 2017, the Cabinet for Health and Family Services and the Early Childhood Advisory Council shall report to the Interim Joint Committee on Education and the Interim Joint Committee on Health and Welfare on recommendations and plans for sustaining the quality-based graduated early care and education program after the depletion of federal Race to the Top-Early Learning Challenge grant funds.

HISTORY: Enact. Acts 1992, ch. 57, § 9, effective July 14, 1992; 1998, ch. 426, § 163, effective July 15, 1998; 2000, ch. 308, § 23, effective July 14, 2000; 2005, ch. 99, § 199, effective June 20, 2005; 2013, ch. 57, § 5, effective June 25, 2013; 2015 ch. 16, § 4, effective June 24, 2015; 2017 ch. 80, § 54, effective June 29, 2017.

Personnel Training

199.900. Training programs authorized — Research assignment — Classification — Compensation — Contract.

  1. The secretary for health and family services in coordination with the Personnel Cabinet is authorized to establish formal training programs within the Cabinet for Health and Family Services or within any of the divisions or sections of the cabinet for the training of necessary personnel for the administration of the programs of the cabinet. When courses of study, applicable to the program processes of the cabinet, are not available through cabinet instruction, arrangements may be made for the training of employees in any public or private school or institution having available facilities for that purpose, and such training shall be deemed to be a part of the cabinet training program. Training of employees in public or private schools or institutions for this purpose shall be deemed a part of research assignments to be completed during the period of study, and these assignments are to relate directly to the work assignment of the employee. After consulting with the Personnel Cabinet, position classifications in the research series shall be established for employees on such work study assignments, and funds of the cabinet may be used to pay salaries commensurate with the appropriate classification while the employee is receiving training.
  2. Any employee who is paid a salary while receiving such training shall be required to enter into a contract, prior to receiving the training, that he will complete a specified work assignment, and that unless he continues in the employ of the cabinet for at least a period equivalent to the training period, immediately following the completion of training, the state will hold a claim against him for the amount of salary paid during the training period, and he will repay to the cabinet the sum paid to him by the cabinet during the period of his training.

History. Enact. Acts 1962, ch. 85, § 2; 1974, ch. 74, Art. VI, § 107(1), (13) and (30); 1998, ch. 154, § 86, effective July 15, 1998; 1998, ch. 426, § 164, effective July 15, 1998; 2005, ch. 99, § 200, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Personnel of cabinet may be appointed as peace officers to enforce KRS Chapters 600 to 645, KRS 605.050 .

State personnel generally, KRS Chapter 18A.

Penalties

199.990. Penalties.

  1. Any person who violates any of the provisions of KRS 199.430 , 199.470 , 199.473 , 199.570 , 199.572 , and 199.590 except subsection (2), or 199.640 to 199.670 , or any rule or regulation under such sections the violation of which is made unlawful shall be fined not less than five hundred dollars ($500) nor more than two thousand dollars ($2,000) or imprisoned for not more than six (6) months, or both. Each day such violation continues shall constitute a separate offense.
  2. Any person who willfully violates any other of the provisions of KRS 199.420 to 199.670 or any rule or regulation thereunder, the violation of which is made unlawful under the terms of those sections, and for which no other penalty is prescribed in those sections, or in any other applicable statute, shall be fined not less than one hundred dollars ($100) nor more than two hundred dollars ($200) or imprisoned for not more than thirty (30) days, or both.
  3. Any violation of the regulations, standards, or requirements of the cabinet under the provisions of KRS 199.896 that poses an immediate threat to the health, safety, or welfare of any child served by the child-care center shall be subject to a civil penalty of no more than one thousand dollars ($1,000) for each occurrence. Treble penalties shall be assessed for two (2) or more violations within twelve (12) months. All money collected as a result of civil penalties assessed under the provisions of KRS 199.896 shall be paid into the State Treasury and credited to a special fund for the purpose of the Early Childhood Scholarship Program created in accordance with KRS 164.518 . The balance of the fund shall not lapse to the general fund at the end of each biennium.
  4. A person who commits a violation of the regulations, standards, or requirements of the cabinet under the provisions of KRS 199.896 shall be fined not less than one thousand dollars ($1,000) or imprisoned for not more than twelve (12) months, or be fined and imprisoned, at the discretion of the court.
  5. Any person who violates any of the provisions of KRS 199.590(2) shall be guilty of a Class D felony.
  6. Any person who knowingly or intentionally registers false information under KRS 199.503(4) shall be fined not more than one thousand dollars ($1,000) or imprisoned for not more than twelve (12) months, or be fined and imprisoned, at the discretion of the court.
  7. Any person who knowingly or intentionally releases or requests confidential information in violation of KRS 199.503(8) or (9) or in violation of KRS 199.505 shall be fined not more than one thousand dollars ($1,000) or imprisoned for not more than twelve (12) months, or be fined and imprisoned, at the discretion of the court. It is a defense under this subsection if the cabinet releases confidential information while acting in good faith and with reasonable diligence.

HISTORY: 326, 327, 330, 331c-1, 331c-3, 331e-4, 331g-1 to 331g-3: amend. Acts 1944, ch. 77, § 1; 1946, ch. 13, § 5; 1950, ch. 125, § 31; 1952, ch. 161, § 61; 1962, ch. 196, § 4; 1962, ch. 211, § 6; 1962, ch. 212, § 12; 1964, ch. 85, § 5; 1970, ch. 270, § 1; 1976, ch. 142, § 3; 1978, ch. 66, § 3, effective June 17, 1978; 1980, ch. 188, effective July 15, 1980; 1986, ch. 423, § 196, effective July 1, 1987; 1994, ch. 242, § 13, effective July 15, 1994; 2000, ch. 308, § 24, effective July 14, 2000; 2004, ch. 186, § 10, effective July 13, 2004; 2018 ch. 112, § 4, effective July 14, 2018; 2018 ch. 159, § 31, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 112 and 159, which do not appear to be in conflict and have been codified together.

Compiler's Notes.

The amendment of this section by Acts 1980, ch. 280, § 147, which was to have taken effect on July 15, 1984, was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

NOTES TO DECISIONS

Cited in:

Smith v. Commonwealth, 358 S.W.2d 521, 1962 Ky. LEXIS 189 ( Ky. 1962 ).

Research References and Practice Aids

Cross-References.

Probation and parole, KRS Chapter 439.

Sentence of imprisonment for felony, KRS 532.060 .

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Note, The Unwed Father and the Right to Know of His Child’s Existence, 76 Ky. L.J. 949 (1987-88).

Treatises

Petrilli, Kentucky Family Law, Termination of Parental Rights and Adoption, §§ 29.6, 29.14.

CHAPTER 200 Assistance to Children

200.010. Definitions.

As used in KRS Chapter 200, unless the context requires otherwise, “cabinet” means Cabinet for Health and Family Services.

History. 331e-24, 331L-20, 331m-3: amend. Acts 1944, ch. 1; 1946, ch. 98, § 1; 1950, ch. 110, § 12; 1956, ch. 157, § 17; 1960, ch. 33, § 12; 1966, ch. 255, § 192; 1974, ch. 74, Art. VI, § 107(1), (13); 1998, ch. 426, § 165, effective July 15, 1998; 2005, ch. 99, § 201, effective June 20, 2005.

NOTES TO DECISIONS

1.Constitutionality.

This chapter is constitutional. Meredith v. Ray, 292 Ky. 326 , 166 S.W.2d 437, 1942 Ky. LEXIS 81 ( Ky. 1942 ).

Cited in:

Commonwealth ex rel. Meredith v. Frost, 295 Ky. 137 , 172 S.W.2d 905, 1943 Ky. LEXIS 185 ( Ky. 1943 ).

Research References and Practice Aids

Cross-References.

Juvenile Code, KRS Chapters 600 to 645.

Records concerning child and public assistance to be confidential, KRS 199.430 , 205.175 .

Kentucky Law Journal.

Kammerer, Child Welfare Legislation, 41 Ky. L.J. 41 (1952).

200.020. Eligibility for aid to dependent children — Amount — Duties of department. [Repealed.]

Compiler’s Notes.

This section (331e-25: amend. Acts 1946, ch. 98, § 2) was repealed by Acts 1950, ch. 110, § 12.

200.030. Amount of aid. [Repealed.]

Compiler’s Notes.

This section (331e-26) was repealed by Acts 1950, ch. 110, § 12.

200.040. Duties of Department of Welfare in assisting children. [Repealed.]

Compiler’s Notes.

This section (331e-27) was repealed by Acts 1950, ch. 110, § 12.

200.045. Social security appropriations not to lapse at end of first fiscal year of biennium. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 236, § 1) was renumbered as KRS 45.235 and was subsequently repealed.

Legislative Research Commission Notes.

1948 Ky. Acts ch. 236 created three new sections of the statutes, reading exactly the same, to be numbered KRS 200.045 , 205.045 , and 207.085 . These three sections were consolidated into one, and codified as KRS 45.235 , effective 1948.

200.050. Records to be confidential. [Repealed.]

Compiler’s Notes.

This section (331e-28) was repealed by Acts 1944, ch. 173, § 13.

200.060. Right of appeal. [Repealed.]

Compiler’s Notes.

This section (331e-29) was repealed by Acts 1950, ch. 110, § 12.

200.070. Aid not alienable or subject to levy. [Repealed.]

Compiler’s Notes.

This section (331e-30) was repealed by Acts 1950, ch. 110, § 12.

200.080. Powers of cabinet in providing child welfare — Local agencies.

  1. The cabinet shall do all things necessary to execute the duties required by KRS 200.080 to 200.120 , and may adopt necessary rules and regulations to carry out the provisions of KRS 200.080 to 200.120 .
  2. The cabinet may assist in the establishment of county children’s bureaus, and shall cooperate with all agencies, institutions, and associations concerned with the welfare of children.
  3. The cabinet may receive both real and personal property, by gift, devise, bequest, and conveyance, for the purpose of carrying out the provisions of KRS 200.080 to 200.120 . The cabinet may expend out of funds so received such sums as are necessary for the treatment of children committed to its care.

History. 331L-3, 331L-6, 331L-9, 331L-11: amend. Acts 1980, ch. 188, § 189, effective July 15, 1980.

Research References and Practice Aids

Cross-References.

Gifts and donations to be deposited in state treasury, KRS 41.290 .

State income to be paid into state treasury, KRS 41.070 .

200.090. Children entitled to benefits.

All physically disabled, delinquent, neglected, dependent, mentally ill, or mentally disabled children, under eighteen (18) years of age, shall be included within the provisions of KRS 200.080 to 200.120 , except children who are physically disabled in a way that prevents normal motion of limbs or body, solely and permanently blind, or solely and permanently deaf. The provisions of KRS 200.080 to 200.120 shall not apply to children whose specific disability or condition has already been provided for through an existing agency.

History. 331L-10: amend. Acts 1980, ch. 188, § 190, effective July 15, 1980; 1988, ch. 283, § 5, effective July 15, 1988; 1994, ch. 405, § 52, effective July 15, 1994; 1994, ch. 416, § 13, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This section was amended by 1994 Ky. Acts chs. 405 and 416. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 416, which was last enacted by the General Assembly, prevails under KRS 446.250 .

Research References and Practice Aids

Cross-References.

Special education facilities for exceptional or handicapped children, KRS 157.200 to 157.290 .

200.100. Cabinet to investigate status of children — Report to Governor. [Repealed]

History. 331L-7, 331L-8; 1994, ch. 405, § 53, effective July 15, 1994; 1994, ch. 416, § 14, effective July 15, 1994; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (331L-7, 331L-8), was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

200.110. Commitment — Treatment — Payment of cost. [Repealed.]

Compiler’s Notes.

This section (331L-12: amend. Acts 1956, ch. 157, § 18) was repealed by Acts 1962, ch. 212, § 13.

200.115. Cabinet or Department of Juvenile Justice authorized to pay for care and treatment of child committed to it — Payment by person having charge of child.

  1. The cabinet or the Department of Juvenile Justice, as appropriate, is authorized and may pay for such care and treatment as it deems necessary for the well-being of any child committed to it, including medical expenses, room and board, clothing, and all other necessities for such children committed to its care and custody, but only if no similar services are rendered by other agencies.
  2. Where the person having charge of the child is able to pay for the care or treatment or portions thereof, the court shall so direct and in what amounts, and such funds as he is able to pay shall be turned over to the cabinet or the Department of Juvenile Justice, as appropriate, or the person having custody and care of the child to be applied on the cost of the treatment and care of the child.

History. Enact. Acts 1956, ch. 157, § 19; 1998, ch. 443, § 10, effective July 15, 1998.

NOTES TO DECISIONS

1.In General.

Because KRS 200.115(1) authorized executive agencies to distribute state funds for care and treatment necessary for the well-being of any child committed to the care of the state, state taxpayers did not have standing to bring an Establishment Clause claim since they failed to allege any legislative action through such appropriation which exceeded the taxing and spending powers of the Legislature. Pedreira v. Ky. Baptist Homes for Children, Inc., 553 F. Supp. 2d 853, 2008 U.S. Dist. LEXIS 25724 (W.D. Ky. 2008 ), rev'd, 579 F.3d 722, 2009 FED App. 0316P, 2009 U.S. App. LEXIS 19487 (6th Cir. Ky. 2009 ).

2.Payments to Religious Facilities.

Plaintiffs established standing because they sufficiently demonstrated a link between the challenged legislative actions and the alleged constitutional violations, namely that the state’s statutory funding for neglected children in private childcare facilities knowingly and impermissibly funded a religious organization. Although a religiously inspired employee conduct rule was not sufficient to constitute discrimination on the basis of religion, it was relevant to an inquiry under the Establishment Clause. Pedreira v. Ky. Baptist Homes for Children, Inc., 579 F.3d 722, 2009 FED App. 0316P, 2009 U.S. App. LEXIS 19487 (6th Cir. Ky. 2009 ), cert. denied, 563 U.S. 935, 131 S. Ct. 2091, 179 L. Ed. 2d 889, 2011 U.S. LEXIS 3088 (U.S. 2011), cert. denied, 563 U.S. 935, 131 S. Ct. 2143, 179 L. Ed. 2d 889, 2011 U.S. LEXIS 2982 (U.S. 2011).

200.120. Transportation expenses may be paid.

The cabinet may pay the necessary traveling expenses of children committed to it for care and treatment from their homes to the institutions or homes to which they are committed, and the traveling expenses of such children from the institutions to their homes when discharged.

History. 331L-13.

200.130. Fiscal court may appropriate funds. [Repealed.]

Compiler’s Notes.

This section (331L-15) was repealed by Acts 1978, ch. 118, § 19.

200.140. County children’s bureau — Members — Terms — Compensation. [Repealed.]

Compiler’s Notes.

This section (331L-16, 331L-17: amend. Acts 1956, ch. 157, § 20) was repealed by Acts 1978, ch. 118, § 19.

200.150. Executive secretaries of county bureaus. [Repealed.]

Compiler’s Notes.

This section (331L-18) was repealed by Acts 1978, ch. 118, § 19.

200.151. Early childhood development fund — Purpose — Source of moneys — Strategic plan for fund distribution — Annual report and audit.

There is established in the State Treasury a fund to be known as the “Early Childhood Development Fund.” This fund shall exist for the purpose of receipt and expenditure of moneys to improve and promote early childhood development for children of the Commonwealth. The fund may receive state appropriations, gifts, grants, and federal funds and shall be disbursed by the State Treasurer upon the warrant of the chair of the early childhood development board. Beginning July 1, 2000, twenty-five percent (25%) of the proceeds from the tobacco settlement agreement fund shall be deposited in this fund as provided under KRS 248.654 . All investment income earned from moneys deposited in the fund shall accrue to the fund. The moneys in the fund shall not lapse at the close of any fiscal year but shall be carried forward in the next fiscal year for the purpose of the fund. The board shall develop and oversee the implementation of a strategic plan. The strategic plan shall identify both short-term and long-term goals and the appropriate oversights to measure progress toward achievement of those goals, and it shall be updated every two (2) years. The board shall submit an annual report to the Governor and the Legislative Research Commission by September 1 of each year for the preceding fiscal year, outlining its activities and expenditures. The Auditor of Public Accounts, on an annual basis, shall conduct a thorough review of all expenditures from the fund and, if necessary in the opinion of the Auditor, an audit of the operations of the fund. No money in the fund shall be allocated until the board has adopted a strategic plan.

History. Enact. Acts 2000, ch. 546, § 3, effective April 26, 2000.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. V, D, 4 at 940.

200.160. Duty of county bureaus. [Repealed.]

Compiler’s Notes.

This section (331L-19: amend. Acts 1976 (Ex. Sess.) ch. 14, § 178) was repealed by Acts 1978, ch. 118, § 19.

200.170. Aid to mothers with dependent children. [Repealed.]

Compiler’s Notes.

This section (331L-20) was repealed by Acts 1978, ch. 118, § 19.

200.180. County bureau to investigate appliants for mother’s aid. [Repealed.]

Compiler’s Notes.

This section (331L-21) was repealed by Acts 1978, ch. 118, § 19.

200.190. County bureau to make allowance for mother’s aid. [Repealed.]

Compiler’s Notes.

This section (331L-22) was repealed by Acts 1978, ch. 118, § 19.

200.200. Allowance to be reviewed and changed. [Repealed.]

Compiler’s Notes.

This section (331L-23) was repealed by Acts 1978, ch. 118, § 19.

200.210. County bureau to visit homes. [Repealed.]

Compiler’s Notes.

This section (331L-24) was repealed by Acts 1978, ch. 118, § 19.

200.220. County bureau to keep confidential records. [Repealed.]

Compiler’s Notes.

This section (331L-17, 331L-25: amend. Acts 1956, ch. 157, § 21) was repealed by Acts 1978, ch. 118, § 19.

200.230. Payments to be made directly to mother. [Repealed.]

Compiler’s Notes.

This section (331L-26) was repealed by Acts 1978, ch. 118, § 19.

200.240. County mothers’ aid fund — Tax levy. [Repealed.]

Compiler’s Notes.

This section (331L-28) was repealed by Acts 1978, ch. 118, § 19.

200.250. Kentucky crippled children commission — Members — Employees. [Repealed.]

Compiler’s Notes.

This section (331m-1, 331m-4: amend. Acts 1946, ch. 27, § 34) was repealed by Acts 1960, ch. 33, § 12.

200.260. Commission may receive property and expend funds. [Repealed.]

Compiler’s Notes.

This section (331m-2, 331m-4) was repealed by Acts 1960, ch. 33, § 12.

200.270. Commitment — Treatment — Payment of cost. [Repealed.]

Compiler’s Notes.

This section (331m-5) was repealed by Acts 1960, ch. 33, § 12.

200.280. Transportation may be paid. [Repealed.]

Compiler’s Notes.

This section (331m-6) was repealed by Acts 1960, ch. 33, § 12.

200.290. Report to Governor. [Repealed.]

Compiler’s Notes.

This section (331m-7) was repealed by Acts 1960, ch. 33, § 12.

200.300. Appropriation by fiscal court — Expenditure — Reports. [Repealed.]

Compiler’s Notes.

This section (331m-9) was repealed by Acts 1978, ch. 118, § 19.

200.310. Counties containing second-class city may support dependent children. [Repealed.]

Compiler’s Notes.

This section (331n-2) was repealed by Acts 1978, ch. 118, § 19.

200.320. Children eligible for aid — Application — Procedure. [Repealed.]

Compiler’s Notes.

This section (331n-3: amend. Acts 1966, ch. 255, § 193; 1976 (Ex. Sess.), ch. 14, § 179) was repealed by Acts 1978, ch. 118, § 19.

200.330. Appropriation by fiscal court for children’s aid. [Repealed.]

Compiler’s Notes.

This section (331n-1) was repealed by Acts 1978, ch. 118, § 19.

200.340. Definitions for KRS 200.340 to 200.355. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 131, § 1) was repealed by Acts 1980, ch. 239, § 4.

200.345. Second-class cities authorized to contribute to support of dependent children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 131, § 2) was repealed by Acts 1980, ch. 239, § 4.

200.350. Eligibility for city aid — Application — Affidavit and investigation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 131, § 3) was repealed by Acts 1980, ch. 239, § 4.

200.355. Group payments — Regulations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 131, § 4) was repealed by Acts 1980, ch. 239, § 4.

Handicapped Children

200.400. Definitions for KRS 200.400 to 200.500. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 1) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.410. Commission for Handicapped Children — Appointment — Term — Vacancies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 2) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.420. Qualifications of commission members — Oaths — Expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 3) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.430. Corporate power of commission — Officers — Employees — Merit system. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 4) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.440. Acceptance of gifts by commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 5) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.450. Reference of child to commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 6) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

200.460. Services provided by Office for Children with Special Health Care Needs — Medical and hospital care — Expenditures — Appeal.

  1. The Office for Children with Special Health Care Needs shall provide through contractual agreement, or otherwise, such services as may be necessary to locate, diagnose, treat, habilitate, or rehabilitate children with disabilities, and may include any necessary auxiliary services, such as room and board and travel for patients and parents or parent substitutes.
  2. Children referred to the care of the Office for Children with Special Health Care Needs for treatment shall be placed under the care of those physicians or surgeons that the Office for Children with Special Health Care Needs deems qualified and may be placed in a hospital or home properly equipped to render the necessary treatment or services required by the child.
  3. The Office for Children with Special Health Care Needs is authorized to make those expenditures necessary to carry out the provisions of this section and KRS 200.470 to 200.490 .
  4. Any administrative appeal of a decision of the office shall be conducted in accordance with KRS Chapter 13B.

HISTORY: Enact. Acts 1960, ch. 33, § 7; 1974, ch. 74, Art. VI, § 107(24); 1978, ch. 384, § 56, effective June 17, 1978; 1986, ch. 234, § 2, effective July 15, 1986; 1994, ch. 405, § 54, effective July 15, 1994; 1996, ch. 318, § 93, effective July 15, 1996; 2018 ch. 114, § 8, effective July 14, 2018.

200.470. Conditions of acceptance for children — Payment for care.

  1. No child shall be accepted for care or treatment by the Office for Children with Special Health Care Needs if his parents or legal guardian are able to pay for such treatment, except where the child resides in an area of the state where adequate care and treatment are not otherwise available, in which event referral must be made by the doctor caring for the child and the parents or guardian shall reimburse the Office for Children with Special Health Care Needs for all cost expended by the office for treatment.
  2. In the event the Office for Children with Special Health Care Needs determines that the parents or legal guardian of a child with a disability can pay only a portion of the cost of treatment through their own resources or through resources available to them, such parents or guardian shall pay such sums as they are able to pay and the funds thus received shall be turned over to the Office for Children with Special Health Care Needs and applied to the cost of treatment and care of the child.

HISTORY: Enact. Acts 1960, ch. 33, § 8; 1974, ch. 74, Art. VI, § 107(24); 1986, ch. 234, § 3, effective July 15, 1986; 1994, ch. 405, § 55, effective July 15, 1994; 2018 ch. 114, § 9, effective July 14, 2018.

200.480. Report of Office for Children with Special Health Care Needs.

The Office for Children with Special Health Care Needs shall report the amount of money received and expended and a detailed statement of its activities to the Governor and General Assembly upon request.

HISTORY: Enact. Acts 1960, ch. 33, § 9; 1974, ch. 74, Art. VI, § 107(24); 1986, ch. 234, § 4, effective July 15, 1986; 1994, ch. 405, § 56, effective July 15, 1994; 2018 ch. 112, § 5, effective July 14, 2018; 2018 ch. 114, § 10, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 112 and 114, which do not appear to be in conflict and have been codified together.

200.490. Confidential records — Exception.

All information as to medical data, personal facts, and circumstances obtained by the Office for Children with Special Health Care Needs staff shall constitute privileged communications, shall be held confidential and shall not be divulged without the consent of the father, mother, guardian, person who committed the child, or the patient involved, except as may be necessary to provide additional services to children through other medical, welfare or service agencies and institutions. Such information may be disclosed in summary, statistical or other form which does not identify particular individuals.

HISTORY: Enact. Acts 1960, ch. 33, § 10; 1974, ch. 74, Art. VI, § 43; 1986, ch. 234, § 5, effective July 15, 1986; 1994, ch. 405, § 57, effective July 15, 1994; 2018 ch. 114, § 11, effective July 14, 2018.

Research References and Practice Aids

Kentucky Law Journal.

Comments, Access to Public Documents in Kentucky, 64 Ky. L.J. 165 (1975-76).

200.495. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Recipient” means any person who has received medical services provided by the Office for Children with Special Health Care Needs or who has received medical services paid for on his behalf by the office;
  2. “Medical services” means medical or medically-related institutional or noninstitutional services which are provided to a recipient or paid for by the Office for Children with Special Health Care Needs on behalf of a recipient; and
  3. “Third-party coverage” means any public or private party who is liable to provide medical services or to make medical services benefit payments to a recipient or other provider for medical services provided to a recipient under the terms of any contract, health insurance policy, health insurance plan, settlement, or award.

HISTORY: Enact. Acts 1988, ch. 274, § 1, effective July 15, 1988; 1994, ch. 405, § 58, effective July 15, 1994; 2018 ch. 114, § 12, effective July 14, 2018.

200.497. Third-party coverage for medical services.

Third-party coverage for medical services provided by the Office for Children with Special Health Care Needs to clients of the office shall be considered primary coverage in all instances. The office’s liability for coverage for medical services to its clients shall be considered residual to third-party coverage in all instances.

HISTORY: Enact. Acts 1988, ch. 274, § 2, effective July 15, 1988; 2018 ch. 114, § 13, effective July 14, 2018.

200.499. Recovery of costs from third-party payments — Filing of claims.

  1. An applicant for or recipient of medical services provided by or paid for by the Office for Children with Special Health Care Needs shall inform the office of any rights that the applicant or recipient has to third-party payments for medical services at the time of initial application for services or at any time thereafter when such third-party payment should become available. The office shall automatically be subrogated to any rights the recipient has to third-party payment for medical services.
  2. The office shall recover the full cost of medical services provided to a recipient and shall recover any payments made for medical services on his behalf directly from:
    1. Any third party liable to make a medical benefit payment to the provider of the recipient’s medical services or to the recipient under the terms and provisions of any contract, health insurance policy, health insurance plan, settlement, or award;
    2. The recipient, if he or she has received third-party payment for medical services that have been provided to him; or
    3. The provider of the recipient’s medical services if third-party payment for medical services has been recovered by the provider.
  3. A recipient of medical services provided by the office or paid for by the office shall be deemed to have made an assignment to the office of any right such recipient has to any payment for such medical services from a third party.
  4. A recipient of medical services provided by the office or paid for by the office shall be deemed to have provided the office the authority to release medical information with respect to such medical services for the purpose of obtaining reimbursement from a third party.
  5. The office may, in order to enforce its subrogation rights under this section, institute, intervene in, or join any legal proceeding against any third party against whom recovery rights arise. No action taken by the office shall operate to deny the recipient recovery for that portion of his damage not subrogated to the office and no action of the recipient shall prejudice the subrogation rights of the office.
  6. When the office provides, pays for, or becomes liable for the medical services, and their costs, of a recipient, it shall have a lien for the full amount of the cost of such medical services upon any and all causes of action which accrue to the recipient or to his legal representatives, as a result of sickness, injury, disease, disability, or death due to the liability of a third party which necessitated the medical service. The office shall have one (1) calendar year from the date when the last item of medical services relative to a specific accident or spell of illness was provided or paid for in which to file its verified lien statement. The statement shall be filed with the clerk of the Circuit Court in the recipient’s county residence. The verified lien statement shall contain the name and address of the recipient of medical services; the date of the injury or accident; the name and address of the vendor or vendors furnishing medical services to the recipient; the date of the medical services; the amount claimed to be due the office for the medical services provided or paid for; and, to the best knowledge of the office, the names and addresses of all persons or corporations claimed to be liable for damages arising from the injuries. The office’s failure to file a lien shall not affect the office’s subrogation rights provided for in subsection (1) of this section.
  7. In recovering any payment in accordance with this action, the office is authorized to make appropriate settlements.

HISTORY: Enact. Acts 1988, ch. 274, § 3, effective July 15, 1988; 2018 ch. 114, § 14, effective July 14, 2018.

200.500. Transfer of records, property, personnel, funds to commission. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 33, § 11) was repealed by Acts 1966, ch. 255, § 283.

Emotionally Disturbed Children

200.501. Findings of General Assembly.

The Kentucky General Assembly finds that services to children and transition-age youth are provided by various departments and agencies at both the state and local level, often without appropriate policy collaboration and service coordination. The General Assembly declares that the purpose of KRS 200.501 to 200.509 is to establish a structure for coordinated policy development, comprehensive planning, and collaborative budgeting for services and supports to children and transition-age youth with or at risk of developing behavioral health needs and their families. It is further the intention of the General Assembly to build on the existing resources and to design and implement a system of care for children and transition-age youth with or at risk of developing behavioral health needs that is community-based, family- and youth-driven, and culturally and linguistically competent. Children and transition-age youth who meet criteria for a serious emotional disability, including a co-occurring substance use disorder, and who are placed outside their homes to address unmet behavioral health needs shall be given priority for services and supports pursuant to KRS 200.501 to 200.509 .

HISTORY: Enact. Acts 1990, ch. 266, § 1, effective July 13, 1990; 1992, ch. 24, § 1, effective July 14, 1992; 2018 ch. 120, § 1, effective July 14, 2018.

200.503. Definitions for KRS 200.501 to 200.509.

As used in KRS 200.501 to 200.509 , unless the context otherwise requires:

  1. “Child with a behavioral health need” means a child or transition-age youth with, or at risk of developing, an emotional disability, substance use disorder, or mental, emotional, or behavioral needs;
  2. “Child with an emotional disability” means a child or transition-age youth with a clinically significant disorder of thought, mood, perception, orientation, memory, or behavior that is listed in the current edition of the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders and seriously limits a child’s capacity to function in the home, school, or community;
  3. “Child with a serious emotional disability” means a child or transition-age youth with a clinically significant disorder of thought, mood, perception, orientation, memory, or behavior that is listed in the current edition of the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders and that:
    1. Presents substantial limitations that have persisted for at least one (1) year or are judged by a mental health professional to be at high risk of continuing for one (1) year without professional intervention in at least two (2) of the following five (5) areas: “Self-care,” defined as the ability to provide, sustain, and protect his or herself at a level appropriate to his or her age; “Interpersonal relationships,” defined as the ability to build and maintain satisfactory relationships with peers and adults; “Family life,” defined as the capacity to live in a family or family type environment; “Self-direction,” defined as the child’s ability to control his or her behavior and to make decisions in a manner appropriate to his or her age; and “Education,” defined as the ability to learn social and intellectual skills from teachers in available educational settings;
    2. Is a Kentucky resident and is receiving residential treatment for emotional disability through the interstate compact;
    3. The Department for Community Based Services has removed the child from the child’s home and has been unable to maintain the child in a stable setting due to behavioral health needs; or
    4. Is a person under twenty-one (21) years of age meeting the criteria of paragraph (a) of this subsection and who was receiving services prior to age eighteen (18) that must be continued for therapeutic benefit;
  4. “Least restrictive alternative mode of treatment” means treatment given in the least confining setting which will provide a child or transition-age youth with an emotional disability or serious emotional disability appropriate treatment or care consistent with accepted professional practice. For purposes of this section, least restrictive alternative mode of treatment may include an institutional placement;
  5. “System of care” means a spectrum of effective, community-based services and supports for children and transition-age youth with or at risk of developing behavioral health needs and their families, that is organized into a coordinated network, builds meaningful partnerships with families and youth, and addresses their cultural and linguistic needs, in order to help them to function better at home, in school, in the community, and throughout life; and
  6. “Transition-age youth” means individuals between the ages of sixteen (16) and twenty-five (25).

HISTORY: Enact. Acts 1990, ch. 266, § 2, effective July 13, 1990; 1992, ch. 24, § 2, effective July 14, 1992; 1996, ch. 303, § 1, effective July 15, 1996; 2000, ch. 14, § 26, effective July 14, 2000; 2014, ch. 132, § 17, effective July 15, 2014; 2018 ch. 120, § 2, effective July 14, 2018.

200.505. State Interagency Council for Services and Supports to Children and Transition-Age Youth.

There is hereby created a State Interagency Council for Services and Supports to Children and Transition-Age Youth. The chairperson of the council shall be designated by the Governor and shall establish procedures for the council’s internal procedures.

  1. This council shall be composed of the following:
    1. Members who shall serve by virtue of their positions: the commissioner of the Department of Education, the commissioner of the Department for Behavioral Health, Developmental and Intellectual Disabilities, the commissioner of the Department for Community Based Services, the commissioner of the Department for Public Health, the commissioner of the Department for Medicaid Services, the commissioner of the Department of Juvenile Justice, the director of the Division of Family Resource and Youth Services Centers, the executive director of the Office for Children with Special Health Care Needs, the executive officer of the Department of Family and Juvenile Services of the Administrative Office of the Courts, the chair of the Subcommittee for Equity and Justice for all Youth of the Juvenile Justice Advisory Board, the executive director of the Kentucky Housing Corporation, the executive director of the Kentucky Office of Vocational Rehabilitation, and the president of the Council on Postsecondary Education, or their designees;
    2. The chairperson of the council shall appoint one (1) parent of a child or transition-age youth with a behavioral health need, who is a consumer of services and supports within the system of care to serve as a member of the council, and one (1) parent who meets the same criteria to serve as the parent member’s alternate to serve in the absence of the parent member. For each appointment to be made, the State Interagency Council for Services and Supports to Children and Transition-Age Youth shall vote on nominations submitted by members. The nominee receiving the most votes shall be appointed. Appointees shall serve a term of two (2) years and may be reappointed to additional two (2) year terms. If the child of the parent member or alternate parent member ceases to be a consumer of services and supports within the system of care during the term of appointment, the member shall be eligible to serve out the remainder of the term of appointment. The alternate parent member may attend and participate in all council meetings but shall vote only in the absence of the parent member. The parent member and alternate parent member shall receive no compensation in addition to that which they may already receive as service providers or state employees who are required to attend as part of their duties, but the parent member and alternate parent member shall be reimbursed for expenses incurred through the performance of their duties as council members if it is outside the scope of their job duties;
    3. The chairperson of the council shall appoint one (1) youth between the ages of sixteen (16) and twenty-five (25), who has a behavioral health disorder and who is receiving or has received services to address mental health, substance use, or co-occurring mental health and substance use disorder, to serve as a member of the council, and one (1) youth who meets the same criteria to serve as the youth member’s alternate in the absence of the youth member. For each appointment to be made, the State Interagency Council for Services and Supports to Children and Transition-Age Youth shall vote on nominations submitted by members. The nominee receiving the most votes shall be appointed. Appointees shall serve a term of two (2) years and may be reappointed to additional two (2) year terms, and the youth member and the youth member’s alternate shall be eligible to serve out the remainder of their term of appointment regardless of age. The alternate youth member may attend and participate in all council meetings but shall vote only in the absence of the youth member. The youth member and alternate youth member shall receive no compensation in addition to that which they may already receive as service providers or state employees who are required to attend as part of their duties, but the youth member and alternate youth member shall be reimbursed for expenses incurred through the performance of their duties as council members if it is outside the scope of their job duties;
    4. The chairperson of the council shall appoint one (1) member of a nonprofit family organization representing consumers of services and supports within the system of care whose membership, leadership, and governance include parents, primary caregivers, or children or transition-age youth with serious emotional, behavioral, or mental health needs, to serve as a member of the council. For each appointment to be made, the chair shall publicly post on the State Interagency Council for Services and Supports to Children and Transition-Age Youth Web site a solicitation for letters of interest from qualified organizations and submit all qualified responses to a vote of the full membership. The organization which receives the most votes shall designate a representative to serve a term of two (2) years, and may be reappointed to additional two (2) year terms. The family organization member shall receive no compensation in addition to that which the member may already receive as an employee who is required to attend as part of his or her duties, but shall be reimbursed for expenses incurred through the performance of duties as a council member if it is outside the scope of his or her job duties; and
    5. At the end of a term, a member shall continue to serve until a successor is appointed.
  2. The State Interagency Council for Services and Supports to Children and Transition-Age Youth shall:
    1. Make recommendations annually to the Governor and the Legislative Research Commission regarding the system of care for children and transition-age youth with or at risk of behavioral health needs;
    2. Direct each regional interagency council to:
      1. Operate as the regional locus of accountability for the system of care; and
      2. Participate in family accountability, intervention, and response teams established pursuant to KRS 605.035 ;
    3. Assess the effectiveness of regional councils in serving as the locus of accountability for the system of care for children and transition-age youth with or at risk of behavioral health needs;
    4. Meet at least monthly and maintain records of meetings; and
    5. Develop a comprehensive array of services and supports to meet the needs of children and transition-age youth with or at risk of developing behavioral health needs.
  3. Agencies represented on the state council shall adopt interagency agreements as necessary to advance the system of care.
  4. The State Interagency Council for Services and Supports to Children and Transition-Age Youth may promulgate administrative regulations necessary to comply with the requirements of KRS 200.501 to 200.509 .

HISTORY: Enact. Acts 1990, ch. 266, § 3, effective July 13, 1990; 1992, ch. 24, § 3, effective July 14, 1992; 1994, ch. 384, § 2, effective July 15, 1994; 1996, ch. 303, § 2, effective July 15, 1996; 1996, ch. 318, § 94, effective July 15, 1996; 1998, ch. 426, § 166, effective July 15, 1998; 2000, ch. 14, § 27, effective July 14, 2000; 2004, ch. 119, § 1, effective July 13, 2004; 2005, ch. 99, § 202, effective June 20, 2005; 2012, ch. 146, § 29, effective July 12, 2012; 2012, ch. 158, § 22, effective July 12, 2012; 2014, ch. 132, § 18, effective July 15, 2014; 2018 ch. 120, § 3, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Office for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

200.507. Reimbursement of expenses.

No member of the State Interagency Council shall receive compensation other than that received as a state employee, except that the parent and youth members, alternate parent and youth members, and family organization members shall be reimbursed for all expenses incurred through the performance of their duties as council members.

HISTORY: Enact. Acts 1990, ch. 266, § 4, effective July 13, 1990; 1992, ch. 24, § 4, effective July 14, 1992; 1998, ch. 426, § 167, effective July 15, 1998; 2005, ch. 99, § 203, effective June 20, 2005; 2018 ch. 120, § 4, effective July 14, 2018.

200.508. Rights of children and transition-age youth with a serious emotional disability and their parents, custodians, or guardians.

A child or transition-age youth with a serious emotional disability and the parent, person exercising custodial control or supervision, or guardian of that individual shall have the same rights as anyone receiving behavioral health services through a provider, and:

  1. Be adequately informed as to priorities, philosophy, and policies of the regional interagency council;
  2. Be informed in advance of scheduled regional or local interagency council meetings;
  3. Be informed of behavioral health services and supports available to children and transition-age youth within their community; and
  4. Consult with existing advocacy groups for consultation and representation.

HISTORY: Enact. Acts 1992, ch. 24, § 6, effective July 14, 1992; 2018 ch. 120, § 5, effective July 14, 2018.

200.509. Regional interagency councils for the system of care in each area development district.

  1. There are hereby created regional interagency councils for the system of care. These councils shall be formed in each area development district within the Commonwealth of Kentucky, except that those area development districts that contain a county with a population greater than one hundred thousand (100,000) may form up to three (3) such councils. The regional interagency councils shall be chaired by one (1) member, chosen by a majority vote of the members. Each council shall be composed of the following members:
    1. The children’s services director from each regional community mental health center or their designee;
    2. One (1) court-designated specialist or court-designated worker chosen by the executive officer of the Department of Family and Juvenile Services of the Administrative Office of the Courts;
    3. One (1) special education cooperative representative with behavioral health experience chosen by the directors of cooperatives in the area served by the regional council;
    4. One (1) parent of a child with a behavioral health need, who is or has been a consumer of system of care services and supports, and one (1) parent who meets the same criteria to serve as the parent member’s alternate, who may attend and participate in all council meetings, but shall vote only in the absence of the parent member. For each appointment to be made, the regional interagency council for which the appointment is to be made shall submit to the chair of the State Interagency Council for Services and Supports to Children and Transition-Age Youth a list of two (2) names of parents who are qualified for appointment from which list the chair of the State Interagency Council for Services and Supports to Children and Transition-Age Youth shall make the appointment. Appointees shall serve a term of two (2) years, and may be reappointed to additional two (2) year terms. If the child of the parent member or alternate parent member ceases to be a consumer of system of care services and supports during the term of appointment, the member shall be eligible to serve out the remainder of the term of appointment;
    5. One (1) transition-age youth who has a behavioral health disorder and who is receiving or has received a service to address mental health, substance use, or co-occurring mental health and substance use disorder, and one (1) transition-age youth who meets the same criteria to serve as the youth member’s alternate in the absence of the youth member. For each appointment to be made, the regional interagency council for which the appointment is to be made shall submit to the chair of the State Interagency Council for Services and Supports to Children and Transition-Age Youth a list of two (2) names of transition-age youth who are qualified for appointment from which list the chair of the State Interagency Council for Services and Supports to Children and Transition-Age Youth shall make the appointment. Appointees shall serve a term of two (2) years, and may be reappointed to additional two (2) year terms. If the youth member or alternate youth member ceases to be a consumer of system of care services and supports during the term of appointment, the member shall be eligible to serve out the remainder of the term of appointment;
    6. Any other local public or private agency that provides services and supports to children and transition-age youth with behavioral health needs which the regional interagency council may invite to have a representative become a permanent or temporary member of the council; and
    7. One (1) representative from each of the Department of Juvenile Justice, family resource and youth services centers, the Kentucky Office of Vocational Rehabilitation, the Department for Community Based Services, and local health departments.
  2. No member of a regional interagency council for the system of care shall be given compensation in addition to that which they already receive as service providers or state employees, except that the parent and youth members and alternate parent and youth members of regional interagency councils shall be reimbursed by the regional interagency council’s contracted fiscal agent for all expenses incurred through the performance of their duties as council members if it is outside the scope of their job duties.
  3. Each regional interagency council for the system of care shall perform the following functions:
    1. Conduct regional system of care planning and operations;
    2. Coordinate system-level continuous quality improvement;
    3. Identify and develop system of care expansion opportunities;
    4. Promote awareness of the system of care;
    5. Initiate and adopt interagency agreements as necessary for providing services and supports to children and transition-age youth with or at risk of behavioral health needs by the agencies represented in the regional council;
    6. Advise the state interagency council regarding the system of care within the region; and
    7. Participate in family accountability, intervention, and response teams established pursuant to KRS 605.035 .
  4. The secretary for health and family services and the designee of the State Department of Education shall ensure that regional interagency councils for the system of care are formed.
  5. Local interagency councils for the system of care may be formed at the discretion of a regional interagency council to advance the functions of the regional interagency council at the city, county, or other local community level.

HISTORY: Enact. Acts 1990, ch. 266, § 5, effective July 13, 1990; 1992, ch. 24, § 5, effective July 14, 1992; 1996, ch. 303, § 3, effective July 15, 1996; 1998, ch. 426, § 168, effective July 15, 1998; 2000, ch. 14, § 28, effective July 14, 2000; 2005, ch. 99, § 204, effective June 20, 2005; 2014, ch. 132, § 19, effective July 1, 2015; 2018 ch. 120, § 6, effective July 14, 2018.

Hemophilia Treatment

200.550. Hemophilia treatment program.

  1. The Office for Children with Special Health Care Needs shall establish a Hemophilia Treatment Program within the office for the detection, diagnosis and treatment of persons suffering from hemophilia. The Hemophilia Treatment Program shall assist those persons who require continuing treatment with blood, blood derivatives, or a manufactured pharmaceutical product to avoid crippling, hospitalization, or other effects associated with hemophilia, but who are unable to pay for the entire cost of such services on a continuing basis.
  2. The office shall also initiate activities with the advice of the Hemophilia Advisory Committee to:
    1. Develop standards for determining eligibility for the care and treatment of persons suffering from hemophilia;
    2. Assist in the development and expansion of programs for the diagnosis and treatment of hemophilia and related diseases including but not limited to home care and medical and dental procedures designed to provide maximum control over bleeding;
    3. Provide financial assistance either directly or indirectly to persons suffering from hemophilia for the purpose of obtaining blood, blood derivatives and concentrates, and other efficacious agents for use in hospital, medical and dental facilities as well as in the home;
    4. Provide for community educational programs for the detection of hemophilia and for the counseling of individuals and families suffering from hemophilia; and
    5. Conduct educational programs for physicians, dentists, hospitals, health departments, and the public concerning the methods of detection, diagnosis and treatment of persons who have hemophilia.

History. Repealed, reenact. and amend. Acts 1986, ch. 234, § 6, effective July 15, 1986; 1994, ch. 405, § 59, effective July 15, 1994.

Compiler's Notes.

This section was formerly compiled as KRS 211.750 (Enact. Acts 1976, ch. 63, § 3) and was repealed, reenacted and amended as this section by Acts 1986, ch. 234, § 6, effective July 15, 1986.

Legislative Research Commission Notes.

(8/23/2019). In 2018 Ky. Acts ch. 114, sec. 1, the General Assembly renamed the “Commission for Children with Special Health Care Needs” as the “Office for Children with Special Health Care Needs.” References to that “commission” were changed to “office” in subsections (1) and (2) of this statute. These name corrections should have been addressed when 2018 Ky. Acts ch. 114 was codified, but they weren’t. These changes are being made now under the authority of KRS 7.136(2).

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Commission for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

200.560. Hemophilia Advisory Committee.

  1. There is hereby created a Hemophilia Advisory Committee for the purpose of acting in an advisory capacity to the Office for Children with Special Health Care Needs regarding the hemophilia treatment program. The committee shall consist of nine (9) members. The executive director of the Office for Children with Special Health Care Needs shall be an ex officio member. The other eight (8) members of the committee shall be appointed by the Governor and shall hold office for a term of four (4) years and until their successors are appointed and qualify, except that of those members initially appointed the terms shall be as follows: two (2) members shall be appointed for one (1) year, two (2) for two (2) years, two (2) for three (3) years, and two (2) for four (4) years. Appointments shall be made one (1) from a list of three (3) nominees submitted by the following organizations: the Kentuckiana Chapter of the National Hemophilia Foundation, the Kentucky Medical Association, the Kentucky Pharmacists Association, and the Kentucky Hospital Association. The other four (4) appointive members shall be citizens residing within the Commonwealth who are hemophiliacs, parents of hemophiliacs, or health care providers interested in hemophilia.
  2. Each appointive member of the committee shall serve without compensation but shall be entitled to reimbursement for his actual and necessary expenses in carrying out his duties.
  3. Vacancies shall be filled for the unexpired term in the same manner as original appointments, maintaining representations as set out in subsection (1) of this section.
  4. The committee shall elect a chairman, vice chairman, and secretary from among its members at its first regular meeting in each fiscal year and shall adopt rules governing its proceedings. The committee shall hold a meeting at least once every three (3) months and such other special or regular meetings as may be desired.

History. Repealed, reenact. and amend. Acts 1986, ch. 234, § 7, effective July 15, 1986; 1994, ch. 405, § 60, effective July 15, 1994.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Office for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

Compiler's Notes.

This section was formerly compiled as KRS 211.740 (Enact. Acts 1976, ch. 62, § 2) and was repealed, reenacted and amended as this section by Acts 1986, ch. 234, § 7, effective July 15, 1986.

Family Preservation Services

200.575. Family preservation services programs.

  1. As used in this section, unless the context otherwise requires:
    1. “Department” means the Department for Community Based Services; and
    2. “Family preservation services” means programs that:
      1. Follow intensive, home-based service models with demonstrated effectiveness in reducing or avoiding the need for out-of-home placement;
      2. Provide such services that result in lower costs than would out-of-home placement; and
      3. Employ specially trained caseworkers who shall:
        1. Provide at least half of their services in the family’s home or other natural community setting;
        2. Provide direct therapeutic services available twenty-four (24) hours per day for a family;
        3. Aid in the solution of practical problems that contribute to family stress so as to effect improved parental performance and enhanced functioning of the family unit;
        4. Arrange for additional assistance, including but not limited to housing, child care, education, and job training, emergency cash grants, state and federally funded public assistance, and other basic support needs; and
        5. Supervise any paraprofessionals or “family aides” made available to provide specialized services or skills to manage everyday problems and better provide and care for children.
  2. The department shall be the lead administrative agency for family preservation services and may receive funding for the implementation of these services. The department shall:
    1. Provide the coordination of and planning for the implementation of family preservation services;
    2. Provide standards for family preservation services programs;
    3. Monitor these services to ensure they meet measurable standards of performance as set forth in state law and as developed by the department; and
    4. Provide the initial training and approve any ongoing training required by providers of family preservation services.
  3. The department may provide family preservation services directly or may contract to provide these services. In the event the department provides family preservation services with state caseworkers, those caseworkers and cases shall be excluded for the overall caseworker or case averages provided on a quarterly basis to the Legislative Research Commission and the Governor’s office under KRS 199.461 . Family preservation services caseworkers and cases shall be included in the report as a separate category.
  4. If the department contracts to provide family preservation services, the contract shall include:
    1. Requirements for acceptance of any client referred by the department for family preservation services;
    2. Caseload standards per caseworker;
    3. Provision of twenty-four (24) hour crisis intervention services to families served by the program;
    4. Minimum initial and ongoing training standards for family preservation services staff; and
    5. Internal programmatic evaluation and cooperation with external evaluation as directed by the department.
  5. Family preservation services shall be provided only to those children who are at actual, imminent risk of out-of-home placement:
    1. Who are at risk of commitment as dependent, abused, or neglected;
    2. Who are emotionally disturbed; and
    3. Whose families are in conflict such that they are unable to exercise reasonable control of the child.
  6. Families in which children are at risk of recurring sexual abuse perpetrated by a member of their immediate household who remains in close physical proximity to the victim or whose continued safety from recurring abuse cannot be reasonably ensured, shall not be eligible for family preservation services.
  7. The implementation of family preservation services shall be limited to those situations where protection can be ensured for children, families, and the community.
  8. The provision of family preservation services to a family shall constitute a reasonable effort by the Cabinet for Health and Family Services to prevent the removal of a child from the child’s home under KRS 620.140 , provided that the family has received timely access to other services from the Cabinet for Health and Family Services for which the family is eligible.
  9. Acceptance of family preservation services shall not be considered an admission to any allegation that initiated the investigation of the family, nor shall refusal of family preservation services be considered as evidence in any proceeding except where the issue is whether the Cabinet for Health and Family Services has made reasonable efforts to prevent removal of a child.
  10. No family preservation services program shall compel any family member to engage in any activity or refrain from any activity, which is not reasonably related to remedying any condition that gave rise, or which could reasonably give rise, to any finding of child abuse, neglect, or dependency.
  11. The commissioner of the department shall conduct and submit to the Child Welfare Oversight and Advisory Committee established in KRS 6.943 , an annual evaluation of the family preservation services, which shall include the following:
    1. The number of families receiving family preservation services, the number of children in those families, and the number of children in those families who would have been placed in out-of-home care if the family preservation services had not be available;
    2. Among those families receiving family preservation services, the number of children placed outside the home;
    3. The average cost per family of providing family preservation services;
    4. The number of children who remain reunified with their families six (6) months and one (1) year after completion of the family preservation services; and
    5. An overall evaluation of the progress of family preservation services programs during the preceding year, recommendations for improvements in the delivery of this service, and a plan for the continued development of family preservation services to ensure progress towards statewide availability.
  12. Nothing in this section shall prohibit the department from developing other in-home services in accordance with its statutory authority to promulgate administrative regulations in accordance with KRS Chapter 13A or to enter into contractual arrangements in accordance with KRS Chapter 45.

HISTORY: Enact. Acts 1990, ch. 265, § 1, effective July 13, 1990; repealed and reenacted by 2018 ch. 159, § 10, effective July 14, 2018.

200.580. Duty of secretary for health and family services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 2, effective July 13, 1990; 1998, ch. 426, § 169, effective July 15, 1998; 2005, ch. 99, § 205, effective June 20, 2005; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

200.585. Duty of Department for Community Based Services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 3, effective July 13, 1990; 1998, ch. 426, § 170, effective July 15, 1998; 2000, ch. 14, § 29, effective July 14, 2000; 2005, ch. 99, § 206, effective June 20, 2005; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

200.590. Eligibility to receive family preservation services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 4, effective July 13, 1990; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

200.595. Effect of furnishing and acceptance of family preservation services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 5, effective July 13, 1990; 1998, ch. 426, § 171, effective July 15, 1998; 2005, ch. 99, § 207, effective June 20, 2005; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

200.600. Annual evaluation of family preservation services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 6, effective July 13, 1990; 1992, ch. 319, § 1, effective July 14, 1992; 1998, ch. 426, § 172, effective July 15, 1998; 2005, ch. 99, § 208, effective June 20, 2005; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

200.605. Funding of family preservation services. [Repealed]

HISTORY: Enact. Acts 1990, ch. 265, § 7, effective July 13, 1990; 1998, ch. 426, § 173, effective July 15, 1998; 2005, ch. 99, § 209, effective June 20, 2005; repealed by 2018 ch. 159, § 58, effective July 14, 2018.

Early Intervention Services

200.650. Legislative findings.

The General Assembly hereby finds and declares that there is an urgent and substantial need:

  1. To enhance the development of all infants and toddlers with disabilities in the Commonwealth of Kentucky in order to minimize developmental delay, and to maximize individual potential for adult independence;
  2. To enhance the capacity of families to meet the needs of their infants and toddlers with disabilities;
  3. To reduce the educational costs by minimizing the need for special education and related services after infants and toddlers with disabilities reach school age;
  4. To reduce future social services costs and to minimize the likelihood of institutionalization of individuals with disabilities;
  5. To prevent secondary impairments and disabilities by improving the health of infants and toddlers, thereby reducing health costs for the families and the state; and
  6. To comply with federal law as it pertains to services for infants and toddlers with disabilities and their families.

History. Enact. Acts 1994, ch. 313, § 1, effective July 15, 1994.

200.652. Legislative declaration of policy.

It is the intent of the General Assembly that the policy of the Commonwealth of Kentucky shall be:

  1. To reaffirm the importance of the family in all areas of the child’s development and to reinforce the role of the family in the decision making processes regarding their children;
  2. To provide assistance and support to the family of an infant or toddler with a disability that addresses the individual needs of that family;
  3. To develop and implement a statewide, comprehensive, coordinated, multidisciplinary, interagency system of early intervention services for all infants and toddlers with disabilities and their families;
  4. To enhance the capacity to provide quality early intervention services and expand and improve existing early intervention services being provided to infants and toddlers with disabilities;
  5. To facilitate the coordination of payment for early intervention services from federal, state, local, and private insurance coverage, and the use of sliding fee scales; and
  6. To coordinate and provide individualized early intervention services to infants and toddlers with disabilities and their families.

History. Enact. Acts 1994, ch. 313, § 2, effective July 15, 1994.

200.654. Definitions for KRS 200.650 to 200.676.

As used in KRS 200.650 to 200.676 , unless the context requires otherwise:

  1. “Awards and contracts” means the state and federal funds designated by the cabinet for projects relating to planning, resource development, or provision of direct early intervention services, as defined in this section, to infants and toddlers with disabilities and their families;
  2. “Cabinet” means the Cabinet for Health and Family Services;
  3. “Child find” means a system to identify, locate, and evaluate all infants and toddlers with disabilities who are eligible for early intervention services, determine which children are receiving services, and coordinate the effort with other state agencies and departments;
  4. “Council” means the Kentucky Early Intervention System Interagency Coordinating Council;
  5. “District” means one (1) of the fifteen (15) area development districts;
  6. “District early intervention committee” means an interagency coordinating committee established within each of the fifteen (15) area development districts to facilitate interagency coordination at the district level;
  7. “Early intervention services” means services for infants and toddlers with disabilities and their families delivered according to an individualized family service plan developed by the child multidisciplinary team to meet the developmental needs of eligible children, as defined in this section, and provided by entities receiving public funds using qualified personnel. The individualized family services plan is developed and the services are provided in collaboration with the families and, to the maximum extent appropriate, in natural environments, including home and community settings in which infants and toddlers without disabilities would participate. These services are necessary to enable the child to reach maximum potential. Services to be made available shall include but not be limited to the following:
    1. Screening services;
    2. Evaluation services;
    3. Assessment services;
    4. Service coordination;
    5. Transportation and related costs for accessing early intervention services;
    6. Family services including counseling, psychological, and social work services;
    7. Health services including medical services for diagnostic and evaluation purposes only;
    8. Nutrition services;
    9. Occupational therapy services;
    10. Physical therapy services;
    11. Communication development services;
    12. Sensory development services;
    13. Developmental intervention services;
    14. Assistive technology services; and
    15. Respite services;
  8. “Early intervention system” means the management structure established in KRS 200.654 to 200.670 and which is comprised of the interdependent array of services and activities for the provision of a statewide, comprehensive, coordinated, multidisciplinary, interagency program for infants and toddlers with disabilities and their families;
  9. “Individual family service plan” means the singular comprehensive written service plan developed by the child’s multidisciplinary team, with the child’s parents serving as fully participating members of the team, to be followed by all agencies and other entities involved in providing early intervention services to an infant or toddler with disabilities and the child’s family;
  10. “Infants and toddlers with disabilities” and “eligible children” mean children from birth to thirty-six (36) months of age in need of early intervention services as a result of one (1) of the following circumstances:
    1. The child is experiencing developmental delays, as measured by diagnostic instruments and procedures in one (1) or more of the following skill areas: physical; cognitive; communication; social or emotional; or adaptive development;
    2. The child has a diagnosed physical or mental condition which has a high probability of resulting in developmental delay; or
    3. The child has a diagnosis of pervasive developmental disorder;
  11. “Multidisciplinary team” means the child-specific group responsible for determining the services needed by the infant or toddler with disabilities and the child’s family, and development of the individualized family services plan. The team for each child shall include the parent or guardian of the child and individuals representing at least two (2) applicable disciplines which may include but need not be limited to the following: physical therapy; speech therapy; social work; nursing; or education;
  12. “Point of entry” means an easily identifiable, highly accessible nonstigmatized entry into services; and
  13. “Qualified service provider” means an entity, including but not limited to an individual, program, department, or agency, responsible for the delivery of early intervention services to eligible infants and toddlers with disabilities and their families who has met the highest minimum standards of state-approved or recognized certification, licensing, registration, or other comparable requirements that apply to the area in which the entity is providing early intervention services.

History. Enact. Acts 1994, ch. 313, § 3, effective July 15, 1994; 1998, ch. 426, § 174, effective July 15, 1998; 2002, ch. 162, § 2, effective July 15, 2002; 2005, ch. 99, § 210, effective June 20, 2005.

200.656. Kentucky Early Intervention System.

There is hereby created in state government the Kentucky Early Intervention System to provide services for infants and toddlers with a disability and their families. For administrative purposes, the Kentucky Early Intervention System shall be attached to the Cabinet for Health and Family Services.

History. Enact. Acts 1994, ch. 313, § 4, effective July 15, 1994; 1998, ch. 426, § 175, effective July 15, 1998; 2005, ch. 99, § 211, effective June 20, 2005.

200.658. Kentucky Early Intervention System Interagency Coordinating Council — Membership — Duties — Annual report — Conflict of interest to bar voting.

  1. There is hereby created the Kentucky Early Intervention System Interagency Coordinating Council to be comprised of twenty-five (25) members to be appointed by the Governor to serve a term of three (3) years. The members of the council shall be geographically and culturally representative of the population of the Commonwealth and conform to the requirements of federal law and regulations. For administrative purposes, the council shall be attached to the Early Childhood Advisory Council. Pursuant to federal law and regulations, the membership shall be as follows:
    1. At least five (5) members shall be the parents, including minority parents, of a child with a disability who is twelve (12) years of age or less, with at least one (1) being the parent of a child six (6) years of age or less. Each parent shall have knowledge of or experience with programs for infants and toddlers with disabilities;
    2. At least five (5) members shall be public or private providers of early intervention services to infants and toddlers with disabilities;
    3. At least one (1) member shall be a member of the Kentucky General Assembly;
    4. At least one (1) member shall be representative of an entity responsible for personnel preparation and may include personnel from an institution of higher education or preservice training organization;
    5. At least one (1) member shall be the commissioner or individual serving in a position of equivalent authority, or the designee, from the Department for Public Health;
    6. At least one (1) member shall be the commissioner or individual serving in a position of equivalent authority, or the designee, from the Department for Medicaid Services;
    7. At least one (1) member shall be the commissioner or individual serving in a position of equivalent authority, or the designee, from the Department for Behavioral Health, Developmental and Intellectual Disabilities;
    8. At least one (1) member shall be the commissioner or individual serving in a position of equivalent authority, or the designee, from the Department for Community Based Services;
    9. At least one (1) member shall be the commissioner or designee of the Department of Education;
    10. At least one (1) member shall be the commissioner or designee of the Department of Insurance;
    11. At least one (1) member shall be a representative of the Office for Children with Special Health Care Needs;
    12. At least one (1) member shall be a representative for the Head Start program; and
    13. At least one (1) member shall be a representative of the Education of Homeless Children and Youth program.
  2. In matters concerning the Kentucky Early Intervention System, the council shall advise and assist the cabinet in areas, including but not limited to the following:
    1. Development and implementation of the statewide system and the administrative regulations promulgated pursuant to KRS 200.650 to 200.676 ;
    2. Achieving the full participation, coordination, and cooperation of all appropriate entities in the state, including, but not limited to, individuals, departments, and agencies, through the promotion of interagency agreements;
    3. Establishing a process to seek information from service providers, service coordinators, parents, and others concerning the identification of service delivery problems and the resolution of those problems;
    4. Resolution of disputes, to the extent deemed appropriate by the cabinet;
    5. Provision of appropriate services for children from birth to three (3) years of age;
    6. Identifying sources of fiscal and other support services for early intervention programs;
    7. Preparing applications to Part C of the Federal Individuals with Disabilities Education Act (IDEA) and any amendments to the applications;
    8. Transitioning of infants and toddlers with disabilities and their families from the early intervention system to appropriate services provided under Part B of the Federal Individuals with Disabilities Education Act (IDEA) operated by the state Department of Education; and
    9. Developing performance measures to assess the outcomes for children receiving services.
  3. The council shall prepare no later than December 30 of each year an annual report on the progress toward and any barriers to full implementation of the Kentucky Early Intervention System for infants and toddlers with disabilities and their families. The report shall include recommendations concerning the Kentucky Early Intervention System, including recommendations of ways to improve quality and cost effectiveness, and shall be submitted to the Governor, Legislative Research Commission, and the Secretary of the United States Department of Education.
  4. No member of the council shall cast a vote on any matter which would provide direct financial benefit to that member or otherwise give the appearance of the existence of a conflict of interest.

History. Enact. Acts 1994, ch. 313, § 5, effective July 15, 1994; 1998, ch. 426, § 176, effective July 15, 1998; 2000, ch. 14, § 30, effective July 14, 2000; 2000, ch. 308, § 7, effective July 14, 2000; 2003, ch. 69, § 5, effective June 24, 2003; 2006, ch. 180, § 7, effective July 12, 2006; 2010, ch. 24, § 302, effective July 15, 2010; 2012, ch. 146, § 30, effective July 12, 2012; 2012, ch. 158, § 23, effective July 12, 2012.

Compiler's Notes.

Parts C and B of the Federal Individuals with Disabilities Education Act (IDEA), referred to in subsections (2)(g) and (2)(h), are compiled as 20 USCS, § 1431 et seq. and 20 USCS § 1411 et seq., respectively.

Legislative Research Commission Notes.

(7/14/2018). Under the authority of KRS 7.136(2), one or more references to the “Commission for Children with Special Health Care Needs” in this statute have been changed in codification to the “Office for Children with Special Health Care Needs” to reflect the renaming of the commission by the General Assembly in 2018 Ky. Acts ch. 114.

(6/25/2013). A reference to the “Early Childhood Development Authority” in this statute has been changed in codification to the “Early Childhood Advisory Council” to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2012-586 and confirmed by the General Assembly in 2013 Ky. Acts ch. 57.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158, which do not appear to be in conflict and have been codified together.

200.660. Duties of the cabinet — Authority for administrative regulations.

The cabinet shall:

  1. Administer all funds appropriated to implement the provisions of KRS 200.650 to 200.676 ;
  2. Identify and coordinate all available financial resources for early intervention within the Commonwealth from federal, state, local, and private sources, including but not limited to:
    1. Title V of the Federal Social Security Act relating to maternal and child health;
    2. Title XIX of the Federal Social Security Act relating to Medicaid and the Early Periodic Screening Diagnostic and Treatment (EPSDT) program;
    3. The Federal Head Start Act;
    4. The Federal Individuals with Disabilities Education Act, Parts B and H;
    5. The Federal Elementary and Secondary Education Act of 1964 Title I, Chapter I, Part B, Subpart 2 as amended;
    6. The Federal Developmentally Disabled Assistance and Bill of Rights Act, P.L. 100-146;
    7. Other federal programs; and
    8. Private insurance.
  3. Develop a sliding fee scale of the cost of early intervention services to families, including those circumstances where no fee shall be required;
  4. Make available, in addition to the services specified in KRS 200.654(7), social skill development and behavioral therapy services to infants and toddlers with a diagnosis of pervasive developmental disorders;
  5. Enter into contracts with service providers within a local community aided by the district committee in identifying providers;
  6. Develop procedures to monitor and evaluate services that are provided to infants and toddlers with disabilities and their families;
  7. Develop procedures to ensure that early intervention services identified on the individualized family service plan are provided to eligible infants and toddlers with disabilities and their families in a timely manner pending resolution of any disputes among public agencies or service providers; and
  8. In conjunction with the council and district early intervention committees, promulgate administrative regulations, pursuant to KRS Chapter 13A, necessary to implement the provisions of KRS 200.650 to 200.676 .

History. Enact. Acts 1994, ch. 313, § 6, effective July 15, 1994; 2002, ch. 162, § 3, effective July 15, 2002.

Compiler’s Notes.

Title V of the federal Social Security Act, referred to in subsection (2)(a), is compiled as 42 USCS § 701 et seq. Title XIX of the Federal Social Security Act, referred to in subsection (2)(b), is compiled as 42 USCS § 1396 et seq. The Federal Head Start Act, referred to in subsection (2)(c), is compiled as 42 USCS § 9831 et seq. The Federal Individuals with Disabilities Education Act, Parts B and H, referred to in subsection (2)(d), is compiled as 20 USCS § 1411 et seq. and former § 1471 et seq. (A prior § 1471 et seq., P.L. 91-230, Title VI, Part H, § 671, et seq., was repealed, effective July 1, 1998, by Act June 4, 1997, P.L. 105-17, Title II, § 203(b), 111 Stat. 157. Such section set out congressional findings and policy with respect to infants and toddlers with disabilities.) The Federal Developmentally Disabled Assistance and Bill of Rights Act, P.L. 100-146, referred to in subsection (2)(f), was formerly compiled as 42 USCS § 6000 et seq. (now repealed).

The Federal Elementary and Secondary Education Act of 1964, Title I, Chapter I, Part B, Subpart 2, referred to in subsection (2)(e), was formerly compiled as 20 USCS § 2741 et seq., but those sections were omitted from the 1994 general revision of the Elementary and Secondary Education Act of 1964. For similar provisions, see 20 USCS § 6361 et seq.

200.662. District early intervention committee — Membership — Duties. [Repealed]

HISTORY: Enact. Acts 1994, ch. 313, § 7, effective July 15, 1994; 2000, ch. 14, § 31, effective July 14, 2000; 2012, ch. 146, § 31, effective July 12, 2012; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

200.664. Individualized family services plans.

  1. Upon identification of an eligible infant or toddler with disabilities, representatives of the entity serving as point of entry shall cause a multidisciplinary team, as defined in KRS 200.654 , to be created for the child and family.
  2. The multidisciplinary team shall develop an individualized family service plan, as defined in KRS 200.654 , for the child and family.
  3. The individualized family services plan shall include:
    1. A comprehensive multidisciplinary evaluation of the present level of development of and services needed by the child and an assessment of and plan to address the resources, priorities, and concerns of the family;
    2. An explanation of the multidisciplinary evaluation and all service options to be made available in the family’s cultural language, in their primary mode of communication, or through a speech or language interpreter, whichever is necessary to facilitate comprehension.
  4. The plan shall be developed within forty-five (45) days of the referral date of the child and family to the point of entry. If the completion of the initial evaluation and assessment is delayed and will not be completed within the forty-five (45) day time period due to the request of the child’s parent, illness of the child, or other reasonable circumstances beyond the control of the multidisciplinary team, the point of entry shall document the reason for the delay and shall develop and implement an interim individualized family service plan.
  5. The informed written consent of the parent or guardian is required prior to the implementation of the plan. The parent may reject some services contained in the plan, however, no services to which the parent consents shall be withheld if the parent does not consent to all services in the plan.
  6. The parent or guardian shall sign an agreement to accept responsibility for being an active participant in the child’s plan and for learning skills from providers so that the intensity and frequency of services may decline as the child reaches appropriate developmental levels and the family is able to do more for the child.
  7. The plan shall be reviewed by members of the child’s current multidisciplinary team or other appropriate entities at no more than six (6) month intervals or more frequently if deemed appropriate based on the needs of the infant or toddler and the family. The child shall be evaluated at least annually to determine continuing program eligibility and the effectiveness of services provided to the child.

History. Enact. Acts 1994, ch. 313, § 8, effective July 15, 1994; 2003, ch. 69, § 6, effective June 24, 2003.

200.666. Cabinet’s monitoring of personnel standards for service providers — Personnel development.

  1. The cabinet shall monitor personnel standards for service providers to ensure the qualified service providers necessary to carry out the provisions of KRS 200.650 to 200.676 are appropriately and adequately prepared and trained in order to comply with the requirements of federal law and regulations.
  2. The cabinet shall provide the components of a comprehensive system of personnel development which shall include:
    1. Preservice and inservice training conducted on an interdisciplinary basis to the extent appropriate; and
    2. Training provided for a variety of entities, including but not limited to, public and private providers, primary referral sources, parents, paraprofessionals, and persons who serve as professional service coordinators or case managers.
  3. Training may include:
    1. Implementing innovative strategies and activities for the recruitment and retention of early intervention service providers;
    2. Promoting the preparation of early intervention providers who are fully and appropriately qualified to provide early intervention;
    3. Training personnel to work in rural areas; and
    4. Recruiting and training personnel to coordinate transition services for infants and toddlers with disabilities from an early intervention program to a preschool program.
  4. The cabinet shall coordinate with other agencies in the provision of the comprehensive system of personnel development activities.

History. Enact. Acts 1994, ch. 313, § 9, effective July 15, 1994.

200.668. Identification of eligible infants and toddlers.

The cabinet shall attempt to identify all infants and toddlers eligible for Kentucky Early Intervention System services through implementation of an aggressive child find effort to be coordinated with the child find efforts of the Department of Education as set forth in administrative regulations promulgated pursuant to KRS 156.070 , 156.160 , 157.220 , 157.260 , 167.015 , and KRS Chapter 13A.

History. Enact. Acts 1994, ch. 313, § 10, effective July 15, 1994.

200.670. Public awareness effort.

In order to ensure access to early intervention services, the cabinet shall establish an effective and continuous public awareness effort. The effort shall:

  1. Be directed at a number of primary referral sources, utilizing a means and language which is understandable, accessible, responsive, and cognizant of the referral sources’ needs and their abilities to respond to those needs;
  2. Reinforce the coordinated and family-centered nature of all early intervention programs within the comprehensive statewide system of services; and
  3. Be relevant and meaningful to parents and to the general public.

History. Enact. Acts 1994, ch. 313, § 11, effective July 15, 1994.

200.672. Rights of disabled child, parent, or guardian being served by the system.

Kentucky’s participation in Part C of the Federal Individuals with Disabilities Education Act requires that an infant or toddler with a disability who is being served by the Kentucky Early Intervention System and the parent or guardian of that child shall have the following rights:

  1. To a timely, multidisciplinary evaluation and assessment;
  2. To appropriate early intervention services for children and families;
  3. To refuse evaluation, assessment, or services;
  4. To written notice before a change is made in the identification, evaluation, or placement of the child, or in the provision of services to the child or family;
  5. To written notice before a refusal of services is made in the identification, evaluation, or placement of the child, or in the provision of services to the child or family;
  6. To confidentiality of personally identifiable information, including the right of the parent or guardian to be provided written notice of, and written consent to, the exchange of information among agencies, consistent with federal and state laws;
  7. To determine if any family member will accept or decline an early intervention service under KRS 200.650 to 200.676 , in accordance with state law, without jeopardizing other early intervention services under KRS 200.650 to 200.676 ;
  8. To review all records and, if appropriate, to amend records;
  9. To bring an advocate or attorney into any and all dealings with the early intervention system; and
  10. To administrative process and judicial review in accordance with KRS Chapter 13B to resolve complaints.

History. Enact. Acts 1994, ch. 313, § 12, effective July 15, 1994; 1996, ch. 318, §§ 92, 95, effective July 15, 1996; 2000, ch. 10, § 1, effective July 14, 2000.

Compiler’s Notes.

Part C of the Federal Individuals with Disabilities Education Act, referred to in the introductory language, is compiled as 20 USCS § 1431 et seq.

Legislative Research Commission Notes.

(7/15/96). This statute was amended by 1996 Ky. Acts ch. 318, secs. 92 and 95, which are in conflict. Section 95 prevails as the last section in order of position. See Home Folks Mobile Homes, Inc. v. Revenue Cabinet, 700 S.W.2d 75 (Ky. Ct. App. 1985).

200.674. Restriction of use of early intervention funds — Maintenance of July 1, 1993 funding level.

The use of early intervention funds provided under KRS 200.650 to 200.676 shall not be used to supplant existing funds from other sources. All local and state programs for infants and toddlers with disabilities and their families shall maintain the funding which supported programs for infant and toddler and their families at levels as of July 1, 1993.

History. Enact. Acts 1994, ch. 313, § 13, effective July 15, 1994.

200.676. Construction of KRS 200.650 to 200.676.

Nothing in KRS 200.650 to 200.676 shall be construed to permit the following:

  1. The reduction of local, state, or federal medical or other assistance available for infants and toddlers with disabilities and their families;
  2. The alteration of eligibility under Title V of the Federal Social Security Act relating to maternal and child health;
  3. The alteration of eligibility under Title XIX of the Federal Social Security Act relating to Medicaid for infants and toddlers with disabilities; or
  4. The reduction of early intervention services provided by any state department or agency.

History. Enact. Acts 1994, ch. 313, § 14, effective July 15, 1994.

Compiler’s Notes.

Title V of the federal Social Security Act, referred to in subsection (2), is compiled as 42 USCS § 701 et seq. Title XIX of the federal Social Security Act, referred to in subsection (3), is compiled as 42 USCS § 1396 et seq.

Early Childhood Services

200.700. Early Childhood Advisory Council — Membership — Meetings. [Effective until June 29, 2021]

  1. The Early Childhood Advisory Council is established as a public agency and political subdivision of the Commonwealth with all powers, duties, and responsibilities conferred upon it by statute and essential to perform its functions including but not limited to employing other persons, consultants, attorneys, and agents. The council shall be attached to the Office of the Governor for administrative purposes and shall establish necessary advisory councils. The secretary of the Education and Workforce Development Cabinet or the secretary’s designee shall be the appointing authority for the council pursuant to KRS Chapter 18A. The council shall have the ability to make expenditures from the early childhood development fund and shall ensure that expenditures made from the early childhood development fund are in conformance with its duties as established by the General Assembly.
  2. The council shall be headed by an executive director appointed by the Governor pursuant to KRS 12.040 . The executive director shall report to the secretary of the Education and Workforce Development Cabinet or the secretary’s designee.
  3. The council shall consist of the following twenty-six (26) members:
    1. The state director of Head Start Collaboration;
    2. The secretary of the Education and Workforce Development Cabinet or designee;
    3. The secretary of the Cabinet for Health and Family Services or designee;
    4. One (1) nonvoting ex officio member from the House of Representatives who shall be appointed by and serve at the pleasure of the Speaker of the House;
    5. One (1) nonvoting ex officio member from the Senate who shall be appointed by and serve at the pleasure of the President of the Senate;
    6. Six (6) private sector members knowledgeable about the health, mental health, education, and development of prenatal to school entry children who shall be appointed by the Governor. One (1) private sector member shall be appointed from each congressional district;
    7. Seven (7) citizens at large of the Commonwealth who shall be appointed by the Governor;
    8. One (1) early childhood development advocate who shall be appointed by the Governor;
    9. One (1) member representing higher education with expertise in early childhood who shall be appointed by the Governor; and
    10. Six (6) members appointed by the Governor, including one (1) member from a Head Start program located in the state, one (1) member from a local education agency, one (1) member from the state agency responsible for education, one (1) member from the state agency responsible for child care, one (1) member from the state agency responsible for Part C of the Individuals with Disabilities Education Act (IDEA), and one (1) member from the state agency for health and mental health.
    1. The initial terms of the private sector and citizen-at-large members of the council shall be for: (4) (a) The initial terms of the private sector and citizen-at-large members of the council shall be for:
      1. One (1) year for five (5) of the initial terms;
      2. Two (2) years for five (5) of the initial terms;
      3. Three (3) years for six(6) of the initial terms; and
      4. Four (4) years for five(5) of the initial appointments.
    2. All succeeding appointments shall be for four (4) years from the expiration date of the preceding appointment. The private and citizen-at-large members shall serve no more than two (2) full successive terms. A term shall expire on June 30 in the appropriate year.
    3. Members shall serve until a successor has been appointed. If a vacancy on the council occurs, the Governor shall appoint a replacement for the remainder of the unexpired term except for the members appointed by the Speaker of the House and President of the Senate.
    4. The members and nonmember appointees of the council shall comply with the gift and conflict of interest statutes in KRS Chapter 11A. Any conflict of interest issue shall be submitted to the Executive Branch Ethics Commission for resolution.
    5. The Governor shall appoint the chair of the council from the private sector or citizen-at-large membership.
    6. The chair may appoint nonmembers of the council to committees or workgroups.
  4. Private sector and citizen-at-large members and nonmembers appointed to a committee or workgroup shall serve without compensation but shall be reimbursed for reasonable and necessary expenses in accordance with state travel expenses and reimbursement administrative regulations.
  5. In making appointments to the council, the Governor shall assure broad geographical, ethnic, and gender diversity representation from the major sectors of Kentucky’s early childhood development community. In filling vacancies, the Governor shall attempt to assure the continuing representation on the council of broad constituencies of Kentucky’s early childhood development community.
  6. The council shall meet at least quarterly and at other times upon call of the chair or a majority of the council.
  7. Members of the council shall serve on a voluntary basis and be reimbursed for their expenses in accordance with state travel expense and reimbursement administrative regulations.

History. Enact. Acts 2000, ch. 308, § 1, effective July 14, 2000; 2005, ch. 99, § 49, effective June 20, 2005; 2006, ch. 211, § 119, effective July 12, 2006; 2009, ch. 11, § 61, effective June 25, 2009; 2013, ch. 57, § 6, effective June 25, 2013.

Compiler’s Notes.

Section 29 of Acts 2000, ch. 308, effective July 14, 2000, read:

“As used in subsection (1) of Section 1 of this Act [this section], ‘early childhood development fund’ means the fund with that name created in House Bill 583 of this 2000 Regular Session from a distribution of moneys in the tobacco settlement agreement fund established by KRS 248.654 , or created in other legislation of this 2000 Regular Session.”

Section 30 of Acts 2000, ch. 308, effective July 14, 2000, read:

“This Act may be cited as the Early Childhood Development Act.”

200.700. Early Childhood Advisory Council — Membership — Meetings. [Effective June 29, 2021]

  1. The Early Childhood Advisory Council is established as a public agency and political subdivision of the Commonwealth with all powers, duties, and responsibilities conferred upon it by statute and essential to perform its functions including but not limited to employing other persons, consultants, attorneys, and agents. The council shall be attached to the Education and Workforce Development Cabinet for administrative purposes and shall establish necessary advisory councils. The secretary of the Education and Workforce Development Cabinet or the secretary’s designee shall be the appointing authority for the council pursuant to KRS Chapter 18A. The council shall have the ability to make expenditures from the early childhood development fund and shall ensure that expenditures made from the early childhood development fund are in conformance with its duties as established by the General Assembly.
  2. The council shall be headed by an executive director appointed by the Governor pursuant to KRS 12.040 . The executive director shall report to the secretary of the Education and Workforce Development Cabinet or the secretary’s designee.
  3. The council shall consist of the following twenty-six (26) members:
    1. The state director of Head Start Collaboration;
    2. The secretary of the Education and Workforce Development Cabinet or designee;
    3. The secretary of the Cabinet for Health and Family Services or designee;
    4. One (1) nonvoting ex officio member from the House of Representatives who shall be appointed by and serve at the pleasure of the Speaker of the House;
    5. One (1) nonvoting ex officio member from the Senate who shall be appointed by and serve at the pleasure of the President of the Senate;
    6. Six (6) private sector members knowledgeable about the health, mental health, education, and development of prenatal to school entry children who shall be appointed by the Governor. One (1) private sector member shall be appointed from each congressional district;
    7. Seven (7) citizens at large of the Commonwealth who shall be appointed by the Governor;
    8. One (1) early childhood development advocate who shall be appointed by the Governor;
    9. One (1) member representing higher education with expertise in early childhood who shall be appointed by the Governor; and
    10. Six (6) members appointed by the Governor, including one (1) member from a Head Start program located in the state, one (1) member from a local education agency, one (1) member from the state agency responsible for education, one (1) member from the state agency responsible for child care, one (1) member from the state agency responsible for Part C of the Individuals with Disabilities Education Act (IDEA), and one (1) member from the state agency for health and mental health.
    1. The initial terms of the private sector and citizen-at-large members of the council shall be for: (4) (a) The initial terms of the private sector and citizen-at-large members of the council shall be for:
      1. One (1) year for five (5) of the initial terms;
      2. Two (2) years for five (5) of the initial terms;
      3. Three (3) years for six (6) of the initial terms; and
      4. Four (4) years for five (5) of the initial appointments.
    2. All succeeding appointments shall be for four (4) years from the expiration date of the preceding appointment. The private and citizen-at-large members shall serve no more than two (2) full successive terms. A term shall expire on June 30 in the appropriate year.
    3. Members shall serve until a successor has been appointed. If a vacancy on the council occurs, the Governor shall appoint a replacement for the remainder of the unexpired term except for the members appointed by the Speaker of the House and President of the Senate.
    4. The members and nonmember appointees of the council shall comply with the gift and conflict of interest statutes in KRS Chapter 11A. Any conflict of interest issue shall be submitted to the Executive Branch Ethics Commission for resolution.
    5. The Governor shall appoint the chair of the council from the private sector or citizen-at-large membership.
    6. The chair may appoint nonmembers of the council to committees or workgroups.
  4. Private sector and citizen-at-large members and nonmembers appointed to a committee or workgroup shall serve without compensation but shall be reimbursed for reasonable and necessary expenses in accordance with state travel expenses and reimbursement administrative regulations.
  5. In making appointments to the council, the Governor shall assure broad geographical, ethnic, and gender diversity representation from the major sectors of Kentucky’s early childhood development community. In filling vacancies, the Governor shall attempt to assure the continuing representation on the council of broad constituencies of Kentucky’s early childhood development community.
  6. The council shall meet at least quarterly and at other times upon call of the chair or a majority of the council.
  7. Members of the council shall serve on a voluntary basis and be reimbursed for their expenses in accordance with state travel expense and reimbursement administrative regulations.

HISTORY: Enact. Acts 2000, ch. 308, § 1, effective July 14, 2000; 2005, ch. 99, § 49, effective June 20, 2005; 2006, ch. 211, § 119, effective July 12, 2006; 2009, ch. 11, § 61, effective June 25, 2009; 2013, ch. 57, § 6, effective June 25, 2013; 2021 ch. 99, § 3, effective June 29, 2021.

200.703. Duties of Early Childhood Advisory Council — Implementation of programs — Plan for identification of early childhood development funding priorities — Disbanding or suspension of councils — Expiration of authority, councils, and initiatives — Requests for proposals.

  1. The Early Childhood Advisory Council is responsible for the following:
    1. Promoting the vision for Kentucky’s early childhood system;
    2. Advocating for improved quality of early childhood services;
    3. Promoting the definition of school readiness and the expanded and appropriate use of the early childhood standards;
    4. Strengthening state, regional, and local level coordination and collaboration among the various sectors and settings of early childhood programs in the state;
    5. Identifying opportunities and strategies to reduce barriers to coordination and collaboration among existing private, federal, and state-funded early childhood programs;
    6. Developing and implementing recommendations for:
      1. Increasing overall participation of children in existing federal, state, and local child care and early education programs, including outreach to underrepresented and special populations;
      2. Establishing or improving core elements of the state early childhood system;
      3. Enhancing the professional development system and career ladder for early childhood educators and caregivers; and
      4. Promoting high-quality state early learning standards and undertaking efforts to ensure the development and use of high-quality comprehensive early learning standards, as appropriate;
    7. Assessing the capacity and effectiveness of institutes of higher education in the state toward supporting the development of early childhood educators;
    8. Facilitating the development or enhancement of high-quality systems of early childhood care and education designed to improve school readiness through one (1) or more of the following activities:
      1. Promoting school preparedness of children from birth through school entry;
      2. Supporting professional development, recruitment, and retention initiatives for early childhood educators and caregivers;
      3. Enhancing existing early childhood education and development programs and services;
      4. Carrying out other activities consistent with the state’s plan and application; and
      5. Establishing priorities for programs and the expenditure of funds that include but are not limited to the following:
        1. Implementation of public health initiatives identified by the General Assembly, including those listed in KRS 211.690 and 199.8945 ;
        2. Provision of preconception and prenatal vitamins, with priority for folic acid for the prevention of neural tube defects;
        3. Voluntary immunization for children not covered by public or private health insurance;
        4. Expanding availability of high-quality, affordable early child-care and education options; and
        5. Increasing public awareness of the importance of the early childhood years for the well-being of all of Kentucky’s citizens;
    9. Requesting reports and issuing progress updates on state and federally funded services that impact the quality of Kentucky’s early childhood system;
    10. Receiving, requesting, and utilizing, consistent with this section, federal, state, and private funds, including from philanthropic sources;
    11. Involving the corporate community, county judge/executives, and mayors in supporting issues of importance to working families with young children in the Commonwealth;
    12. Collecting and disseminating information about the various ways business and local government can become involved in supporting early childhood; and
    13. Other duties and responsibilities as designated by the Governor.
  2. The council shall develop a state plan on a biennial basis that identifies early childhood development funding priorities. Every two (2) years the council shall review its priorities and make necessary adjustments to its state plan. The state plan shall incorporate priorities included in the final report and recommendations of the Governor’s Task Force on Early Childhood Development and Education, November 2010, and recommendations identified by the community early childhood councils. The council shall file a report on the state plan with the Governor and the Legislative Research Commission by July 15 of odd-numbered years.
  3. Programs funded by the council shall be implemented by the appropriate agencies within the Cabinet for Health and Family Services, the Education and Workforce Development Cabinet, the Finance and Administration Cabinet, or other appropriate administrative agency.
  4. The council shall assure that a public hearing is held on the expenditure of funds. Advertisement of the public hearing shall be published at least once but may be published two (2) more times, if one (1) publication occurs not less than seven (7) days nor more than twenty-one (21) days before the scheduled date of the public hearing.
  5. The council shall promulgate administrative regulations in accordance with KRS Chapter 13A to:
    1. Coordinate and improve early childhood development services, outcomes, and policies;
    2. Establish procedures that relate to its governance;
    3. Designate service areas of the Commonwealth where the community early childhood councils may be established to identify and address the early childhood development needs of young children and their families for the communities that they serve;
    4. Establish procedures that relate to the monitoring of grants, services, and activities of the community early childhood councils and their governance;
    5. Establish procedures for accountability and measurement of the success of programs that receive funds from the council; and
    6. Establish standards for the payment of funds to a designated service provider and grantee of a community early childhood council. These standards shall include requirements relating to:
      1. The financial management of funds paid to grantees;
      2. The maintenance of records; and
      3. An independent audit of the use of grant funds.
  6. The council may disband or suspend a community early childhood council, and may remove one (1) or more members for nonperformance or malfeasance. The council may also recover funds that have been determined by the council to have been misappropriated or misspent in relation to a grant award.
  7. An appeal to the council may be made by a community early childhood council as to a decision made by the council on the disbanding or suspension of a community early childhood council, service provider, or grantee on a determination that funds have been misappropriated or misspent and are subject to recovery. The appeal shall be conducted in accordance with KRS Chapter 13B.
  8. The council, community early childhood councils established by the council, and initiatives funded by the council with expenditures from the early childhood development fund shall expire when:
    1. Funds are no longer designated to the Commonwealth from the master settlement agreement signed on November 22, 1998, between the participating tobacco manufacturers and the forty (40) settling states or related federal legislation; or
    2. Funds are no longer designated to the early childhood development fund from gifts, grants, or federal funds to fund the council, the community early childhood councils established by the council, or any programs that had been funded by the council with expenditures from the early childhood development fund.
  9. The council shall develop a request for proposal process by which local early childhood councils may request any funding appropriated to the council for use by the councils.

History. Enact. Acts 2000, ch. 308, § 2, effective July 14, 2000; 2005, ch. 127, § 7, effective March 18, 2005; 2005, ch. 99, § 50, effective June 20, 2005; 2006, ch. 211, § 120, effective July 12, 2006; 2009, ch. 11, § 62, effective June 25, 2009; 2013, ch. 57, § 7, effective June 25, 2013.

Legislative Research Commission Notes.

(6/20/2005) 2005 Ky. Acts ch. 127, which included an amendment to this section, KRS 200.703 , provides that the Act shall be cited as the “Read to Achieve Act of 2005.”

200.705. Duties of Department of Education to early childhood entities.

The Department of Education shall provide staffing and administrative support to:

  1. The Early Childhood Advisory Council;
  2. The Early Childhood Professional Development Council; and
  3. The Kentucky Early Intervention System Interagency Coordinating Council.

History. Enact. Acts 2000, ch. 308, § 3, effective July 14, 2000; 2006, ch. 211, § 121, effective July 12, 2006.

Legislative Research Commission Notes.

(6/25/2013). In codification, a reference to the Early Childhood Business Council has been removed from the list in this statute of agencies the Department of Education must provide staffing and administrative support to because the statute creating the Early Childhood Business Council (KRS 200.709 ) was repealed in 2013 Ky. Acts ch. 57, sec. 10. The Reviser of Statutes has corrected this manifest clerical or typographical error under the authority of KRS 7.136(1)(h).

(6/25/2013). A reference to the “Early Childhood Development Authority” in this statute has been changed in codification to the “Early Childhood Advisory Council” to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2012-586 and confirmed by the General Assembly in 2013 Ky. Acts ch. 57.

200.707. Community early childhood councils.

  1. The Early Childhood Advisory Council may recognize and fund a community early childhood council. A council shall be composed of no fewer than seven (7) and no more than twenty-seven (27) members. Each council shall be composed of at least one (1) member representing local agencies or organizations from profit, nonprofit, or family child care, Head Start or Early Head Start, and each school district in its designated service area. Other members may be appointed who represent local agencies and organizations, including, but not limited to, the organizations or agencies listed:
    1. Early childhood advocate;
    2. Faith community;
    3. Family resource center;
    4. Military establishment;
    5. Child-care resource and referral agency or child-care subsidy agent;
    6. Child-care consumer or parent;
    7. County cooperative extension service;
    8. Department for public health;
    9. University, college, or technical school;
    10. United Way;
    11. Kentucky Early Intervention System;
    12. Agency administering services to children with disabilities;
    13. Home visitation agency;
    14. Family literacy agency;
    15. Civic organization;
    16. Public library;
    17. Regional training center;
    18. Community action agency;
    19. Government;
    20. Business community;
    21. Home schooling association;
    22. Health care professional;
    23. Foster care parent; or
    24. Adoptive parent.
  2. Members shall serve on a community early childhood council on a voluntary basis and receive no compensation or expense reimbursement for their service.
    1. Members shall serve for a term of two (2) years and until their successors are appointed, except that for those members initially appointed, the terms shall be as follows: (3) (a) Members shall serve for a term of two (2) years and until their successors are appointed, except that for those members initially appointed, the terms shall be as follows:
      1. One-third (1/3) of the members shall be appointed for three (3) years;
      2. One-third (1/3) shall be appointed for two (2) years; and
      3. One-third (1/3) shall be appointed for one (1) year.
    2. Vacancies shall be appointed for unexpired terms in the same manner as original appointments.
  3. A community early childhood council shall collaborate with the District Early Intervention Committee, the Preschool Interagency Planning Council, and other existing interagency groups in the service area.
  4. A community early childhood council may apply for a competitive grant from the Early Childhood Advisory Council, consistent with a state plan for grant participation as established by the Early Childhood Advisory Council. Grant proposals shall:
    1. Include a needs assessment and budget proposal for the respective service area served by a community early childhood council;
    2. Not include administrative costs that exceed five percent (5%); and
    3. Contain a signed statement from each member of the community early childhood council certifying that no program, agency, or individual that may receive part of an award would constitute a conflict of interest under KRS Chapter 11A for the council member. Issues concerning conflicts of interest shall be submitted to the Executive Branch Ethics Commission for resolution.
  5. A community early childhood council shall submit an annual report to the Early Childhood Advisory Council that details the activities and services of the community early childhood council, including the progress that the community early childhood council has made toward addressing the early childhood development and school readiness goals for its designated service area and recommendations that may be included in the state plan.
  6. Any records that are in the custody of a community early childhood council, a designated service provider, or a grantee that contain personal and identifying information relating to a family or children receiving services through the council shall be confidential and not subject to public disclosure, except as otherwise authorized by law.

History. Enact. Acts 2000, ch. 308, § 4, effective July 14, 2000; 2013, ch. 57, § 8, effective June 25, 2013.

200.709. Early Childhood Business Council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 308, § 5, effective July 14, 2000; 2006, ch. 211, § 122, effective July 12, 2006) was repealed by Acts 2013, ch. 57, § 10, effective June 25, 2013.

200.711. Early Childhood Professional Development Council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 2000, ch. 308, § 6, effective July 14, 2000) was repealed by Acts 2006, ch. 211, § 170, effective July 12, 2006.

CHAPTER 201 Jefferson County Children’s Home

201.010. Definitions.

As used in this chapter unless the context otherwise requires:

  1. “Home” means the institution to be established and maintained in any county having a city of the first class, in conformity with the provisions of this chapter.
  2. “Board” means the body created by KRS 201.020 .

History. 938b-18: amend. Acts 1964, ch. 173, § 1.

NOTES TO DECISIONS

1.Constitutionality.

KRS 201.010 to 201.990 were held constitutional. Fox v. Board of Louisville & Jefferson County Children's Home, 244 Ky. 1 , 50 S.W.2d 67, 1932 Ky. LEXIS 390 ( Ky. 1 932 ).

Cited in:

Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ); Hodgkin v. Board for Louisville & Jefferson County Children’s Home, 242 S.W.2d 1008, 1951 Ky. LEXIS 1101 ( Ky. 1951 ).

Research References and Practice Aids

Cross-References.

City-county board of welfare for Louisville and Jefferson County to control eleemosynary institutions, KRS 98.180 .

Kentucky Law Journal.

Lewis, Kostas, Carnes, Consolidation — Complete or Functional — Of City and County Governments in Kentucky, Part III, 42 Ky. L.J. 295 (1954).

201.020. Board for home — Members — Appointment — Terms — Vacancies.

  1. In each county containing a city of the first class there shall be a bipartisan board known as the “Board for (name of city) and ( . . . . . . . . . . . . . . . . . . . . ) County Children’s Home.”
  2. The board shall be composed of fourteen (14) members, at least two (2) of whom shall be women, appointed jointly by the mayor of the city and the county judge/executive of the county. Each member shall be at least twenty-five (25) years of age and a bona fide resident of the county. The members shall be appointed in equal proportion from the two (2) political parties casting the highest and next highest number of votes at the last preceding general election in the county.
  3. The members of the board shall be divided into four (4) groups, of which two (2) groups shall consist of three (3) members each and two (2) groups shall consist of four (4) members each. Members shall serve for four (4) years each, and the terms of the members of any one (1) group shall expire at the end of a year which is different from the year in which the terms of the members of any other group expire. Members originally appointed during the year following the effective date hereof may be appointed for such terms as may be necessary to effectuate the rotation provided for in the preceding sentence.
  4. Vacancies in the board, whether occurring during the term or at the close of the term of a member, shall be filled in the manner provided in subsection (2) of this section, within thirty (30) days after the vacancy occurs, and if the mayor and the county judge/executive fail to make the appointment within thirty (30) days, the members of the board may make the appointment. Whenever any vacancy occurs, the board shall immediately certify the fact of the vacancy and the reason therefor to the county judge/executive and the mayor. All members shall serve without compensation.

History. 938b-18: amend. Acts 1964, ch. 173, § 2.

NOTES TO DECISIONS

Cited in:

Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ); Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ).

201.030. Organization of board — Officers and employees.

  1. Upon appointment of the members, the board shall organize and elect officers. At the time of organization and annually thereafter, the board shall elect a chairman from its members.
  2. The board may select a superintendent for the home, and may fix his compensation in cash, or in cash and maintenance for himself and his immediate family. The superintendent shall serve at the pleasure of the board.
  3. The board may authorize the employment of other officers and employees necessary to carry on the work of the board and the home, and shall fix their compensation at sums not exceeding the salary of the superintendent. The superintendent may employ and discharge the officers and employees of the institution, except parole officers.

History. 938b-2: amend. Acts 1944, ch. 90, § 1; 1964, ch. 173, § 3.

NOTES TO DECISIONS

Cited in:

Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ); Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ).

201.040. Powers and duties of board.

  1. The board shall be a corporation with the usual corporate powers, and may do all things reasonable or necessary to effectively carry out the work and perform the duties contemplated in this chapter.
  2. The board may make all rules and regulations, not inconsistent with the law, necessary or proper for the effective management of the home, and of the property owned, held, or controlled by the board, and for the care, maintenance, training and education, grouping, discipline, discharge, release, and parole of the children received into the home’s care, and for their placement and supervision in foster family or group homes, in adoptive homes, in homes of parents, relatives or friends, or in shelter, detention or day care; and all the children received into the home’s care shall be subject to such rules.
  3. The board may delegate to the superintendent, and to such other officers or employees of the home as may be designated by the board, the authority to carry out such functions of the board as described in subsection (2) of this section, KRS 201.080 , 201.090 , 201.100 , 201.110 and 201.120 as may be determined to be in the interest of the home and the children under the home’s care.

History. 938b-1, 938b-11: amend. Acts 1964, ch. 173, § 4.

NOTES TO DECISIONS

1.Control of Children’s Home.

Neither the city of Louisville, the director of welfare of the city of Louisville, nor the Jefferson County Fiscal Court has any control or supervision over the children’s home. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

2.Schools.

Inmates of the children’s home, and children placed out to board in private homes are residents of the common school district in which the children’s home or private home is located and are entitled to attend the common schools in such district without paying tuition. Wirth v. Board of Education, 262 Ky. 291 , 90 S.W.2d 62, 1935 Ky. LEXIS 787 ( Ky. 1935 ).

Cited in:

Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ).

201.050. Board to acquire property.

  1. The board may acquire by lease, purchase, gift or condemnation, all property necessary or suitable for establishing the home, and may erect, equip, operate, and maintain such suitable buildings as may be necessary for the care, custody, maintenance, education, and training of the children committed to it. The board shall provide such buildings, grounds, equipment and units, in the county in which the board is created.
  2. When the property of any other board or institution within the county is conveyed to the board, and such property is owned, maintained or controlled in whole or in part by any city or division or district in the city, the conveyance shall first be authorized by the legislative body or other city board of such city or division or district; and when the property is owned, maintained or controlled in whole or in part by the county, the conveyance shall first be authorized by the fiscal court of the county. In either case, the governing body of the institution must also authorize and direct the conveyance to be made. Where any such conveyance is made to the board, the board shall receive and maintain in the home, all children who, at the time of the conveyance, are in the care and custody of the institution whose property is so conveyed.
  3. The board shall not be compelled to accept any conveyance which the board finds unsuited for the purposes of this chapter, or the improvement of which would entail an injudicious expenditure.

History. 938b-3, 938b-12, 938b-13.

NOTES TO DECISIONS

1.Construction of New Home.

The board has the power and duty to acquire or construct a new home if the old one is inadequate, and to dispose of the present home and use the proceeds and the money collected through funds appropriated under KRS 201.160 for the construction of the new home at a different place in the city. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

2.Maintenance.

After the erection of a new home, the board has the sole duty to equip and maintain it out of the funds appropriated under KRS 201.170 . Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

201.060. Title to property.

The title to all property acquired for the purposes of this chapter, shall be in the name of the board, and the board may exchange or sell for the benefit and use of the home, any of the property conveyed to, or owned or held by the board. All such sales or exchanges of real estate must be authorized or approved by the county judge/executive and by the mayor of the city of the first class.

History. 938b-14.

201.070. Condemnation of property.

Whenever the board finds that property anywhere within the county is needed for any of the purposes contemplated in this chapter, the board may, by resolution reciting such need, order the condemnation of such property. Proceedings for condemnation shall be in the Circuit Court of the county, and shall be conducted in the name of the board by the city attorney of the city of the first class, who shall be the legal representative of the board, and the procedure shall be that set out in the Eminent Domain Act of Kentucky.

History. 938b-15: amend. Acts 1976, ch. 140, § 89.

Compiler’s Notes.

The Eminent Domain Act of Kentucky referred to in this section is compiled as KRS 416.540 to 416.680 .

201.080. Children who may be received into the home.

The board may receive into and maintain in the home’s care, children under eighteen (18) years of age who are residents of the county and who are:

  1. Duly committed to the home’s care; and
  2. Such other children of the county as the board, or the superintendent or such other officers or employees as may be designated by the superintendent, with the approval of the board, may, in the absence of any judicial or official commitment, find for the best interest of such children, to receive them into the home’s care, on the voluntary application of the parents jointly, or the parent having custody, or the nearest living blood relative, or a legally appointed guardian.

History. 938b-9: amend. Acts 1964, ch. 173, § 5; 1974, ch. 386, § 40.

NOTES TO DECISIONS

Cited in:

Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

Research References and Practice Aids

Cross-References.

Assistance to children, KRS Chapter 200.

201.090. Children that board may have committed.

The board may file a petition and proceed as provided in KRS 201.100 , whenever it has probable cause to believe that any child under eighteen (18) years of age:

  1. Is abandoned, neglected or cruelly treated by its parents;
  2. Is habitually sent out or permitted to beg in public places or lives by begging;
  3. Associates with persons who tend to corrupt and contaminate him or her;
  4. Is known to be vicious or incorrigible; or
  5. Has parents who are in constant habits of drunkenness or gross debauchery or who are living together in unlawful cohabitation.

History. 938b-9: amend. Acts 1964, ch. 173, § 6; 1974, ch. 386, § 41.

201.100. Procedure for commitment — Appeals.

  1. When a child comes under any of the provisions of KRS 201.090 , the board may file a petition in the juvenile session of the District Court setting forth the facts in regard to the child. The court shall thereupon issue a writ for the custody of the child, and the writ shall be served upon the parents or the person having actual custody or control of the child, or if the child is under no actual parental custody or control, then upon the child itself. If the writ is served upon the child, the board shall place the child in the temporary custody of the home, or of some private person or public agency until the final order of the court. Notice of the time of the hearing shall be served on the parents or the person having actual custody or control of the child, and such person shall have the right to call witnesses and be heard as to his rights, fitness and ability to care for and educate the child.
  2. If the facts set forth in the petition are found to be true and any of the conditions set forth in KRS 201.090 exist, the court shall order that the child be committed to the custody of the board. If the parents are able to maintain and support the child, the court shall require them to pay board, and may enforce such payment by attachment or other proceedings as in cases of contempt.
  3. An appeal may be taken from any orders, judgments or commitments made under the provisions of this section according to the procedures established in KRS 610.130 for appeals from the juvenile session of District Court.

History. 938b-9: amend. Acts 1964, ch. 173, § 7; 1976 (Ex. Sess.), ch. 14, § 180, effective January 2, 1978; 1986, ch. 423, § 190, effective July 1, 1987.

Compiler’s Notes.

The amendment of this section by Acts 1980, ch. 280, § 148, which was to have taken effect on July 15, 1984 was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

NOTES TO DECISIONS

1.Jurisdiction of Court.

Until final commitment and disposition is made by the Juvenile Court, the court has sole jurisdiction over children placed in the children’s home. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

201.110. Duration of commitment — Discharge — Parole.

  1. All children received into the home’s care by commitment of any court or officer having jurisdiction shall remain under the home’s care for the period of their commitment, not to exceed their minority, unless sooner paroled or discharged.
  2. The board may discharge any child received under KRS 201.080(1) at any time it deems it for the best interest of the child or the other children under the home’s care, or for the best interests of the home. The discharge may be absolute, conditional, temporary or on parole, in the discretion of the board. Before discharge notice must be given to the committing court and to such other parties as required in KRS Chapter 208.
  3. The board shall discharge any child accepted for care under KRS 201.080(2) on written request of the parent, or other party as specified in said section, making the application for care, within five (5) calendar days, unless during said period the board shall have filed a petition for commitment under KRS 201.100 or KRS Chapter 620, 630, or 645 and such commitment, or a temporary order of custody under KRS Chapter 620, 630, or 645, shall have been ordered by the court.
  4. The board may discharge any child accepted for care under KRS 201.080(2) at any time it deems it for the best interest of the child or the other children under the home’s care or for the best interests of the home. Before discharge notice must be given to the committing court or board.

History. 938b-9: amend. Acts 1964, ch. 173, § 8; 1976 (Ex. Sess.), ch. 14, § 181, effective January 2, 1978; 1986, ch. 423, § 191, effective July 1, 1987.

Compiler’s Notes.

The amendment of this section by Acts 1980, ch. 280, § 149, which was to have taken effect on July 15, 1984 was itself repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Section 1 of Acts 1984, ch. 184, provided: “It is the intent of the General Assembly that the amendments and repealers of Acts 1980, ch. 280 not become effective and that the statutes affected thereby remain as not amended or not repealed except as affected by legislation other than Acts 1980, Chapter 280 and Acts 1982, Chapter 284 passed during the 1980 or 1982 session, or this Act.”

201.120. Employment, training, and education of children.

  1. The board may provide for such schools and forms of instruction in branches of useful practical knowledge as may be proper or necessary for the education of the children in the home’s care, and for the acquirement and practice of useful labor or trades, as may be suitable to the age and capacity of the children.
  2. The board may, in its discretion, place any of the children as apprentices to learn proper trades and employments, that the board believes will be most conducive to the reformation, amendment, benefit, or advantage of the children.

History. 938b-10: amend. Acts 1964, ch. 173, § 9.

NOTES TO DECISIONS

1.Schools.

Inmates of the children’s home and children placed out to board in private homes are residents of the common school district in which the children’s home or private home is located and are entitled to attend the common schools in such district without paying tuition. Wirth v. Board of Education, 262 Ky. 291 , 90 S.W.2d 62, 1935 Ky. LEXIS 787 ( Ky. 1935 ).

Cited in:

Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ).

201.130. Classification and segregation of children.

The board shall exercise care to protect children with less severe behavioral problems from children who are seriously patterned delinquents by means of the most practical use of the facilities and programs available.

History. 938b-12: amend. Acts 1964, ch. 173, § 10.

201.140. Parole officers — Powers and duties.

  1. The board may, with the approval of the county judge/executive, appoint, to serve at the pleasure of the board, one (1) or more persons, of more than twenty-one (21) years of age, as parole officers. The parole officers shall apprehend or arrest, and take into custody wherever found in this state children who escape from the home, and return them to the home. Parole officers shall also, under the direction of the board, convey children of the home to any point in the state, and perform such other duties as the board requires of them. Such officers shall also have the general powers of peace officers.
  2. In making the apprehension or arrest of such escaped child, in any county other than that in which the home is located, the parole officer shall first secure a writ or process issued by the District Judge of the county wherein the home is located authorizing the parole officer to make such apprehension or arrest and to return the escaped child to the home, and this writ or process shall be the parole officer’s authority in the premises.

History. 938b-17; Acts 1976 (Ex. Sess.), ch. 14, § 182, effective January 2, 1978; 1978, ch. 384, § 338, effective June 17, 1978.

Research References and Practice Aids

Cross-References.

Arrest, by whom and how made, RCr 2.02 to 2.14.

201.150. Aiding escape of children prohibited.

  1. No person shall aid or abet any child to escape from any home established under the provisions of this chapter or harbor or conceal any such child, knowing that the child has so escaped.
  2. The board shall reclaim and bring back to the home any escaped children, and the peace officers of this state shall apprehend and return such children to the home, at the expense of the home.

History. 938b-16.

Research References and Practice Aids

Cross-References.

Aiding escape from penal institutions, KRS 502.020 , 520.020 to 520.040 , 520.130 .

201.160. Appropriations for purchase of property — Right to alienate property.

  1. In order to provide money for the purchase of property and the construction and equipment of buildings for the home, the fiscal court of the county may make an annual appropriation from the general fund of the county, and the legislative body of the city of the first class may make an annual appropriation from the general fund of the city. The appropriations, when in the judgment of the fiscal court and the legislative body of the city reasonably necessary for such purposes, shall be made by the county and the city in such amounts, in such proportion and upon such terms as the fiscal court and the legislative body may agree and provide. Moneys so appropriated may be paid over to the board in regular monthly installments.
  2. Whenever the board is able to raise sufficient funds for carrying out the purposes of this chapter by the use, lease, sale, exchange, mortgage or pledge of property which has been conveyed to the board, the appropriations mentioned in subsection (1) of this section shall not be made. The action of the board in making such sale, exchange, mortgage or pledge, must be approved by the county judge/executive and the mayor of such city.
  3. The appropriations made under this section shall not be expended by the board for any purpose other than that provided in subsection (1) of this section.

History. 938b-4, 938b-6: amend. Acts 1954, ch. 169, § 1.

NOTES TO DECISIONS

1.New Home Construction.

The board has the power and duty to acquire or construct a new home if the old one is inadequate, and to dispose of the present home and use the proceeds and the money collected through funds appropriated under this section, for the construction of the new home at a different place in the city. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

2.Control.

Neither the City of Louisville, the Director of Welfare of the City of Louisville, nor the Jefferson County Fiscal Court has any control or supervision over the present home, nor would they have any over the new home. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

3.Maintenance.

After the erection of a new home, the board has the sole duty to equip and maintain it out of funds appropriated under KRS 201.170 . Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

201.170. Appropriations for maintenance.

In order to provide money for maintaining the home and for carrying out the purposes of this chapter other than those named in KRS 201.160 , the fiscal court of the county in which the home is established may make an annual appropriation from the general fund of the county, and the legislative body of the city of the first class may make an annual appropriation from the general fund of the city. The appropriations, when in the judgment of the fiscal court and the legislative body of the city reasonably necessary for such purposes, shall be made by the county and the city in such amounts, in such proportion and upon such terms as the fiscal court and the legislative body may agree and provide. Moneys so appropriated may be paid over to the board by the county and the city in regular monthly installments, but shall not be expended by the board for any purpose other than those mentioned in this section.

History. 938b-5: amend. Acts 1946, ch. 132, § 1; 1954, ch. 169, § 2.

NOTES TO DECISIONS

1.Constitutionality.

This section does not violate Ky. Const., §§ 171 or 181. Fox v. Board of Louisville & Jefferson County Children's Home, 244 Ky. 1 , 50 S.W.2d 67, 1932 Ky. LEXIS 390 ( Ky. 1 932 ).

2.New Home.

In the event of erection of a new home, the board would have the sole duty to equip and maintain it out of funds appropriated under this section. Jefferson County Fiscal Court v. Louisville, 276 Ky. 64 , 122 S.W.2d 1026, 1938 Ky. LEXIS 533 ( Ky. 1938 ).

3.School Tuition.

The board is not required to pay tuition out of funds appropriated under this section to board of education of school district in which wards of board attend common schools. Wirth v. Board of Education, 262 Ky. 291 , 90 S.W.2d 62, 1935 Ky. LEXIS 787 ( Ky. 1935 ).

Cited in:

Williams v. Board for Louisville & Jefferson County Children’s Home, 305 Ky. 440 , 204 S.W.2d 490, 1947 Ky. LEXIS 825 ( Ky. 1947 ).

201.180. Fiscal year — Annual statements of board — Other information to be supplied.

  1. The fiscal year of the board shall begin on the first day of July in each year and end on June 30 next following. During the month of May of each year the board shall prepare and certify two (2) financial statements to the fiscal court and the city legislative body.
  2. One (1) statement shall show the amount of money that the board estimates will be needed for the ensuing fiscal year for expenditure under KRS 201.160 , and set forth in detail the sums needed for the different branches or departments of the expenditures. This statement shall also show the estimated balances which will be on hand at close of business June 30 of that year and available for expenditure during the next succeeding fiscal year under KRS 201.160 , and shall indicate as nearly as possible any additional funds or assets, other than those derived from appropriations, that will become available for expenditure during said fiscal year.
  3. The other statement shall set forth the estimated balances, inventories, funds, assets and expenditures under KRS 201.170 , in the same manner and detail as is required in the statement described in subsection (2) of this section.
  4. The board shall also furnish the fiscal court and city legislative body with any other information or data available to it which the fiscal court or the legislative body may request.

History. 938b-6: amend. Acts 1944, ch. 90, § 2; 1954, ch. 169, § 3.

201.190. Budgets — Accounting system.

  1. When the fiscal court of the county and the city legislative body make the appropriations authorized by KRS 201.160 and 201.170 , the board shall prepare and certify to the fiscal court of the county and the legislative body of the city for their approval:
    1. A revised budget setting forth the receipts, funds and assets from all sources, available and estimated to become available for expenditure during the next succeeding fiscal year, for the purposes named in KRS 201.160 , and the estimated expenditures by branches or departments for such year under KRS 201.160; and
    2. A revised budget setting forth the estimated receipts, funds and assets from all sources available and estimated to become available for expenditure during the next succeeding fiscal year for the purposes named in KRS 201.170 , and the estimated expenditures by branches or departments for such year under KRS 201.170.
  2. In making the revised budgets, the board shall allocate the revenues and assets estimated to be and to become available for such fiscal year, to the various branches or departments of expenditures to be made under KRS 201.160 and 201.170 respectively, and in making disbursements and expenditures for such fiscal year, the board shall conform thereto, but in the event of an emergency, the board, with the approval of the county judge/executive and the mayor, may deviate therefrom.
  3. The board shall inaugurate and maintain a modern and efficient accounting system in the home.

History. 938b-6: amend. Acts 1954, ch. 169, § 4.

201.200. Limitation on expenditures — Board may borrow money.

  1. The board shall not in any one (1) year, expend for the maintenance of the home and the carrying out of the purposes of this chapter, more than the total sum derived through the appropriations for the year as provided in KRS 201.170 , as supplemented by funds given to the board for such purposes and the funds derived from the sale or income of property given to the board for such purposes and by the income of the home for the year.
  2. The board may borrow money on its own credit in anticipation of the revenue to be derived from appropriations or other income for the fiscal year in which the money is borrowed. For such purpose, the board may pledge the appropriations authorized under KRS 201.160 and 201.170 . No money borrowed through the pledge of appropriations authorized under KRS 201.160 shall be expended for any purposes other than those named in that section; and no money borrowed through the pledge of appropriations authorized under KRS 201.170 shall be expended for any purposes other than those named in that section.

History. 938b-5, 938b-7: amend. Acts 1954, ch. 169, § 5.

201.210. Annual reports of board.

Within sixty (60) days after the close of each fiscal year, the board shall make to the county judge/executive and to the mayor of the city of the first class, for transmission to the fiscal court of the county and to the legislative body of the city, respectively, a report of the fiscal and other operations of the board and of the home for the previous fiscal year, accompanied by information and tables showing the character and extent of such operations.

History. 938b-8.

201.990. Penalties.

Any person who violates subsection (1) of KRS 201.150 shall be fined not less than one hundred ($100) nor more than two hundred dollars ($200), or imprisoned for not less than thirty (30) days nor more than six (6) months, or both.

History. 938b-16.

CHAPTER 202 Hospitalization of Mental Patients [Repealed]

202.005. Construction of terms. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 50, § 27; 1954, ch. 17, § 1; 1960, ch. 67, § 1; 1962, ch. 106, Art. XI, § 6) was repealed by Acts 1968, ch. 90, § 63.

202.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (216aa-63, 216aa-64, 216aa-80: amend. Acts 1954, ch. 17, § 2; 1960, ch. 67, § 2; 1968, ch. 90, § 1) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.012. Hospitalization of alleged mentally ill or retarded. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 2) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.015. Voluntary admission to mental hospital — Release —Inquest — Procedure. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.020 (263b-16: amend. Acts 1944, ch. 29, § 3; 1948, ch. 175, § 2; 1954, ch. 16, § 3; 1960, ch. 66, § 2; 1964, ch. 164, § 1; 1968, ch. 90, § 3; 1968, ch. 100, § 4) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.020. Notice of petition, to whom given. [Repealed.]

Compiler’s Notes.

This section (216aa-68: amend. Acts 1944, ch. 33; 1960, ch. 67, § 3; 1968, ch. 90, § 8) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.027. Emergency detention for dangerous mental patients — Discharge after seven days unless order made. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 5) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.030. Petition for determination of mental condition. [Repealed.]

Compiler’s Notes.

This section (216aa-69, 263b-168: amend. Acts 1954, ch. 17, § 3; 1960, ch. 67, § 4; 1968, ch. 90, § 6) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.040. Contents of petition. [Repealed.]

Compiler’s Notes.

This section (216aa-70: amend. Acts 1954, ch. 17, § 4; 1960, ch. 67, § 5; 1968, ch. 90, § 7) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.050. Counsel — Duty of attorney for Commonwealth. [Renumbered.]

Compiler’s Notes.

This section (216aa-71: amend. Acts 1960, ch. 67, § 6) was renumbered as KRS 202.136 by Acts 1968, ch. 90, § 14.

202.060. Warrant for arrest of dangerous patient — Detained in hospital or facility, when. [Repealed.]

Compiler’s Notes.

This section (216aa-72, 216aa-73: amend. Acts 1952, ch. 174; 1954, ch. 17, § 5; 1960, ch. 67, § 7; 1968, ch. 90, § 9) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.070. When inquest to be held. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-73) was recompiled as KRS 203.022 and was subsequently repealed.

202.080. Jury trial required; exception. [Repealed.]

Compiler’s Notes.

This section (216aa-74: amend. Acts 1952, ch. 64) was repealed by Acts 1960, ch. 67, § 35.

202.090. Evidence; witnesses may be summoned. [Repealed.]

Compiler’s Notes.

This section (216aa-75) was repealed by Acts 1960, ch. 67, § 35.

202.100. Petition for sixty day observation, order — Procedure. [Repealed.]

Compiler’s Notes.

This section (216aa-76: amend. Acts 1950, ch. 88, § 1; 1960, ch. 67, § 8; 1968, ch. 90, § 10) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.110. Certificate — Contents — Form. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-76: amend. Acts 1950, ch. 88, § 1; 1960, ch. 67, § 8; 1968, ch. 90, § 10) was renumbered as KRS 202.137 and subsequently repealed. For present law see KRS Chapter 202A.

202.115. Additional evidence on petition for observation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 67, § 10; 1968, ch. 90, § 11) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.117. Admission of mental patient on temporary basis — Release unless properly committed. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.025 (Enact. Acts 1964, ch. 164, § 4; 1968, ch. 90, § 4) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.120. Person held for further examination — Thirty-five day observation period — Further observation. [Repealed.]

Compiler’s Notes.

This section (216aa-77a: amend. Acts 1944, ch. 29, § 1; 1946, ch. 178, § 1; 1948, ch. 175, § 1; 1960, ch. 67, § 11) was repealed by Acts 1968, ch. 90, § 63.

202.130. Presence of defendant at hearing. [Repealed.]

Compiler’s Notes.

This section (216aa-78: amend. Acts 1944, ch. 29, § 2; 1960, ch. 67, § 12) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.135. Involuntary hospitalization — Petition — Notice — Examination — Hearing — Order. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 13; 1970, ch. 277, § 1) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.136. Counsel — Duty of attorney for Commonwealth. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.050 (216aa-71; amend. Acts 1960, ch. 67, § 6; 1968, ch. 90, § 14) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.137. Certificate — Contents — Form. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.110 (216aa-77: amend. Acts 1960, ch. 67, § 9; 1968, ch. 90, § 15; 1970, ch. 277, § 2) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.138. Certificate of staff physicians as to mental illness accepted as evidence, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 16) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.139. Qualifications of physicians appointed by court — Fee. [Repealed.]

Compiler’s Notes.

This section (Acts 1968, ch. 90, § 17) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.140. Defendant’s right to jury — Oath — Instructions to jury — Evidence. [Repealed.]

Compiler’s Notes.

This section (216aa-79: amend. Acts 1954, ch. 17, § 6; 1960, ch. 67, § 13) was repealed by Acts 1968, ch. 90, § 63.

202.145. Copy of judgment to be filed in office of county clerk — Fee — Effect of failure. [Renumbered and Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 53; 1960, ch. 67, § 14) was recompiled as KRS 203.026 and was subsequently repealed.

202.150. Court to make necessary orders — Appointment of committee. [Repealed.]

Compiler’s Notes.

This section (216aa-81) was repealed by Acts 1942, ch. 167, § 21.

202.160. Commitment to institution, Veteran’s Administration, or committee. [Repealed.]

Compiler’s Notes.

This section (216aa-82: amend. Acts 1946, ch. 178, § 2; 1960, ch. 67, § 15) was repealed by Acts 1968, ch. 90, § 63.

202.165. Commitment to United States Public Health Service, other federal agency. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 121, § 1; 1960, ch. 67, § 16) was repealed by Acts 1968, ch. 90, § 63.

202.170. Designation of hospital districts. [Renumbered.]

Compiler’s Notes.

This section (216aa-83: amend. Acts 1952, ch. 50, § 28; 1960, ch. 67, § 17) was recompiled as KRS 210.300 .

202.180. Notification to institution of order committing. [Repealed.]

Compiler’s Notes.

This section (216aa-84: amend. Acts 1960, ch. 67, § 18) was repealed by Acts 1968, ch. 90, § 63.

202.190. Conveyance, return of patients — Expense — Payment. [Repealed.]

Compiler’s Notes.

This section (216aa-85: amend. Acts 1958, ch. 138; 1960, ch. 67, § 19) was repealed by Acts 1968, ch. 90, § 63.

202.200. Judge to prepare history of patient’s case. [Repealed.]

Compiler’s Notes.

This section (216aa-87) was repealed by Acts 1954, ch. 17, § 15.

202.208. Hospital attendant to convey patient to hospital — Expenses, how paid. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.260 (216aa-93: amend. Acts 1954, ch. 17, § 9; 1960, ch. 67, § 24; 1968, ch. 90, § 18) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.210. Papers sent hospital on order of involuntary hospitalization. [Repealed.]

Compiler’s Notes.

This section (216aa-86: amend. Acts 1954, ch. 17, § 7; 1960, ch. 67, § 20; 1968, ch. 90, § 19) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.215. Hospital may refuse to receive person, when. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.250 (216aa-92: amend. Acts 1954, ch. 17, § 8; 1960, ch. 67, § 23; 1968, ch. 90, § 20; 1970, ch. 277, § 3) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.220. Commonwealth’s or county attorney to furnish information. [Repealed.]

Compiler’s Notes.

This section (216aa-88) was repealed by Acts 1954, ch. 17, § 15.

202.230. Disposition of patient if no vacancy in institution — Occurrence of vacancy. [Repealed.]

Compiler’s Notes.

This section (216aa-89, 216aa-90: amend. Acts 1960, ch. 67, § 21; 1968, ch. 90, § 21) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.235. Transfer of patients between hospitals. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.180 (216aa-46, 263b-12: amend. Acts 1954, ch. 16, § 6; 1968, ch. 90, § 22) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.237. Patient involuntarily hospitalized or sent for observation examined, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 23) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.239. Periodic examination of involuntary patients. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 24) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.240. Mental defective not to be received in mental hospital unless dangerous. [Repealed.]

Compiler’s Notes.

This section (216aa-91: amend. Acts 1960, ch. 67, § 22) was repealed by Acts 1968, ch. 90, § 63.

202.242. Release of patient on convalescent status — Readmittance — Notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 225) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.245. Admission on application of health officer — Restraint — Removal. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.030 (236b-16: amend. Acts 1944, ch. 29, § 4; 1948, ch. 175, § 3; 1954, ch. 16, § 4; 1960, ch, 66, § 3; 1968, ch. 90, § 26) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.250. Hospital may refuse to receive person improperly committed. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-92: amend. Acts 1954, ch. 17, § 8; 1960, ch. 67, § 23) was renumbered as KRS 202.215 and subsequently repealed. For present law see KRS Chapter 202A.

202.252. Admission of residents adjudged mentally ill or defective by other states — Certification requesting involuntary hospitalization. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.040 (263b-16: amend. Acts 1944, ch. 29, § 5; 1950, ch. 88, § 2; 1960, ch. 66, § 4; 1968, ch. 90, § 27) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.255. Court may order patient hospitalized by agency of United States when — Effect of order of court of sister state or United States. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 28) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.260. Additional guard, expenses — Requisites for allowance. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-93: amend. Acts 1954, ch. 17, § 9; 1960, ch. 67, § 24) was renumbered as KRS 202.208 and was subsequently repealed. For present law see KRS Chapter 202A.

202.262. Transfer of patient to United States public health service or other agency. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 203.185 (Enact. Acts 1946, ch. 121, §§ 2, 3; 1960, ch. 66, § 9; 1968, ch. 90, § 29) and was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.265. Notice to voluntary patients of rights — Re-examination of hospitalization order for voluntary patients. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 30) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.267. Patient entitled to humane care. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 31) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.269. Mechanical restraints, use — Records. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 32) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.270. Disposition of mentally defective. [Repealed.]

Compiler’s Notes.

This section (216aa-94, 263b-2) was repealed by Acts 1954, ch. 17, § 15.

202.272. Rights of patient. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 33) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.275. Involuntary patient entitled to habeas corpus. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 34) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.277. Patient not released pending involuntary hospitalization proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 35) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.279. Involuntary hospitalization of mentally retarded — Procedure. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 36) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.280. Cured person — Discharge. [Repealed.]

Compiler’s Notes.

This section (216aa-95: amend. Acts 1954, ch. 17, § 10; 1960, ch. 67, § 25) was repealed by Acts 1968, ch. 90, § 63.

202.290. Inquiry as to restoration — Judgment. [Repealed.]

Compiler’s Notes.

This section (216aa-96: amend. Acts 1960, ch. 67, § 26) was repealed by Acts 1968, ch. 90, § 63.

202.295. Counsel in restoration proceeding — Fee. [Renumbered and Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 67, § 27) was recompiled as KRS 203.505 and was subsequently repealed.

202.300. Restoration or discharge to be noted on record of commitment. [Repealed.]

Compiler’s Notes.

This section (216aa-97: amend. Acts 1960, ch. 67, § 28) was repealed by Acts 1968, ch. 90, § 63.

202.310. Restoration — Certificate of superintendent. [Repealed.]

Compiler’s Notes.

This section (216aa-98) was repealed by Acts 1960, ch. 67, § 35.

202.320. Procedure for restoration of incompetent person who has not been committed. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-99: amend. Acts 1954, ch. 17, § 11; 1960, ch. 67, § 29) was recompiled as KRS 203.024 and was subsequently repealed.

202.330. Appeal to circuit court. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-101) was recompiled as KRS 203.510 and was subsequently repealed.

202.340. Release upon certificate — Proof of ability to receive patient — Permit required to receive pauper. [Repealed.]

Compiler’s Notes.

This section (216aa-104: amend. Acts 1954, ch. 17, § 12; 1960, ch. 67, § 30; 1966, ch. 255, § 194) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.350. Recovery of prisoner — Removal. [Repealed.]

Compiler’s Notes.

This section (263b-18: amend. Acts 1954, ch. 17, § 13; 1960, ch. 67, § 31) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.360. County judge may order discharge — Security required. [Repealed.]

Compiler’s Notes.

This section (216aa-105: amend. Acts 1960, ch. 67, § 32) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS Chapter 202A.

202.370. Temporary removal — Exceptions. [Repealed.]

Compiler’s Notes.

This section (216aa-106: amend. Acts 1954, ch. 17, § 14; 1960, ch. 67, § 33) was repealed by Acts 1968, ch. 90, § 63.

202.380. Transfer of prisoners to state hospital. [Repealed.]

Compiler’s Notes.

This section (263b-12a: amend. Acts 1960, ch. 67, § 34) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS 202A.201 .

202.990. Penalties. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-97: amend. Acts 1946, ch. 53) was recompiled as KRS 203.995 and was subsequently repealed.

202.991. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 225, § 2) was repealed by Acts 1976, ch. 332, § 33. For present law see KRS 202A.991 .

CHAPTER 202A Hospitalization of the Mentally Ill

202A.006. Title.

This chapter may be cited as the “Kentucky Mental Health Hospitalization Act.”

History. Enact. Acts 1982, ch. 445, § 32, effective July 15, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.In General.

Although section 202A.021 deals with voluntary admissions, chapter 202A is primarily devoted to the involuntarily committed, and based on the chapter’s focus, section 202A.051(4)(g), and the term “hospitalized,” contained therein, should be construed to refer to involuntary hospitalizations only. Commonwealth v. Nunnally, 920 S.W.2d 523, 1996 Ky. LEXIS 9 ( Ky. 1996 ).

Cited in:

Commonwealth v. Cabinet for Human Resources, 686 S.W.2d 465, 1984 Ky. App. LEXIS 629 (Ky. Ct. App. 1984).

Research References and Practice Aids

Cross-References.

Admission of an Individual with an Intellectual Disability, KRS 202B.010 to 202B.990 .

Kentucky Law Journal.

Kentucky Law Survey, Patterson, Juvenile Code, 70 Ky. L.J. 343 (1981-82).

Northern Kentucky Law Review.

Nidich, Zinermon v. Burch and Voluntary Admissions to Public Hospitals: A Common Sense Proposal for Compromise, 25 N. Ky. L. Rev. 699 (1998).

202A.008. Authority for administrative regulations.

The cabinet may promulgate administrative regulations in accordance with KRS Chapter 13A in order to carry out the provisions of this chapter.

History. Enact. Acts 1994, ch. 498, § 20, effective July 15, 1994.

202A.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 2) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.011. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Authorized staff physician” means a physician who is a bona fide member of the hospital’s medical staff;
  2. “Danger” or “threat of danger to self, family, or others” means substantial physical harm or threat of substantial physical harm upon self, family, or others, including actions which deprive self, family, or others of the basic means of survival including provision for reasonable shelter, food, or clothing;
  3. “Cabinet” means the Kentucky Cabinet for Health and Family Services;
  4. “Psychiatric facility” means a crisis stabilization unit or any facility licensed by the cabinet and which provides inpatient, outpatient, psychosocial rehabilitation, emergency, and consultation and education services for the diagnosis and treatment of persons who have a mental illness;
  5. “Forensic psychiatric facility” means a mental institution or facility, or part thereof, designated by the secretary for the purpose and function of providing inpatient evaluation, care, and treatment for mentally ill persons or individuals with an intellectual disability, who have been charged with or convicted of a felony;
  6. “Hospital” means:
    1. A state mental hospital or institution or other licensed public or private hospital, institution, health-care facility, or part thereof, approved by the Kentucky Cabinet for Health and Family Services as equipped to provide full-time residential care and treatment for mentally ill persons or individuals with an intellectual disability; or
    2. A hospital, institution, or health-care facility of the government of the United States equipped to provide residential care and treatment for mentally ill persons or individuals with an intellectual disability;
  7. “Judge” means any judge or justice of the Court of Justice or a trial commissioner of the District Court acting under authority of SCR 5.030 ;
  8. “Least restrictive alternative mode of treatment” means that treatment which will give a mentally ill individual a realistic opportunity to improve the individual’s level of functioning, consistent with accepted professional practice in the least confining setting available;
  9. “Mentally ill person” means a person with substantially impaired capacity to use self-control, judgment, or discretion in the conduct of the person’s affairs and social relations, associated with maladaptive behavior or recognized emotional symptoms where impaired capacity, maladaptive behavior, or emotional symptoms can be related to physiological, psychological, or social factors;
  10. “Patient” means a person under observation, care, or treatment in a hospital pursuant to the provisions of this chapter;
  11. “Petitioner” means a person who institutes a proceeding under this chapter;
  12. “Qualified mental health professional” means:
    1. A physician licensed under the laws of Kentucky to practice medicine or osteopathy, or a medical officer of the government of the United States while engaged in the performance of official duties;
    2. A psychiatrist licensed under the laws of Kentucky to practice medicine or osteopathy, or a medical officer of the government of the United States while engaged in the practice of official duties, who is certified or eligible to apply for certification by the American Board of Psychiatry and Neurology, Inc.;
    3. A psychologist with the health service provider designation, a psychological practitioner, a certified psychologist, or a psychological associate, licensed under the provisions of KRS Chapter 319;
    4. A licensed registered nurse with a master’s degree in psychiatric nursing from an accredited institution and two (2) years of clinical experience with mentally ill persons, or a licensed registered nurse, with a bachelor’s degree in nursing from an accredited institution, who is certified as a psychiatric and mental health nurse by the American Nurses Association and who has three (3) years of inpatient or outpatient clinical experience in psychiatric nursing and is currently employed by a hospital or forensic psychiatric facility licensed by the Commonwealth or a psychiatric unit of a general hospital or a private agency or company engaged in the provision of mental health services or a regional community program for mental health and individuals with an intellectual disability;
    5. A licensed clinical social worker licensed under the provisions of KRS 335.100 , or a certified social worker licensed under the provisions of KRS 335.080 with three (3) years of inpatient or outpatient clinical experience in psychiatric social work and currently employed by a hospital or forensic psychiatric facility licensed by the Commonwealth or a psychiatric unit of a general hospital or a private agency or company engaged in the provision of mental health services or a regional community program for mental health and individuals with an intellectual disability;
    6. A marriage and family therapist licensed under the provisions of KRS 335.300 to 335.399 with three (3) years of inpatient or outpatient clinical experience in psychiatric mental health practice and currently employed by a hospital or forensic facility licensed by the Commonwealth, a psychiatric unit of a general hospital, a private agency or company engaged in providing mental health services, or a regional community program for mental health and individuals with an intellectual disability;
    7. A professional counselor credentialed under the provisions of KRS Chapter 335.500 to 335.599 with three (3) years of inpatient or outpatient clinical experience in psychiatric mental health practice and currently employed by a hospital or forensic facility licensed by the Commonwealth, a psychiatric unit of a general hospital, a private agency or company engaged in providing mental health services, or a regional community program for mental health and individuals with an intellectual disability; or
    8. A physician assistant licensed under KRS 311.840 to 311.862 , who meets one (1) of the following requirements:
      1. Provides documentation that he or she has completed a psychiatric residency program for physician assistants;
      2. Has completed at least one thousand (1,000) hours of clinical experience under a supervising physician, as defined by KRS 311.840 , who is a psychiatrist and is certified or eligible for certification by the American Board of Psychiatry and Neurology, Inc.;
      3. Holds a master’s degree from a physician assistant program accredited by the Accreditation Review Commission on Education for the Physician Assistant or its predecessor or successor agencies, is practicing under a supervising physician as defined by KRS 311.840, and:
        1. Has two (2) years of clinical experience in the assessment, evaluation, and treatment of mental disorders; or
        2. Has been employed by a hospital or forensic psychiatric facility licensed by the Commonwealth or a psychiatric unit of a general hospital or a private agency or company engaged in the provision of mental health services or a regional community program for mental health and individuals with an intellectual disability for at least two (2) years; or
      4. Holds a bachelor’s degree, possesses a current physician assistant certificate issued by the board prior to July 15, 2002, is practicing under a supervising physician as defined by KRS 311.840, and:
        1. Has three (3) years of clinical experience in the assessment, evaluation, and treatment of mental disorders; or
        2. Has been employed by a hospital or forensic psychiatric facility licensed by the Commonwealth or a psychiatric unit of a general hospital or a private agency or company engaged in the provision of mental health services or a regional community program for mental health and individuals with an intellectual disability for at least three (3) years;
  13. “Residence” means legal residence as determined by applicable principles governing conflicts of law;
  14. “Respondent” means a person alleged in a hearing under this chapter to be a mentally ill person or an individual with an intellectual disability; and
  15. “Secretary” means the secretary of the Cabinet for Health and Family Services.

HISTORY: Enact. Acts 1982, ch. 445, § 1, effective July 1, 1982; 1988, ch. 139, § 1, effective July 15, 1988; 1994, ch. 498, § 1, effective July 15, 1994; 1996, ch. 369, § 19, effective July 15, 1996; 1998, ch. 426, § 177, effective July 15, 1998; 2002, ch. 99, § 1, effective March 28, 2002; 2005, ch. 99, § 212, effective June 20, 2005; 2012, ch. 146, § 32, effective July 12, 2012; 2018 ch. 165, § 1, effective July 14, 2018.

Legislative Research Commission Notes.

(7/12/2012). In subsection (6)(a) of this statute, the Reviser of Statutes has reinserted the word “persons,” which was erroneously deleted in drafting, to correct a manifest clerical or typographical error under the authority of KRS 7.136(1).

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Opinions of Attorney General.

Since the Clark County Hospital is not a hospital as defined in subdivision (5) (now (6)) of this section, KRS 202A.031 has no applicability to the Clark County Hospital. Therefore, KRS 202A.031 in no way gives a staff physician of the Clark County Hospital the authority to order the sheriff of Clark County to transport a mentally ill person anywhere, including transportation to a hospital qualifying under KRS 202A.031 and subdivision (5) (now (6)) of this section; there is no language in KRS 202A.031 even remotely suggesting that a Clark County Hospital physician could so direct the Clark County sheriff to take the mentally ill person to a qualifying hospital. OAG 84-17 .

Research References and Practice Aids

Cross-References.

Disposition of person found not guilty by reason of insanity, KRS 504.030 .

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Northern Kentucky Law Review.

The Need to Close Kentucky’s Revolving Door: Proposal for a Movement Towards a Socially Responsible Approach to Treatment and Commitment of the Mentally Ill, 29 N. Ky. L. Rev. 189 (2002).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Guardians and Conservators (Mentally Disabled Persons), § 260.00.

202A.012. Application of KRS Chapter 202A.

This chapter shall not apply to persons under eighteen (18) years of age unless specifically authorized by the Kentucky Unified Juvenile Code.

History. Enact. Acts 1986, ch. 423, § 184, effective July 1, 1987.

Research References and Practice Aids

Cross-References.

Juvenile Code, KRS Chapters 600 to 645.

202A.014. Jurisdiction.

All proceedings for the involuntary hospitalization of mentally ill persons shall be initiated in the District Court of the county where the person to be hospitalized resides or in which he may be at the time of the filing of a petition.

History. Enact. Acts 1982, ch. 445, § 3, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Tolley v. Commonwealth, 892 S.W.2d 580, 1995 Ky. LEXIS 28 ( Ky. 1995 ).

202A.016. Duty of county attorney.

In all proceedings under this chapter, it shall be the duty of the county attorney to assist the petitioner and represent the interest of the Commonwealth and to assist the court in its inquiry by the presentation of evidence.

History. Enact. Acts 1982, ch. 445, § 18, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

202A.020. Voluntary admission to hospital — Application — Discharge — Release. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 3) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.021. Hospitalization of minors — Admission or discharge of voluntary patients.

  1. The hospitalization of minors alleged to be mentally ill, except those provided for in KRS Chapter 640, shall be governed by KRS Chapter 645.
  2. An authorized staff physician of a hospital may admit for observation, diagnosis, care and treatment any person who is mentally ill or who has symptoms of mental illness and who applies voluntarily therefor.
  3. An authorized staff physician of a hospital shall discharge any voluntary patient who has recovered or whose hospitalization the staff physician determines to be no longer necessary or advisable.
  4. A voluntary patient shall be released upon the patient’s written request unless further detained under the applicable provisions of this chapter.

History. Enact. Acts 1982, ch. 445, § 2, effective July 1, 1982; 1986, ch. 423, § 195, effective July 1, 1987; 1988, ch. 139, § 2, effective July 15, 1988.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.In General.

Although this section deals with voluntary admissions, chapter 202A is primarily devoted to the involuntarily committed, and based on the chapter’s focus, section 202A.051(4)(g), and the term “hospitalized,” contained therein, should be construed to refer to involuntary hospitalizations only. Commonwealth v. Nunnally, 920 S.W.2d 523, 1996 Ky. LEXIS 9 ( Ky. 1996 ).

202A.021. Hospitalization of minors — Admission or discharge of voluntary patients.

  1. The hospitalization of minors alleged to be mentally ill, except those provided for in KRS Chapter 640, shall be governed by KRS Chapter 645.
  2. An authorized staff physician of a hospital may admit for observation, diagnosis, care and treatment any person who is mentally ill or who has symptoms of mental illness and who applies voluntarily therefor.
  3. An authorized staff physician of a hospital shall discharge any voluntary patient who has recovered or whose hospitalization the staff physician determines to be no longer necessary or advisable.
  4. A voluntary patient shall be released upon the patient’s written request unless further detained under the applicable provisions of this chapter, including subsection (5) of this section.
    1. A voluntary patient who presents or is admitted to a hospital with symptoms of mental illness may be transported from the originating hospital to a receiving hospital or psychiatric facility: (5) (a) A voluntary patient who presents or is admitted to a hospital with symptoms of mental illness may be transported from the originating hospital to a receiving hospital or psychiatric facility:
      1. Upon the order of an authorized staff physician of an originating hospital and an authorized staff physician of a receiving hospital or psychiatric facility; and
      2. Submission of the patient’s signed written agreement to be voluntarily transported.
    2. If the agreed-upon transport from the originating hospital has been initiated, the patient with a signed written agreement to be voluntarily transported under this subsection shall not be physically released upon his or her request during the transport to the receiving hospital or psychiatric facility. The patient shall be physically released upon request after the patient has been received by the receiving hospital or psychiatric facility upon the patient’s written release request unless further detained under the applicable provisions of this chapter as provided for under subsection (4) of this section.

HISTORY: Enact. Acts 1982, ch. 445, § 2, effective July 1, 1982; 1986, ch. 423, § 195, effective July 1, 1987; 1988, ch. 139, § 2, effective July 15, 1988; 2021 ch. 32, § 1.

202A.026. Criteria for involuntary hospitalization.

No person shall be involuntarily hospitalized unless such person is a mentally ill person:

  1. Who presents a danger or threat of danger to self, family or others as a result of the mental illness;
  2. Who can reasonably benefit from treatment; and
  3. For whom hospitalization is the least restrictive alternative mode of treatment presently available.

History. Enact. Acts 1982, ch. 445, § 4, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Construction With Other Law.

Defendant’s hospital confinement as a result of his commitment under this section did not qualify for credit under KRS 532.120(3), because the use of the word “shall” in KRS 532.120(3) precludes any discretion on the part of the trial court in crediting time for preconviction custody. Commonwealth v. Todd, 12 S.W.3d 695, 1999 Ky. App. LEXIS 39 (Ky. Ct. App. 1999).

Cited in:

Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff’d in part, rev’d in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988); Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988); Tolley v. Commonwealth, 892 S.W.2d 580, 1995 Ky. LEXIS 28 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Wiederstein, Guardianship for Disabled Persons: A Practical Guide, Vol. 70, No. 1, January 2006, Ky. Bench & Bar 18.

Northern Kentucky Law Review.

The Need to Close Kentucky’s Revolving Door: Proposal for a Movement Towards a Socially Responsible Approach to Treatment and Commitment of the Mentally Ill, 29 N. Ky. L. Rev. 189 (2002).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

202A.028. Hospitalization by court order — Transportation — Release.

  1. Following an examination by a qualified mental health professional and a certification by that professional that the person meets the criteria for involuntary hospitalization, a judge may order the person hospitalized for a period not to exceed seventy-two (72) hours, excluding weekends and holidays. For the purposes of this section, the qualified mental health professional shall be:
    1. A staff member of a regional community program for mental health or individuals with an intellectual disability;
    2. An individual qualified and licensed to perform the examination through the use of telehealth services; or
    3. The psychiatrist ordered, subject to the court’s discretion, to perform the required examination.
  2. Any person who has been admitted to a hospital under subsection (1) of this section shall be released from the hospital within seventy-two (72) hours, excluding weekends and holidays, unless further held under the applicable provisions of this chapter.
  3. Any person admitted to a hospital under subsection (1) of this section or transferred to a hospital while ordered hospitalized under subsection (1) of this section shall be transported from the person’s home county by the sheriff of that county or other peace officer as ordered by the court. The sheriff or other peace officer may, upon agreement of a person authorized by the peace officer, authorize the cabinet, a private agency on contract with the cabinet, or an ambulance service designated by the cabinet to transport the person to the hospital. The transportation costs of the sheriff, other peace officer, ambulance service, or other private agency on contract with the cabinet shall be paid by the cabinet in accordance with an administrative regulation promulgated by the cabinet, pursuant to KRS Chapter 13A.
  4. Any person released from the hospital under subsection (2) of this section shall be transported to the person’s county of discharge by a sheriff or other peace officer, by an ambulance service designated by the cabinet, or by other appropriate means of transportation which is consistent with the treatment plan of that person. The transportation cost of transporting the patient to the patient’s county of discharge when performed by a peace officer, ambulance service, or other private agency on contract with the cabinet shall be paid by the cabinet in accordance with an administrative regulation issued by the cabinet pursuant to KRS Chapter 13A.
  5. No person who has been held under subsection (1) of this section shall be held in jail pending evaluation and transportation to the hospital.

HISTORY: Enact. Acts 1988, ch. 139, § 3, effective July 15, 1988; 1994, ch. 498, § 2, effective July 15, 1994; 2000, ch. 487, § 1, effective July 14, 2000; 2012, ch. 146, § 33, effective July 12, 2012; 2015 ch. 61, § 2, effective June 24, 2015.

NOTES TO DECISIONS

1.Court Required to Initiate Proceedings.

The court required to initiate proceedings for involuntary hospitalization under KRS Chapter 202A is the one in which the verdict under KRS 504.110 , not guilty by reason of insanity, or the determination of incompetency under 504.030 , is made. Tolley v. Commonwealth, 892 S.W.2d 580, 1995 Ky. LEXIS 28 ( Ky. 1995 ).

202A.030. Involuntary admission to hospital without court order. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 4) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

This section was amended by § 31 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

This section was amended by a 1982 Act of the General Assembly and repealed by another act of the 1982 General Assembly. The repeal prevails pursuant to KRS 446.100 .

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.031. Seventy-two-hour emergency admission.

  1. An authorized staff physician may order the admission of any person who is present at, or is presented at, a hospital. For the purposes of this subsection only, a hospital may include any acute care hospital that is licensed by the Commonwealth. Within twenty-four (24) hours (excluding weekends and holidays) of the admission under this section, the authorized staff physician ordering the admission of the individual shall certify in the record of the individual that in his opinion the individual should be involuntarily hospitalized.
  2. Any individual who has been admitted to a hospital under subsection (1) of this section shall be released from the hospital within seventy-two (72) hours (excluding weekends and holidays) unless further detained under the applicable provisions of this chapter.

History. Enact. Acts 1982, ch. 445, § 5, effective July 1, 1982; 2004, ch. 139, § 1, effective July 13, 2004.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

Opinions of Attorney General.

Since the Clark County Hospital is not a hospital as defined in KRS 202A.011(5) (now 202A.011(6)), this section has no applicability to the Clark County Hospital. Therefore, this section in no way gives a staff physician of the Clark County Hospital the authority to order the sheriff of Clark County to transport a mentally ill person anywhere, including transportation to a hospital qualifying under this section and KRS 202A.011(5) (now 202A.011(6)); there is no language in this section even remotely suggesting that a Clark County Hospital physician could so direct the Clark County sheriff to take the mentally ill person to a qualifying hospital. OAG 84-17 .

202A.040. Detention of suspected mentally ill person without warrant. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 5; 1976 (Ex. Sess.), ch. 14, § 183, effective January 2, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.041. Warrantless arrest and subsequent proceedings.

  1. Any peace officer who has reasonable grounds to believe that an individual is mentally ill and presents a danger or threat of danger to self, family, or others if not restrained shall take the individual into custody and transport the individual without unnecessary delay to a hospital or psychiatric facility designated by the cabinet for the purpose of an evaluation to be conducted by a qualified mental health professional. Upon transport of the person to the hospital or psychiatric facility, the peace officer shall provide written documentation which describes the behavior of the person which caused the peace officer to take the person into custody. If, after evaluation, the qualified mental health professional finds that the person does not meet the criteria for involuntary hospitalization, the person shall be released immediately and transported back to the person’s home county by an appropriate means of transportation as provided in KRS 202A.101 . If, after evaluation, the qualified mental health professional finds that the person meets the criteria for involuntary hospitalization, appropriate proceedings under this chapter shall be initiated. The person may be held pending certification by a qualified mental health professional and implementation of procedures as provided in KRS 202A.028 , 202A.031 , or 202A.051 for a period not to exceed eighteen (18) hours.
  2. If, after the evaluation, the qualified mental health professional finds that the person does not meet the criteria for involuntary hospitalization and the peace officer has probable cause to believe that the person has committed a criminal offense, the peace officer may swear out a warrant and take the arrested person without unnecessary delay before a judge.

History. Enact. Acts 1982, ch. 445, § 6, effective July 1, 1982; 1988, ch. 139, § 4, effective July 15, 1988; 1994, ch. 498, § 3, effective July 15, 1994.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey, Patterson, Juvenile Code, 70 Ky. L.J. 343 (1981-82).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Trial Commissioners, § 16.00

202A.050. Restraining complaint — Warrant — Examination — Commitment — Hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 6; 1976 (Ex. Sess.), ch. 14, § 184, effective January 2, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.051. Proceedings for 60-day and 360-day involuntary hospitalizations — Petition contents.

  1. Proceedings for sixty (60) days or three hundred sixty (360) days of involuntary hospitalization of an individual shall be initiated by the filing of a verified petition in District Court.
  2. The petition and all subsequent court documents shall be entitled: “In the interest of (name of respondent).”
  3. The petition shall be filed by a qualified mental health professional, peace officer, county attorney, Commonwealth’s attorney, spouse, relative, friend, or guardian of the individual concerning whom the petition is filed, or any other interested person.
  4. The petition shall set forth:
    1. Petitioner’s relationship to the respondent;
    2. Respondent’s name, residence, and current location, if known;
    3. The name and residence of respondent’s parents, if living and if known, or respondent’s legal guardian, if any and if known;
    4. The name and residence of respondent’s husband or wife, if any and if known;
    5. The name and residence of the person having custody of the respondent, if any, or if no such person is known, the name and residence of a near relative or that the person is unknown;
    6. Petitioner’s belief, including the factual basis therefor, that the respondent is mentally ill and presents a danger or threat of danger to self, family or others if not restrained; and
    7. If the petition seeks a three hundred sixty (360) day involuntary hospitalization of the respondent, the petition shall further set forth that the respondent has been hospitalized in a hospital or a forensic psychiatric facility for a period of thirty (30) days under the provisions of this chapter or KRS Chapter 504 within the preceding six (6) months.
  5. Upon receipt of the petition, the court shall examine the petitioner under oath as to the contents of the petition. If the petitioner is a qualified mental health professional, the court may dispense with the examination.
  6. If after reviewing the allegations contained in the petition and examining the petitioner under oath, it appears to the court that there is probable cause to believe the respondent should be involuntarily hospitalized, the court shall, unless either the court or one (1) of the parties objects, implement the procedures provided in KRS 202A.028 and order the individual to be examined without unnecessary delay by a qualified mental health professional. If the person is not being held under the provisions of this chapter, the court may order that the sheriff of the county or other peace officer transport the person to a hospital or psychiatric facility designated by the cabinet for the purpose of the evaluation. The sheriff or other peace officer may, upon agreement of a person authorized by the peace officer, authorize the cabinet, a private agency on contract with the cabinet, or an ambulance service designated by the cabinet to transport the person to a hospital or psychiatric facility. Following that, the procedures as set forth in KRS 202A.028 shall be carried out. Otherwise, the court shall:
    1. Set a date for a preliminary hearing within six (6) days from the date of holding the person under the provisions of this section (excluding holidays and weekends) to determine if there is probable cause to believe the person should be involuntarily hospitalized;
    2. Notify the respondent, the legal guardian, if any, and if known, and the spouse, parents, or nearest relative or friend of the respondent concerning the allegations and contents of the petition and the date and purpose of the preliminary hearing; and the name, address, and telephone number of the attorney appointed to represent the respondent; and
    3. Cause the respondent to be examined without unnecessary delay by two (2) qualified mental health professionals, at least one (1) of whom is a physician. The qualified mental health professionals shall certify within twenty-four (24) hours (excluding weekends and holidays) their findings.
    1. If the respondent is being presently held under the provisions of this chapter, the court may order further holding of the respondent to accomplish the examination ordered by the court. (7) (a) If the respondent is being presently held under the provisions of this chapter, the court may order further holding of the respondent to accomplish the examination ordered by the court.
    2. If the respondent is not being presently held under the provisions of this chapter, the court may order that the sheriff of the county or a peace officer transport the respondent to a hospital or a psychiatric facility designated by the cabinet so that the respondent shall be examined without unnecessary delay by two (2) qualified mental health professionals, at least one (1) of whom is a physician. The sheriff or other peace officer may authorize, upon agreement of a person authorized by the peace officer, the cabinet, a private agency on contract with the cabinet, or an ambulance service designated by the cabinet to transport the person to a hospital or psychiatric facility.
  7. When the court is authorized to issue an order that the respondent be transported to a hospital or psychiatric facility, the court may, in its discretion, issue a summons. A summons so issued shall be directed to the respondent, shall command the respondent to appear at a time and place therein specified where the respondent shall be there examined by two (2) qualified mental health professionals, at least one (1) of whom is a physician, and shall command the respondent’s appearance at the preliminary hearing. If a respondent who has been summoned fails to appear for such examination or at the preliminary hearing, the court may order that the sheriff of the county or a peace officer transport the respondent to a hospital or psychiatric facility designated by the cabinet for the purpose of an evaluation.
  8. If upon completion of the preliminary hearing, the court finds there is probable cause to believe the respondent should be involuntarily hospitalized, the court shall order a final hearing within twenty-one (21) days from the date of holding the respondent under the provisions of this section to determine if the respondent should be involuntarily hospitalized.
  9. If the court finds there is no probable cause, the proceedings against the respondent shall be dismissed, and the respondent shall be released from any holding.
  10. If upon completion of the final hearing, the court finds the respondent should be involuntarily hospitalized, the court shall order the respondent hospitalized in a hospital for a period not to exceed sixty (60) consecutive days from the date of the court order or a period not to exceed three hundred sixty (360) consecutive days from the date of the court order, whatever was the period of time that was requested in the petition.

History. Enact. Acts 1982, ch. 445, § 7, effective July 1, 1982; 1988, ch. 139, § 5, effective July 15, 1988; 1994, ch. 498, § 4, effective July 15, 1994.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Constitutionality.

In class action raising the issue of constitutionality, a statute providing for sixty-day involuntary hospitalization was held patently unconstitutional for failing to specify precise standards by which physicians or the courts should be governed in civil proceedings and for being deficient of minimum due process requirements including the patient’s right to a preliminary probable cause hearing, his right to notice before final hearing, and his right to be present at both hearings unless this right is intelligently waived. Kendall v. True, 391 F. Supp. 413, 1975 U.S. Dist. LEXIS 13624 (W.D. Ky. 1975 ), disapproved, Project Release v. Prevost, 722 F.2d 960, 1983 U.S. App. LEXIS 15846 (2d Cir. N.Y. 1983) (decided under prior law).

2.Application.

Although KRS 202A.021 deals with voluntary admissions, KRS ch. 202A is primarily devoted to the involuntarily committed, and based on the chapter’s focus, subsection (4)(g) of this section, and the term “hospitalized,” contained therein, should be construed to refer to involuntary hospitalizations only. Commonwealth v. Nunnally, 920 S.W.2d 523, 1996 Ky. LEXIS 9 ( Ky. 1996 ).

A previous voluntary hospitalization does not bring a patient within subsection (4)(g) of this section, and thus, does not subject such patient to a 360-day involuntary commitment. Commonwealth v. Nunnally, 920 S.W.2d 523, 1996 Ky. LEXIS 9 ( Ky. 1996 ).

3.Police Power.

Based upon its police power to protect its citizens, the state may involuntarily commit a person who is suffering from a mental illness where the person is a danger to society or himself. Kendall v. True, 391 F. Supp. 413, 1975 U.S. Dist. LEXIS 13624 (W.D. Ky. 1975 ), disapproved, Project Release v. Prevost, 722 F.2d 960, 1983 U.S. App. LEXIS 15846 (2d Cir. N.Y. 1983) (decided under prior law).

4.Requirement of Endangerment.

Individuals were protected from illegal arrest under a former statute providing for the arrest and hospitalization of alleged dangerous persons by the requirement of probable causation of injury to self or others and by the necessity of alleging lack of capacity or insight to authorize hospitalization. Kendall v. True, 391 F. Supp. 413, 1975 U.S. Dist. LEXIS 13624 (W.D. Ky. 1975 ), disapproved, Project Release v. Prevost, 722 F.2d 960, 1983 U.S. App. LEXIS 15846 (2d Cir. N.Y. 1983) (decided under prior law).

5.Habeas Corpus.

Persons held for observation and treatment in mental hospitals under alleged unconstitutional statute providing for involuntary civil commitment had a right to pursue the remedy of habeas corpus. Kendall v. True, 391 F. Supp. 413, 1975 U.S. Dist. LEXIS 13624 (W.D. Ky. 1975 ), disapproved, Project Release v. Prevost, 722 F.2d 960, 1983 U.S. App. LEXIS 15846 (2d Cir. N.Y. 1983) (decided under prior law).

6.Judicial Immunity.

In class action challenging the constitutionality of statute providing for involuntary civil commitment, plaintiffs were not allowed to maintain claim for damages against the circuit court judge who had conducted mental inquest hearings since the judge was cloaked with judicial immunity in acting pursuant to procedures authorized by the statute. Kendall v. True, 391 F. Supp. 413, 1975 U.S. Dist. LEXIS 13624 (W.D. Ky. 1975 ), disapproved, Project Release v. Prevost, 722 F.2d 960, 1983 U.S. App. LEXIS 15846 (2d Cir. N.Y. 1983) (decided under prior law).

Cited in:

Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff’d in part, rev’d in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988); Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988).

Research References and Practice Aids

Northern Kentucky Law Review.

Palmore, The Insanity Defense Revisited, 11 N. Ky. L. Rev. 1 (1984).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Examination Order and Examination Certifications for 60 day or 360 day Involuntary Hospitalization, Form 267.02.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Trial Commissioners, § 16.00.

202A.053. Venue.

  1. A respondent who has been ordered involuntarily hospitalized following the preliminary hearing shall have venue for all subsequent proceedings, including the final hearing, transferred to the court of the county where the respondent is hospitalized.
  2. The court of the county where the preliminary hearing was held may, upon its own motion, or shall, upon motion of one (1) of the parties, retain venue over proceedings subsequent to the preliminary hearing.

History. Enact. Acts 1988, ch. 139, § 6, effective July 15, 1988.

202A.056. Certificate contents — Fee.

  1. The certificate referred to in this chapter shall be in the form prescribed by the cabinet. The certificate shall state that the respondent has been examined by each of the qualified mental health professionals making the certificate within twenty-four (24) hours (excluding weekends and holidays) prior to the date of the certificate. It shall state the facts and circumstances upon which the judgment of the examining physician is based and shall be sworn to before a notary or the clerk or judge of the court.
  2. The examiner shall be entitled to a fee for such examination and certification, to be paid by the county in which the petition is filed, upon a certified copy of an order of allowance made by the court holding the hearing.

History. Enact. Acts 1982, ch. 445, § 19, effective July 1, 1982.

Legislative Research Commission Notes.

(11/23/93). A prior reference to the “department” in this statute was changed to “cabinet” pursuant to 1982 Ky. Act ch. 393, sec. 50(5), and KRS 7.136(2).

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Negligence or Bad Faith.

Physician substantially complied with law and was not chargeable with bad faith or negligence in making certificate where, before making it, he went to home of person suspected of being insane, obtained history of case from members of family and approached sufficiently near such person to discover indications of mental derangement and observe conduct of such person. Christopher v. Henry, 284 Ky. 127 , 143 S.W.2d 1069, 1940 Ky. LEXIS 456 ( Ky. 1940 ) (decided under prior law).

2.False Arrest.

There was no element of false arrest in action charging that physicians negligently performed duty and that false statements in certificate were proximate cause of incarceration of person suspected of being insane. Christopher v. Henry, 284 Ky. 127 , 143 S.W.2d 1069, 1940 Ky. LEXIS 456 ( Ky. 1940 ) (decided under prior law).

202A.060. Court determination of mental condition. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 7) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.061. Two certifications required.

In any proceeding for involuntary hospitalization under the applicable provisions of this chapter, if the criteria for involuntary hospitalization are not certified by at least two (2) examining qualified mental health professionals, the court shall, without taking any further action, terminate the proceedings and order the release of the person. The qualified mental health professionals shall certify to the court within twenty-four (24) hours (excluding weekends and holidays) of the examination, their findings and opinions as to whether the person shall be involuntarily hospitalized.

History. Enact. Acts 1982, ch. 445, § 9, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Time for Certification.

Where two (2) qualified professionals examined a defendant found incompetent to stand trial, but one (1) of them did not certify his examination within 24 hours, the trial court lacked subject matter jurisdiction to hear the case for involuntary commitment. Tolley v. Commonwealth, 65 S.W.3d 531, 2001 Ky. App. LEXIS 49 (Ky. Ct. App. 2001).

202A.066. Qualified mental health professional retained by respondent.

A qualified mental health professional retained by the respondent shall be permitted to witness and participate in any examination of the respondent.

History. Enact. Acts 1982, ch. 445, § 13, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

202A.070. Proceedings for 60-day involuntary hospitalization. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 8; 1976 (Ex. Sess.), ch. 14, § 185, effective January 2, 1978; 1978, ch. 334, § 1, effective June 17, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

This section was amended by § 32 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

This section was amended by a 1982 Act of the General Assembly and repealed by another act of the 1982 General Assembly. The repeal prevails pursuant to KRS 446.100 .

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.071. Timing of preliminary and final hearings.

  1. The preliminary hearing shall be held not later than six (6) days (excluding weekends and holidays) from the time of respondent’s holding under these proceedings. If the respondent is not held under these proceedings, the preliminary hearing shall be held not later than six (6) days (excluding weekends and holidays) from the time of the examination of the respondent.
  2. The final hearing shall be held within twenty-one (21) days of the date of the holding or from the date of the examination, if not held.

History. Enact. Acts 1982, ch. 445, § 11, effective July 1, 1982; 1984, ch. 362, § 1, effective July 13, 1984; 1994, ch. 498, § 5, effective July 15, 1994.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Trial Commissioners, § 16.00.

202A.076. Conduct of hearings.

  1. The preliminary hearing need not be formal and may include the receiving of the qualified mental health professionals’ reports as evidence. The hearing may be held by the court in chambers, at a hospital, or other suitable place. The respondent shall be afforded an opportunity to testify, to present, and cross-examine witnesses who appear and testify against him. The court may exclude all persons not necessary for the conduct of the hearing. The respondent and his attorney may waive respondent’s right to a preliminary hearing.
  2. The final hearing may be conducted in an informal manner, consistent with orderly procedures, and in a physical setting not likely to have a harmful effect on the mental or physical health of the respondent. The hearing may be held by the court in chambers, at a hospital, or other suitable place. The respondent shall be afforded an opportunity to testify, to present, and cross-examine witnesses against him. The manner of proceeding and rules of evidence shall be the same as those in any criminal proceeding including the burden of proof beyond a reasonable doubt. Proceedings shall be heard by a judge unless a party requests a jury trial. Neither the respondent nor the respondent’s attorney may waive the respondent’s right to a final hearing.

History. Enact. Acts 1982, ch. 445, § 14, effective July 1, 1982; 1988, ch. 139, § 7, effective July 15, 1988.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Constitutionality.

Kentucky’s lower standard of proof for the involuntary commitment of those alleged to be mentally retarded than of those alleged to be mentally ill did not violate the Equal Protection Clause of the Fourteenth Amendment; the statutory distinctions were rationally based on the premise that mental retardation is easier to diagnose than mental illness and that a “dangerousness” determination is more accurate as to the mentally retarded than the mentally ill. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

1.Proof.

Final hearings for involuntary commitments are required to be conducted under the same rules as would be a criminal proceeding, including the requirement of proof beyond a reasonable doubt. Messer v. Roney, 772 S.W.2d 648, 1989 Ky. App. LEXIS 81 (Ky. Ct. App. 1989).

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988); Commonwealth v. Brown, 911 S.W.2d 279, 1995 Ky. App. LEXIS 203 (Ky. Ct. App. 1995).

Research References and Practice Aids

Northern Kentucky Law Review.

Palmore, The Insanity Defense Revisited, 11 N. Ky. L. Rev. 1 (1984).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

202A.080. Proceedings for 360-day involuntary hospitalization. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 9; 1976 (Ex. Sess.), ch. 14, § 186, effective January 2, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 1, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.081. Court-ordered community-based outpatient treatment.

  1. Following the preliminary hearing but prior to the completion of the final hearing, the court may order the person held in a hospital approved by the cabinet for such purpose for the committing judicial district, or released, upon application and agreement of the parties, for the purpose of community-based outpatient treatment. No person held under this section shall be held in jail unless criminal charges are also pending.
  2. A hospital shall discharge a patient there held and notify the court and attorneys of record if any authorized staff physician determines that the patient no longer meets the criteria for involuntary hospitalization.
  3. If a patient is discharged by the hospital pursuant to subsection (2) of this section, then the proceedings against the patient shall be dismissed.
  4. The release of the person pursuant to subsection (1) of this section for the purpose of community-based outpatient treatment does not terminate the proceedings against the person, and the court ordering such release may order the immediate holding of the person at any time with or without notice if the court believes from an affidavit filed with the court that it is to the best interest of the person or others that the person be held pending the final hearing, which shall be held within twenty-one (21) days of the person’s further holding.
  5. If the person is released pursuant to subsection (1) of this section for the purpose of community-based outpatient treatment, the final hearing may be continued for a period not to exceed sixty (60) days if a provider of outpatient care accepts the respondent for specified outpatient treatment. Community-based outpatient treatment may be ordered for an additional period not to exceed sixty (60) days upon application and agreement of the parties.

History. Enact. Acts 1982, ch. 445, § 10, effective July 1, 1982; 1988, ch. 139, § 8, effective July 15, 1988; 1994, ch. 498, § 6, effective July 15, 1994.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Research References and Practice Aids

Northern Kentucky Law Review.

The Need to Close Kentucky’s Revolving Door: Proposal for a Movement Towards a Socially Responsible Approach to Treatment and Commitment of the Mentally Ill, 29 N. Ky. L. Rev. 189 (2002).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Community-Based Outpatient Treatment Agreed Order, Form 267.04.

202A.0811. Petition for hearing regarding court-ordered assisted outpatient treatment.

  1. Proceedings for court-ordered assisted outpatient treatment of a person shall be initiated by the filing of a verified petition for that purpose in District Court.
  2. The petition and all subsequent court documents shall be entitled: “In the interest of (name of respondent).”
  3. The petition shall be filed by a qualified mental health professional; peace officer; county attorney; Commonwealth’s attorney; spouse, relative, friend, or guardian of the person concerning whom the petition is filed; or any other interested person.
  4. The petition shall set forth:
    1. Petitioner’s relationship to the respondent;
    2. Respondent’s name, residence, and current location, if known;
    3. Petitioner’s belief, including the factual basis therefor, that the respondent meets the criteria for court-ordered assisted outpatient treatment as set forth in KRS 202A.0817 ; and
    4. Whether, within five (5) days prior to the filing of the petition, the respondent has been examined by a qualified mental health professional to determine whether the respondent meets the criteria for court-ordered assisted outpatient treatment pursuant to KRS 202A.0815 .
  5. Upon receipt of the petition, the court shall examine the petitioner under oath as to the contents of the petition. If the petitioner is a qualified mental health professional, the court may dispense with the examination.
  6. If, after reviewing the allegations contained in the petition and examining the petitioner under oath, it appears to the court that there is probable cause to believe the respondent should be court-ordered to assisted outpatient treatment, the court shall:
    1. Order the respondent to be examined without unnecessary delay by a qualified mental health professional to determine whether the respondent meets the criteria for court-ordered assisted outpatient treatment set forth in KRS 202A.0815 , unless the court has already received the certified findings of such an examination conducted no earlier than five (5) days prior to the filing of the petition. The qualified mental health professional shall certify his or her findings within seventy-two (72) hours, excluding weekends and holidays; and
    2. Set a date for a hearing within six (6) days from the date of the examination under the provisions of this section, excluding weekends and holidays, to determine if the respondent should be court-ordered to assisted outpatient treatment.
  7. If the court finds there is no probable cause to believe the respondent should be court-ordered to assisted outpatient treatment, the proceedings against the respondent shall be dismissed.

HISTORY: 2017 ch. 154, § 3, effective June 29, 2017.

202A.0813. Transportation and examination of petition respondent.

  1. The court may order that the sheriff of the county or a peace officer transport the respondent to a hospital or site designated by the cabinet so that the respondent shall be examined without unnecessary delay by a qualified mental health professional. The sheriff or peace officer may authorize, upon agreement of a person authorized by the peace officer, the cabinet, a private agency on contract with the cabinet, or an ambulance service designated by the cabinet to transport the person to a hospital or site designated by the cabinet.
    1. When the court is authorized to issue an order that the respondent be transported to a hospital or site designated by the cabinet for examination, the court may issue a summons. (2) (a) When the court is authorized to issue an order that the respondent be transported to a hospital or site designated by the cabinet for examination, the court may issue a summons.
    2. A summons so issued shall be directed to the respondent and shall command the respondent to appear at a time and place specified in the summons, where the respondent shall be examined by a qualified mental health professional.
    3. If a respondent who has been summoned fails to appear for the examination, the court may order that the sheriff of the county or a peace officer transport the respondent to a hospital or site designated by the cabinet for the purpose of an examination.

HISTORY: 2017 ch. 154, § 4, effective June 29, 2017.

202A.0815. Criteria for court-ordered assisted outpatient treatment.

No person shall be court-ordered to assisted outpatient mental health treatment unless the person:

  1. Has been involuntarily hospitalized pursuant to KRS 202A.051 at least two (2) times in the past twenty-four (24) months;
  2. Is diagnosed with a serious mental illness;
  3. Is unlikely to adequately adhere to outpatient treatment on a voluntary basis based on a qualified mental health professional’s:
    1. Clinical observation;
    2. Review of treatment history, including the person’s prior history of repeated treatment nonadherence; and
    3. Identification of specific characteristics of the person’s clinical condition described as anosognosia, or failure to recognize his or her diagnosis of serious mental illness; and
  4. Is in need of court-ordered assisted outpatient treatment as the least restrictive alternative mode of treatment presently available and appropriate.

HISTORY: 2017 ch. 154, § 5, effective June 29, 2017; 2020 ch. 29, § 1, effective July 15, 2020.

202A.0817. Treatment plan required for court-ordered assisted outpatient treatment.

No later than the date of the hearing held pursuant to KRS 202A.0811 , the qualified mental health professional who examined the respondent pursuant to KRS 202A.0811 shall provide to the court and the respondent a proposed written treatment plan for the respondent for court-ordered assisted outpatient treatment, which shall have the goal of recovery. In developing a treatment plan, a qualified mental health professional shall:

  1. Provide reasonable opportunities for the respondent to actively participate in the development of the treatment plan and any modifications thereafter, and involve any other persons whom the respondent requests to have participate;
  2. Follow any advanced directive for mental health treatment executed by the respondent; and
  3. Include in the treatment plan:
    1. A proactive crisis plan that includes access to emergency or crisis services twenty-four (24) hours a day and the contact information to access such crisis services; and
    2. Evidence-based practices. As used in this paragraph, “evidence-based practices” means intervention programs, policies, procedures, and practices that have been rigorously tested; are proven by scientific research; have yielded consistent, replicable results; and have proven safe, beneficial, and effective for most people diagnosed with mental illness when implemented competently. Evidence-based practices may include but are not limited to psychotropic medications, psychosocial rehabilitation, recovery-oriented therapies, assertive community treatment, supported employment, supported housing, and peer support services.

HISTORY: 2017 ch. 154, § 6, effective June 29, 2017.

202A.0819. Due process and support requirements — Conduct of hearing — Ruling on petition — Reports.

  1. At a hearing and at all stages of a proceeding for court-ordered assisted outpatient treatment, the respondent shall be:
    1. Represented by counsel;
    2. Accompanied by a peer support specialist or other person in a support relationship, if requested by the respondent; and
    3. Afforded an opportunity to present evidence, call witnesses on his or her behalf, and cross-examine adverse witnesses.
  2. If a respondent does not appear at the hearing, and appropriate attempts to elicit the respondent’s appearance have failed, the court may conduct the hearing in the respondent’s absence.
  3. A qualified mental health professional who recommends court-ordered assisted outpatient treatment for the respondent shall:
    1. Testify at the hearing, in person or via electronic means;
    2. State the facts and clinical determinations which support the allegation that the respondent meets the criteria stated in KRS 202A.0815 ; and
    3. Testify in support of the treatment plan provided pursuant to KRS 202A.0817 , and for each category of proposed evidence-based treatment, he or she shall state the specific recommendation and the clinical basis for his or her belief that such treatment is essential to the maintenance of the respondent’s health or safety.
  4. If after hearing all relevant evidence, the court does not find by clear and convincing evidence that the respondent meets the criteria stated in KRS 202A.0815 , the court shall deny the petition and the proceedings against the respondent shall be dismissed.
  5. If after hearing all relevant evidence, the court finds by clear and convincing evidence that the respondent meets the criteria stated in KRS 202A.0815 , the court may order the respondent to receive assisted outpatient treatment for a period of time not to exceed three hundred sixty (360) days. The court’s order shall incorporate a treatment plan, which shall be limited in scope to the recommendations included in the treatment plan provided by the qualified mental health professional pursuant to KRS 202A.0817 .
  6. The court shall report every order for assisted outpatient treatment issued under this section to the Department for Behavioral Health, Developmental and Intellectual Disabilities.

HISTORY: 2017 ch. 154, § 7, effective June 29, 2017; 2019 ch. 128, § 2, effective June 27, 2019.

202A.0821. Appointment of outpatient provider agency.

If the court orders assisted outpatient mental health treatment pursuant to KRS 202A.0819 , the court shall appoint an outpatient provider agency recognized by the cabinet which shall assemble a multidisciplinary team. The multidisciplinary team shall regularly monitor the person’s adherence to the conditions of the order and regularly report this information to the court that ordered the person’s release. Reports may be provided in written format, in person, or via electronic means, at the court’s discretion.

HISTORY: 2017 ch. 154, § 8, effective June 29, 2017.

202A.0823. Substantial failure to comply with court-ordered assisted outpatient treatment.

A person’s substantial failure to comply with a court order for assisted outpatient treatment may constitute presumptive grounds for an authorized staff physician to order a seventy-two (72) hour emergency admission pursuant to KRS 202A.031 . Failure to comply with an order for assisted outpatient treatment shall not be grounds to find the person in contempt of court.

HISTORY: 2017 ch. 154, § 9, effective June 29, 2017.

202A.0825. Stay, vacation, or modification of court-ordered assisted outpatient treatment.

  1. At any time during the period of an order for court-ordered assisted outpatient treatment, the person subject to the order may move the court to stay, vacate, or modify the order.
    1. As used in this subsection, “material change” means an addition or deletion of a category of services to or from a treatment plan. (2) (a) As used in this subsection, “material change” means an addition or deletion of a category of services to or from a treatment plan.
    2. If a treating qualified mental health professional proposes a material change to the court-ordered treatment plan, he or she shall apply to the court for approval of the proposed change. Not later than five (5) days after receiving the application, excluding weekends and holidays, the court shall hold a hearing. If the person under order informs the court that he or she agrees to the proposed material change, the court may approve such change without a hearing.
  2. Within thirty (30) days of the expiration of an order for assisted outpatient treatment, the original petitioner may petition the court for an additional period of court-ordered assisted outpatient treatment. The procedures for the consideration of the petition shall be identical to the procedures provided in KRS 202A.0811 to 202A.0831 , except that the parties may mutually agree to waive the requirement of a new hearing. The person under order shall be represented by an attorney in responding to the petition for an additional period of court-ordered assisted outpatient treatment.

HISTORY: 2017 ch. 154, § 10, effective June 29, 2017.

202A.0827. Medicaid eligibility of court-ordered assisted outpatient treatment.

For persons who are Medicaid-eligible, assisted outpatient mental health treatment services identified under KRS 202A.0811 to 202A.0831 shall be authorized by the Department for Medicaid Services and its contractors as Medicaid-eligible services and shall be subject to the same medical necessity criteria and reimbursement methodology as for all other covered behavioral health services.

HISTORY: 2017 ch. 154, § 11, effective June 29, 2017.

202A.0829. Adequate funding required for implementation of KRS 202A.0811 to 202A.0831.

Implementation of KRS 202A.0811 to 202A.0831 is contingent upon adequate funding by any unit of state or local government or divisions thereof, special purpose governmental entity, or any other entity able to utilize funds for the purposes set forth in KRS 202A.0811 to 202A.0831 . Funding may be provided through the appropriation of federal, state, or local resources or from donations, grants, gifts, or pledges from private resources.

HISTORY: 2017 ch. 154, § 12, effective June 29, 2017.

202A.0831. Short title for KRS 202A.0811 to 202A.0831.

KRS 202A.0811 to 202A.0831 may be cited as Tim’s Law.

HISTORY: 2017 ch. 154, § 13, effective June 29, 2017.

202A.085. Proceedings deemed mental inquests — Commonwealth attorney and county attorney to represent Commonwealth. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 209, § 1, effective June 17, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provisions is July 15, 1982.

202A.090. Form of certificate — Fee — Three-day limit. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 10; 1976 (Ex. Sess.), ch. 14, § 187, effective January 2, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

This section was amended by § 33 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

This section was amended by a 1982 Act of the General Assembly and repealed by another act of the 1982 General Assembly. The repeal prevails pursuant to KRS 446.100 .

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.091. Confidentiality of court records — Expungement.

  1. The court records of a respondent made in all proceedings pursuant to KRS Chapter 202A are hereby declared to be confidential and shall not be open to the general public for inspection except when such disclosure is provided in KRS 202A.016 .
  2. Following the discharge of a respondent from a treatment facility or the issuance of a court order denying a petition for a commitment, a respondent may at any time move to have all court records pertaining to the proceedings expunged from the files of the court. The county attorney shall be given notice of any such motion and shall have five (5) days in which to respond to same or request a hearing thereon.
  3. Any person seeking information contained in the court files or the court records of proceedings involving persons under this chapter may file a written motion in the cause setting out why the information is needed. A District Judge may issue an order to disclose the information sought if he finds such order is appropriate under the circumstances and if he finds it is in the best interest of the person or of the public to have such information disclosed.

History. Enact. Acts 1982, ch. 445, § 17, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Research References and Practice Aids

Kentucky Bench & Bar.

Wiederstein, Closed Courtrooms and the Public’s Right of Access, Vol. 67, No. 4, July 2003, Ky. Bench & Bar 15.

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Motion to Expunge Record, Form 267.07.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

202A.096. Disclosure of communications.

There shall be no privilege as to any relevant communications between qualified mental health professionals and patients. Qualified mental health professionals are authorized to disclose communications relating to diagnosis and treatment of the patient’s mental condition in proceedings under this chapter.

History. Enact. Acts 1982, ch. 445, § 31, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

202A.100. Notification of department — Transportation of patient. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 11) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.101. Notification of receiving hospital or psychiatric facility — Transportation of patient.

  1. The court which orders any person to the receiving hospital or psychiatric facility, under the provisions of this chapter, shall at once notify the receiving hospital or psychiatric facility that such order has been made, advising of the sex and condition of the person.
  2. After the facility has been so notified, the court shall order the sheriff of the county or other peace officer to transport the patient within forty-eight (48) hours (excluding weekends and holidays) from the county in which the person is located to the hospital or psychiatric facility designated by the cabinet. The sheriff or other peace officer may, upon agreement of a person authorized by the peace officer, authorize the cabinet, a private agency on contract with the cabinet, or an ambulance service designated by the cabinet to transport the person to the hospital.
  3. The transportation costs of transporting a person to a hospital or psychiatric facility, when performed by a peace officer, an ambulance service, or other private agency on contract with the cabinet shall be paid by the cabinet in accordance with administrative regulation promulgated by the cabinet under the provisions of KRS Chapter 13A.
  4. In returning any patient to the county from which the patient is sent, the transportation cost of the sheriff or other peace officer, the ambulance service, or the other agency on contract with the cabinet transporting the patient shall be paid as provided in KRS 202A.028(4), when necessary.
  5. Whenever an individual is involuntarily hospitalized by a court order the patient shall be transported to the hospital designated by the cabinet and accompanied by the following documents:
    1. A copy of the petition for involuntary hospitalization, unless hospitalization takes place pursuant to KRS 202A.041 ;
    2. The certificate of qualified mental health professionals; and
    3. The order of involuntary hospitalization.
  6. The hospital may refuse to receive any person who has been ordered to be involuntarily hospitalized by a court order if the papers presented with such person at the hospital do not comply with the provisions of this chapter or if it does not receive notification of the order of involuntary hospitalization as required by this chapter.

History. Enact. Acts 1982, ch. 445, § 20, effective July 1, 1982; 1994, ch. 498, § 7, effective July 15, 1994.

Legislative Research Commission Notes.

(11/23/93). Prior references to the “department” in this statute were changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.110. Examination by physician required within thirty-six hours. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 12) was repealed by Acts 1982, ch. 445, § 44 effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.120. Conditions for discharge of involuntary patient. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 13) were repealed by Acts 1982, ch. 445, § 44 effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contain the following language in Section 45 of that Act: “This act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.121. Right to counsel — Attorney’s right to access court records.

Upon the appearance of the person detained pursuant to KRS 202A.041 or upon the filing of a petition pursuant to KRS 202A.051 , the court shall appoint an attorney to represent the respondent with such appointment and representation to continue unless the respondent retains private counsel. The appointed attorney shall be forthwith notified by the clerk of the allegations in the petition and the date and purpose of the preliminary hearing. Notwithstanding KRS 202A.091 , an attorney appointed by the court or retained by the respondent shall be given access to the court records relating to the petition.

HISTORY: Enact. Acts 1982, ch. 445, § 8, effective July 1, 1982; 2017 ch. 158, § 26, effective June 29, 2017.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

202A.130. Conditions for release of involuntary patient on convalescent status — Rehospitalization. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 14) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.131. Right to be present.

The respondent shall be present at all hearings unless the respondent and his attorney intelligently waive respondent’s right to be present, or unless the court makes a specific finding after the respondent has been brought to the place of the hearing that the respondent should be removed from the hearing because his conduct is so disruptive that the proceedings cannot continue in any reasonable manner.

History. Enact. Acts 1982, ch. 445, § 12, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

202A.140. Return of public charges from other states. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 15) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

This section was amended by § 34 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

This section was amended by a 1982 Act of the General Assembly and repealed by another act of the 1982 General Assembly. The repeal prevails pursuant to KRS 446.100 .

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.141. Clarification of court orders — Appeals.

  1. Hospitals ordered to receive an involuntarily hospitalized person shall have standing to petition the District Court for any necessary clarification or modification of orders or judgments entered in proceedings under this chapter and to appeal to the Circuit Court from final judgments or orders entered in proceedings which have not complied with the provisions of this chapter. A copy shall be sent to the involuntarily hospitalized person and the person’s attorney of record, if any, of whatever pleadings are filed by the hospital.
  2. Appeals from the final orders or judgments of the District Court made and entered in proceedings under this chapter shall be taken in the same manner as other appeals from District Court to Circuit Court. This appeal shall be advanced on the Circuit Court docket without motion or notice.

History. Enact. Acts 1982, ch. 445, § 15, effective July 1, 1982; 1994, ch. 498, § 8, effective July 15, 1994.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.150. Hospital care or treatment by agency of United States. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 16) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.151. Writ of habeas corpus.

At any time, and without notice, a person detained at a facility, or a relative, friend, guardian, representative, or attorney on behalf of such person, may petition for a writ of habeas corpus to question the cause and legality of such detention and request that the Circuit Court issue a writ for release.

History. Enact. Acts 1982, ch. 445, § 16, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.160. Transfer to United States public health service or other agency. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 17) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.161. Timing of initial examination and report.

Any person admitted to a hospital pursuant to the provisions of this chapter shall be initially examined by an authorized staff physician of the hospital or, with permission of the facility’s governing body and in accordance with the applicable provisions of the facility’s medical staff bylaws, policies, and procedures, a physician assistant as defined in KRS 311.550 , or an advanced practice registered nurse licensed under KRS Chapter 314 as soon as practicable but not later than thirty-six (36) hours (excluding weekends and holidays) and a report entered into the medical record not later than forty-eight (48) hours (excluding weekends and holidays) after his admission.

History. Enact. Acts 1982, ch. 445, § 21, effective July 1, 1982; 2000, ch. 422, § 1, effective July 14, 2000; 2010, ch. 85, § 33, effective July 15, 2010.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Petition for Writ of Habeas Corpus, Form 267.09.

202A.170. Patients to be informed of rights. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 18) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

This section was amended by §§ 36 and 71 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

Legislative Research Commission Notes.

This section was amended by a 1982 Act of the General Assembly and repealed by another act of the 1982 General Assembly. The repeal prevails pursuant to KRS 446.100 .

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.171. When discharge is required.

An authorized staff physician of a hospital shall discharge an involuntary patient when he no longer meets the criteria for involuntary hospitalization.

History. Enact. Acts 1982, ch. 445, § 22, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

202A.180. Rules and regulations on patients’ rights, use of seclusion and restraints, transfer and release. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 19) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.181. Convalescent leave status.

  1. An authorized staff physician may release an involuntary patient on convalescent leave status when the physician concludes that the patient would not present a danger or a threat of danger to self or others if provided with continued medical supervision in a less restrictive alternative mode of treatment. Release on convalescent leave status shall include notification to the hospitalizing court. Release on convalescent leave status does not terminate the involuntary hospitalization order and shall include provisions for the development of a treatment plan jointly by the hospital and by a provider of outpatient care for follow-up care by the provider and for the continual monitoring of that patient’s condition by the provider.
  2. The hospital from which such patient is given convalescent leave status may at any time readmit the patient without additional court proceedings. If there is reason to believe that it is to the best interest of the patient to be rehospitalized, the secretary or an authorized staff physician of the hospital may issue an order for the immediate rehospitalization of the patient. Such an order, if not voluntarily complied with, shall, upon the endorsement by a judge of any court of the county in which the patient is a resident or is present, authorize any health or police officer to take the patient into custody and transport him to the responsible hospital. Notice of rehospitalization under this section shall be given to the originating court as soon as practicable and simultaneously with the order directing the rehospitalization if possible.
  3. Release on convalescent leave status shall not apply to persons held under hospitalization orders arising out of KRS Chapter 504 unless consent of the appropriate court is obtained.

History. Enact. Acts 1982, ch. 445, § 23, effective July 1, 1982; 1988, ch. 139, § 9, effective July 15, 1988.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

Research References and Practice Aids

Northern Kentucky Law Review.

The Need to Close Kentucky’s Revolving Door: Proposal for a Movement Towards a Socially Responsible Approach to Treatment and Commitment of the Mentally Ill, 29 N. Ky. L. Rev. 189 (2002).

202A.185. Peace officer authorized to arrest and return patient to hospital.

If a patient undergoing involuntary treatment on an inpatient basis is absent from the hospital without, or in excess of authorization from the hospital staff, the person in charge or that person’s designee may contact the appropriate sheriff or other peace officers who shall take the patient into custody and return the patient to the hospital.

History. Enact. Acts 1988, ch. 139, § 11, effective July 15, 1988.

202A.190. Transfer of inmate to hospital or psychiatric facility. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 20) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.191. Rights of hospitalized patients.

  1. Each and every patient hospitalized under this chapter shall have the following rights:
    1. The right to be adequately informed as to their individual treatment program;
    2. The right to assist in the planning of their treatment program;
    3. The right to refuse treatment subject to the provisions of KRS 202A.196 ;
    4. The right to maintain, keep, and use personal possessions and money;
    5. The right to receive visitors;
    6. The right to receive payment for work performed on behalf of the hospital;
    7. The right to refuse intrusive treatment subject to the provisions of KRS 202A.196 ;
    8. The right to be free from unreasonable use of seclusion and restraint;
    9. The right to seek relief from participating in their treatment plan.
  2. The secretary shall adopt rules and regulations for the proper administration and enforcement of this chapter. Such regulations shall be filed with the Legislative Research Commission as provided in KRS Chapter 13A.

History. Enact. Acts 1982, ch. 445, § 27, effective July 1, 1982.

Legislative Research Commission Notes.

(10/5/90) Pursuant to KRS 7.136(1), KRS Ch. 13A has been substituted for the prior reference to KRS Ch. 13 in this statute. The sections in KRS Ch. 13 were repealed by 1984 Ky. Acts Ch. 417, § 36 and KRS Ch. 13A was created in that same chapter of the 1984 Ky. Acts.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Right to Refuse Treatment.

The right to refuse treatment is not absolute but is subject to the police power of the State to control persons who are immediate dangers to others or are incompetent and unable to care for themselves; however, absent a judicial declaration of incompetence or an emergency posing an immediate danger to the patient or others, the patient cannot be compelled to undergo treatment. Gundy v. Pauley, 619 S.W.2d 730, 1981 Ky. App. LEXIS 276 (Ky. Ct. App. 1981) (decided under prior law).

Where a person was voluntarily admitted to a state mental hospital, had not been declared incompetent, and did not constitute an immediate threat to others or to herself, the patient could not be compelled to undergo electroshock therapy against her will, even if it was considered in her best interest. Gundy v. Pauley, 619 S.W.2d 730, 1981 Ky. App. LEXIS 276 (Ky. Ct. App. 1981) (decided under prior law).

2.Mechanical Restraints.

Trial court’s dismissal of an indictment for the violation of a statute prohibiting the application of mechanical restraints to a patient was proper since there was nothing in the statute to indicate that it was a penal statute and thus failed to adequately advise defendant of the criminal nature of his acts. Commonwealth v. Jones, 514 S.W.2d 690, 1974 Ky. LEXIS 330 ( Ky. 1974 ) (decided under prior law).

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey, Oberst and Hunt, Administrative and Constitutional Law, 71 Ky. L.J. 417 (1982-83).

202A.196. Hospital review committee — Treatment plan.

  1. Every hospital approved under the provisions of this chapter shall have a review committee of three (3) qualified mental health professionals appointed by the hospital director. This review committee shall have the authority to review the appropriateness of a patient’s individual treatment plan.
  2. Upon the refusal of an involuntary patient to participate in any or all aspects of his treatment plan, the review committee shall examine the appropriateness of the patient’s individual treatment plan. Within three (3) days of the refusal, the review committee shall meet with the patient and his counsel or other representative to discuss its recommendations.
  3. If the patient still refuses to participate in any or all aspects of his individual treatment plan, the hospital may petition the District Court for a de novo determination of the appropriateness of the proposed treatment. Within seven (7) days, the court shall conduct a hearing, consistent with the patient’s rights to due process of law, and shall utilize the following factors in reaching its determination:
    1. Whether the treatment is necessary to protect the patient or others from harm;
    2. Whether the patient is incapable of giving informed consent to the proposed treatment;
    3. Whether any less restrictive alternative treatment exists; and
    4. Whether the proposed treatment carries any risk of permanent side effects.
  4. Upon the completion of the hearing, the court shall enter an appropriate judgment.

History. Enact. Acts 1982, ch. 445, § 28, effective July 1, 1982; 1988, ch. 139, § 12, effective July 15, 1988.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Interpretation of Terms.

The use of the term “harm” in subsection (3)(a) of this section is sufficiently definite when that term is considered in light of the statutory definition of “danger” found in KRS 202A.011(2). “Danger” is defined therein in terms of harm, and we find the two terms to be interchangeable. Messer v. Roney, 772 S.W.2d 648, 1989 Ky. App. LEXIS 81 (Ky. Ct. App. 1989).

2.Due Process.

This section mandates that the District Court shall insure that patients receive due process of law. This grants those patients all rights which the courts of this state and the federal courts have found to be encompassed by the term “due process.” Messer v. Roney, 772 S.W.2d 648, 1989 Ky. App. LEXIS 81 (Ky. Ct. App. 1989).

3.Standard of Proof.

The intrusiveness of this section and the loss of liberty resulting from the application of this section are at least potentially as great as in involuntary commitment proceedings, and court held that the standard of proof beyond a reasonable doubt shall apply in proceedings held pursuant to this section. Messer v. Roney, 772 S.W.2d 648, 1989 Ky. App. LEXIS 81 (Ky. Ct. App. 1989).

4.Court Required to Initiate Proceedings.

The court required to initiate proceedings for involuntary hospitalization under KRS Chapter 202A is the one in which the verdict under KRS 504.110 , not guilty by reason of insanity, or the determination of incompetency under 504.030 , is made. Tolley v. Commonwealth, 892 S.W.2d 580, 1995 Ky. LEXIS 28 ( Ky. 1995 ).

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey, Oberst and Hunt, Administrative and Constitutional Law, 71 Ky. L.J. 417 (1982-83).

202A.200. Exemption from personal liability. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 21) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.201. Mentally ill inmates.

  1. When an inmate of any penal and correctional institution is reported by the staff of that institution to the Department of Corrections as being so mentally ill that he cannot be properly treated with the facilities at the disposal of the staff, the Department of Corrections shall have an examination conducted on the inmate by a mental health professional.
  2. If this examination reveals that the inmate is mentally ill and appropriate treatment cannot be properly carried out in the institution in which he is incarcerated or within the facilities at the disposal of the Department of Corrections, the commissioner of the Department of Corrections may then request of the secretary of the Cabinet for Health and Family Services the inmate’s transfer to a hospital or forensic psychiatric facility. If the secretary of the Cabinet for Health and Family Services agrees that a transfer is necessary, the person shall be transferred to a Cabinet for Health and Family Services facility designated by the secretary of the Cabinet for Health and Family Services, where the person shall remain until the staff of the facility which received him advises the commissioner of the Department of Corrections that the person’s condition is such that he may be returned to the institution from which he came. No transfer shall be made to a correctional facility located on the grounds of a state mental hospital. The commissioner of the Department of Corrections shall then authorize his return. If the prisoner’s sentence expires during his stay in the facility and he is still in need of involuntary hospitalization, the staff of the facility shall petition the applicable District Court for further involuntary hospitalization of the patient under provisions of this chapter.
  3. Prior to the issuance of an order of transfer and unless the prisoner voluntarily agrees to the transfer, the commissioner shall:
    1. Send written notice to the prisoner that a transfer to a hospital or forensic psychiatric facility is being considered in sufficient time to permit the prisoner to prepare for the hearing;
    2. Hold a hearing at which time the prisoner is made aware of the evidence being relied upon for the transfer and at which an opportunity to be heard in person and to present documentary evidence is given;
    3. Provide an opportunity at the hearing to the prisoner to present testimony of witnesses and to confront and cross-examine witnesses called by the Department of Corrections, except upon a finding, not arbitrarily made, of good cause for not permitting the presentation;
    4. Provide an independent decision maker who has not participated in the request for transfer to a hospital or forensic psychiatric facility;
    5. Issue a written statement by the fact finder as to the evidence relied on and the reasons for transferring the prisoner; and
    6. Provide effective and timely notice of all the foregoing rights.
  4. During the time of the prisoner’s stay in a facility, his legal status as a prisoner shall remain unchanged until the termination of his sentence. The facility staff shall have no authority to parole, grant permission to visit relatives or friends outside the facility, or discharge the individual unless otherwise agreed to by the Department of Corrections. The time the prisoner spends in the facility shall be counted as a part of the prisoner’s sentence.

History. Enact. Acts 1982, ch. 445, § 29, effective July 1, 1982; 1986, ch. 331, § 33, effective July 15, 1986; 1986, ch. 428, § 6, effective July 15, 1986; 1988, ch. 139, § 13, effective July 15, 1988; 1992, ch. 211, § 72, effective July 14, 1992; 1994, ch. 418, § 7, effective July 15, 1994; 1998, ch. 426, § 178, effective July 15, 1998; 2005, ch. 99, § 213, effective June 20, 2005.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, ch. 445, which contains the following language in sec. 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Liability for Expenses.

Where a convict sentenced to the penitentiary is found to be insane and is transferred to a state mental hospital, the duty to supply him with board and maintenance remains the obligation of the state, and his estate cannot be held liable for board and maintenance. Department of Welfare v. Brock, 306 Ky. 243 , 206 S.W.2d 915, 1947 Ky. LEXIS 983 ( Ky. 1947 ) (decided under prior law).

Where one indicted for murder but not yet tried and convicted was found by a jury to be of unsound mind and committed to Central State Hospital, his estate was liable for room and board. Briskman v. Central State Hospital, 264 S.W.2d 270, 1954 Ky. LEXIS 665 ( Ky. 1954 ) (decided under prior law).

202A.202. Transfer of mentally ill patients or patients with an intellectual disability between facilities.

  1. The cabinet may transfer mentally ill patients or patients with an intellectual disability between hospitals, between hospitals and forensic psychiatric facilities, between hospitals and residential treatment centers for individuals with an intellectual disability, between residential treatment centers for individuals with an intellectual disability, and between residential treatment centers for individuals with an intellectual disability and forensic psychiatric facilities. A transfer shall be made upon the mutual agreement of the administrative officer, the officer’s designated representative or an authorized staff physician of each facility, if the agreement is based upon one (1) of the following findings by the officers, representatives or physicians:
    1. That the transfer will improve the opportunities of the patient to receive care and treatment most likely to be of benefit to the patient;
    2. That the transfer will permit the patient to receive care and treatment in the least restrictive alternative mode of treatment, considering the degree of danger or threat of danger to self or others which the patient presents; or
    3. That the transfer is part of an individual treatment plan which has been reviewed and approved by a court.
  2. The patient or his guardian or designated family member prior to transfer, shall receive notice of said proposed transfer and shall be allowed to challenge the transfer as part of his individual treatment plan under the provisions of KRS 202A.191 , 202A.196 , and KRS 210.270 .
  3. In an emergency situation where the patient presents a danger of serious injury or death to self or others within the institution so as to require immediate transfer to a more secure facility and which condition cannot be treated or resolved within a reasonable period of time in the present facility, the secretary may immediately transfer the patient to a more secure facility while the appeal provisions described in subsection (2) of this section are being carried out. In this event counsel shall be provided to the patient within three (3) days.

History. Enact. Acts 1988, ch. 139, § 10, effective July 15, 1988; 2012, ch. 146, § 34, effective July 12, 2012.

202A.210. Title. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, § 1) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.211. Return of Kentucky residents from other states.

  1. Legal residents of the state who have become public charges in other states and have been returned to Kentucky because they have been involuntarily hospitalized may be immediately admitted to a hospital at the request of the secretary or his designated representative.
  2. Within seventy-two (72) hours (excluding weekends and holidays) of the admission date, the staff of the hospital shall determine the need of the person for further hospitalization. If two (2) qualified mental health professionals, at least one (1) of whom is a physician, conclude that the patient shall be involuntarily hospitalized, they shall file in the appropriate court a certification requesting involuntary hospitalization procedures be initiated under the provisions of this chapter unless the patient has agreed to remain voluntarily.

History. Enact. Acts 1982, ch. 445, § 24, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.220. Applicability. [Repealed.]

Compiler’s Notes.

This section was enacted by § 150 of Acts 1980, ch. 280, effective July 1, 1982; section 1 of Acts 1982, ch. 284 amended section 153 of Acts 1980, ch. 280 changing the effective date of such enactment to July 15, 1984. However, § 44 of Acts 1982, ch. 445 repealed this section effective July 15, 1982.

This section was also repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.221. Hospital care or treatment by agency of United States.

  1. If an individual ordered to be hospitalized pursuant to this chapter is eligible for hospital care or treatment by any agency of the United States, the court, upon receipt of certificate from such agency showing that facilities are available and that the individual is eligible for care or treatment therein, may order him to be placed in the custody of such agency for hospitalization. When any such individual is admitted pursuant to the order of such court to any hospital or institution operated by any agency of the United States within or without the state, he shall be subject to the rules and regulations of such agency. The authorized staff physician of any hospital or institution operated by such agency and in which the individual is so hospitalized shall with respect to such individuals be vested with the same powers as the authorized staff physicians of hospitals within the state with respect to detention, custody, transfer, conditional release or discharge of patients. Jurisdiction is retained in the appropriate courts of this state at any time to inquire into the mental condition of an individual so hospitalized and to determine the necessity for continuance of the hospitalization, and every order of hospitalization issued pursuant to this section is so conditioned.
  2. An order of court of competent jurisdiction of another state or the District of Columbia authorizing hospitalization of an individual by any agency of the United States shall have the same force and effect as to the individual while in this state as in the jurisdiction in which is situated the court entering the order; the courts or the district issuing the order shall be deemed to have retained jurisdiction of the individual so hospitalized for the purpose of inquiring into his mental condition and determining the necessity for continuance of his hospitalization as is provided in subsection (1) of this section with respect to individuals ordered hospitalized by the courts of this state. Consent is hereby given to the application of the law of the district in which is located the court issuing the order for hospitalization with respect to the authority of the chief officer of any hospital or institution operated in this state by any agency of the United States to retain custody, transfer, conditionally release, or discharge the individual hospitalized.

History. Enact. Acts 1982, ch. 445, § 25, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.231. Transfer to agency of United States.

  1. Upon receipt of a certificate of the United States Public Health Service or such other agency of the United States government that facilities are available for the care or treatment of any person heretofore hospitalized in any mental hospital or other institution in this state for the care of mentally ill persons and that such person is eligible for such care or treatment, the secretary, upon recommendation by any such hospital or institution in this state, is hereby authorized to cause the transfer of any such person to the United States Public Health Service or other agency of the United States government for care or treatment. Upon effecting any such transfer, the hospitalizing court shall be notified thereof by the secretary.
  2. Any person transferred as provided in this section shall be deemed to be placed in the custody of the United States Public Health Service or other agency of the United States government pursuant to the original hospitalization the same as if he had been originally so hospitalized.
  3. No person shall be transferred to any agency of the United States if he be confined pursuant to conviction of any felony or misdemeanor or if he has been acquitted of the charge solely on the ground of mental illness unless prior to transfer the court issuing the confining order shall enter an order to transfer after the motion and hearing. Any person transferred as provided in this section to any agency of the United States shall be hospitalized by such agency pursuant to the original order of hospitalization.

History. Enact. Acts 1982, ch. 445, § 26, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.241. Use of least restrictive level of restraint — Guidelines for restrained person’s need for privacy and ability to use telephone.

All individuals transporting or holding persons under KRS Chapter 202A, 202B, or 645, shall use the least restrictive level of restraint consistent with the person’s needs. The Cabinet for Health and Family Services shall promulgate administrative regulations subject to the provisions of KRS Chapter 13A which shall include guidelines addressing the person’s need for privacy, particularly when being restrained, and the person’s ability to communicate by phone at the earliest opportunity available.

History. Enact. Acts 1994, ch. 498, § 21, effective July 15, 1994; 1998, ch. 426, § 179, effective July 15, 1998; 2005, ch. 99, § 214, effective June 20, 2005.

202A.251. Prohibition against detention in jail without criminal charges pending — Criminal charges not to be placed to avoid transportation.

No person held under the provisions of this chapter shall be detained in jail unless criminal charges are also pending. No peace officer or any other person shall place criminal charges against a person who is mentally ill and in need of hospitalization pursuant to this chapter solely or primarily for the purpose of avoiding transporting the person to a hospital or psychiatric facility.

History. Enact. Acts 1994, ch. 498, § 9, effective July 15, 1994.

Opinions of Attorney General.

A jailer may not refuse to accept a prisoner who has been charged with a crime on the ground that the jailer knows the charge is a ruse to hold the prisoner while a mental petition is pursued. OAG 94-62 .

202A.261. Certain hospitals not to be required to provide services.

No public or private hospital, other than a state-operated or contracted mental hospital or institution, shall be required to provide services under KRS 202A.008 , 202A.011 , 202A.028 , 202A.041 , 202A.051 , 202A.071 , 202A.081 , 202A.081 1 to 202A.0831 , 202A.101 , 202A.141 , 202A.241 , 202A.251 , 202A.261 , 202A.271 , 202B.170 , 202B.200 , 387.540 , 504.085 , 600.020 , 645.020 , 645.120 , and 645.280 unless the hospital agrees to provide the services. Any hospital shall make every reasonable attempt to cooperate with the implementation of KRS 202A.008 , 202A.011 , 202A.028 , 202A.041 , 202A.051 , 202A.071 , 202A.081, 202A.101 , 202A.141 , 202A.241 , 202A.251 , 202A.261 , 202A.271 , 202B.170 , 202B.200 , 387.540 , 504.085 , 600.020 , 645.020 , 645.120 , and 645.280 .

HISTORY: Enact. Acts 1994, ch. 498, § 10, effective July 15, 1994; 2017 ch. 154, § 1, effective June 29, 2017.

202A.271. Rates for payment for provision of hospital services.

Each public or private hospital, other than a state-operated or contracted mental hospital or institution, which provides services under KRS 202A.008 , 202A.011 , 202A.028 , 202A.041 , 202A.051 , 202A.071 , 202A.081 , 202A.081 1 to 202A.0831 , 202A.101 , 202A.141 , 202A.241 , 202A.251 , 202A.261 , 202A.271 , 202B.170 , 202B.200 , 387.540 , 504.085 , 600.020 , 645.020 , 645.120 , and 645.280 shall be paid for the services at the same rates the hospital negotiates with the Department for Behavioral Health, Developmental and Intellectual Disabilities or the regional community program for mental health and for individuals with an intellectual disability.

HISTORY: Enact. Acts 1994, ch. 498, § 11, effective July 15, 1994; 2012, ch. 146, § 35, effective July 12, 2012; 2012, ch. 158, § 24, effective July 12, 2012; 2017 ch. 154, § 2, effective June 29, 2017.

202A.301. Exemption from personal liability.

Persons carrying out duties or rendering professional opinions as provided in this chapter shall be free of personal liability for such actions, provided that such activities are performed in good faith within the scope of their professional duties and in a manner consistent with accepted professional practices.

History. Enact. Acts 1982, ch. 445, § 30, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.400. Duty of mental health professional to warn intended victim of patient’s threat of violence.

  1. No monetary liability and no cause of action shall arise against any mental health professional for failing to predict, warn of or take precautions to provide protection from a patient’s violent behavior, unless the patient has communicated to the mental health professional an actual threat of physical violence against a clearly identified or reasonably identifiable victim, or unless the patient has communicated to the mental health professional an actual threat of some specific violent act.
  2. The duty to warn of or to take reasonable precautions to provide protection from violent behavior arises only under the limited circumstances specified in subsection (1) of this section. The duty to warn a clearly or reasonably identifiable victim shall be discharged by the mental health professional if reasonable efforts are made to communicate the threat to the victim, and to notify the police department closest to the patient’s and the victim’s residence of the threat of violence. When the patient has communicated to the mental health professional an actual threat of some specific violent act and no particular victim is identifiable, the duty to warn has been discharged if reasonable efforts are made to communicate the threat to law enforcement authorities. The duty to take reasonable precaution to provide protection from violent behavior shall be satisfied if reasonable efforts are made to seek civil commitment of the patient under this chapter.
  3. No monetary liability and no cause of action shall arise against any mental health professional for confidences disclosed to third parties in an effort to discharge a duty arising under subsection (1) of this section according to the provisions of subsection (2) of this section.
  4. For purposes of this section:
    1. “Mental health professional” means:
      1. A physician licensed under the laws of Kentucky to practice medicine or osteopathy, or a medical officer of the government of the United States while engaged in conducting mental health services;
      2. A psychiatrist licensed under the laws of Kentucky to practice medicine or osteopathy, or a medical officer of the government of the United States engaged in conducting mental health services;
      3. A psychologist, a psychological practitioner, a certified psychologist, or a psychological associate, licensed under the provisions of KRS Chapter 319;
      4. A registered nurse licensed under the provisions of KRS Chapter 314 engaged in providing mental health services;
      5. A licensed clinical social worker licensed under the provisions of KRS 335.100 , or a certified social worker licensed under the provisions of KRS 335.080 engaged in providing mental health services;
      6. A marriage and family therapist licensed under the provisions of KRS 335.300 to 335.399 engaged in providing mental health services;
      7. A professional counselor credentialed under the provisions of KRS Chapter 335.500 to 335.599 engaged in providing mental health services;
      8. An art therapist certified under KRS 309.130 engaged in providing mental health services; or
      9. A pastoral counselor licensed under the provisions of KRS 335.600 to 335.699 engaged in providing mental health services; and
    2. “Patient” has the same meaning as in KRS 202A.011 , except that it also includes a person currently under the outpatient care or treatment of a mental health professional.

HISTORY: Enact. Acts 1986, ch. 348, § 1, effective July 15, 1986; 2002, ch. 99, § 3, effective March 28, 2002; 2014, ch. 64, § 1, effective July 15, 2014; 2015 ch. 61, § 1, effective June 24, 2015.

NOTES TO DECISIONS

1.Retroactive Effect.

This section would not be given a retroactive effect to apply to a cause of action which accrued prior to 1986. Evans v. Morehead Clinic, 749 S.W.2d 696, 1988 Ky. App. LEXIS 62 (Ky. Ct. App. 1988).

2.Applicability.

KRS 202A.400(1) shielded a psychiatrist from liability for a patient’s killing of a decedent because there was no evidence that the patient communicated to the psychiatrist an actual threat to inflict violent harm on the decedent; a nurse’s notation of “homicidal ideation” was based on what the decedent and his sister had said about the patient’s prior actions, but the patient never in his own words and gestures expressed or communicated an intent or desire to harm the decedent, and the patient’s claim that he was afraid that he could not control himself was not communication of an actual threat. DeVasier v. James, 278 S.W.3d 625, 2009 Ky. LEXIS 32 ( Ky. 2009 ).

Trial court properly found that two physicians and a hospital were shielded from liability in a widow’s action for wrongful death and medical malpractice because a former patient never communicated an actual, specific threat of harm or physical violence against the decedent to any of his mental health providers, the widow gave no indication of how the physicians allegedly deviated from appropriate standards nor what they could have done differently in their treatment of the patient where the decedent had no relationship with the physicians from which a duty to him could arise, and, absent proof of negligence or wrongdoing by the physicians, there simply was no liability to the hospital based on the doctrine of respondeat superior. Stanziano v. Cooley, 598 S.W.3d 82, 2019 Ky. App. LEXIS 116 (Ky. Ct. App. 2019).

3.Construction.

Phrase “communicated to a mental health professional” in KRS 202A.400(1) included both direct or indirect threats, and the lack of a direct communication to a psychiatrist concerning his patient’s potential violence toward a decedent did not entitle the psychiatrist to a directed verdict in a wrongful death action; this broader construction better reflected the intent and purpose of the legislature because it comported more closely with common experience and was consistent with the general principle of law that knowledge or notice to an agent was imputed to the principal. DeVasier v. James, 278 S.W.3d 625, 2009 Ky. LEXIS 32 ( Ky. 2009 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Elliot, Social Workers and Psychologists Under Kentucky Law: Privilege, Duty to Warn and Malpractice, Vol. 57, No. 3, Summer 1993, Ky. Bench & Bar 16.

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

202A.410. Duty of administrator to warn law enforcement agency, prosecutor, and Department of Corrections upon discharge, transfer, or escape of involuntarily committed patient charged or convicted of a violent crime — Immunity for acting in good faith — Notification of victim — Administrative regulations.

  1. When a patient who has been involuntarily committed to a psychiatric facility or forensic psychiatric facility and who has been charged with or convicted of a violent crime as defined in KRS 439.3401 is discharged or transferred from the facility, the administrator shall notify the law enforcement agency in the county to which the person is to be released, the prosecutor in the county where the violent crime was committed, and the Department of Corrections.
  2. If a patient who has been involuntarily committed to a psychiatric facility or forensic psychiatric facility and who has been charged with or convicted of a violent crime as defined in KRS 439.3401 escapes from the facility, the administrator shall notify the law enforcement agency in the county in which the facility is located, the prosecutor in the county where the violent crime was committed, and the Department of Corrections.
  3. The administrator of a psychiatric facility or forensic psychiatric facility, or the administrator’s designee, who acts in good faith in making the notifications required in this section or is unable to provide the release information required, is immune from any civil liability.
  4. The Department of Corrections shall notify, or contract with a private entity to notify, victims of crime, judges, and witnesses involved in the hearing that resulted in the involuntary commitment who have made a notification request of the discharge or escape of a patient from a psychiatric facility or forensic psychiatric facility.
  5. The Department of Corrections and the Cabinet for Health and Family Services shall each promulgate administrative regulations under KRS Chapter 13A to carry out the duties set forth in this statute.

History. Enact. Acts 1998, ch. 606, § 80, effective July 15, 1998; 2005, ch. 99, § 215, effective June 20, 2005; 2012, ch. 156, § 23, effective July 12, 2012.

Advance Directive for Mental Health Treatment

202A.420. Definitions for KRS 202A.420 to 202A.432.

As used in KRS 202A.420 to 202A.432 , unless the context requires otherwise:

  1. “Advance directive for mental health treatment” or “advance directive” means a written document, or a document in a form consistent with the provisions of the federal Americans with Disabilities Act (ADA), made voluntarily by a grantor in accordance with the provisions of KRS 202A.420 to 202A.432 that provides instructions for mental health treatment.
  2. “Grantor” means an adult eighteen (18) years of age or older whose right to make health care decisions or to execute legal documents has not been limited, and who has executed an advance directive for mental health treatment.
  3. “Surrogate” means an adult who has not provided health care services to the grantor, who has been designated by the grantor to act, and who agrees to act on behalf of the grantor in accordance with KRS 202A.420 to 202A.432 . The term includes an alternate surrogate.
  4. “Procedures for emergency intervention” means the use of physical or chemical restraint or seclusion in an emergency situation.

History. Enact. Acts 2003, ch. 190, § 1, effective June 24, 2003.

Compiler’s Notes.

The Americans with Disabilities Act is compiled as 29 USCS § 12101 et seq.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

202A.422. Advance directive for mental health treatment — Scope — Witnesses, notaries, and persons authorized to administer oaths — Effect — Notification to health care provider and health care facility — Exemptions from criminal prosecution and civil liability.

  1. An adult may execute an advance directive for mental health treatment that includes one (1) or more of the following:
    1. Refusal of specific psychotropic medications, but not an entire class of psychotropic medications. This refusal may be due to factors that include but are not limited to their lack of efficacy, known drug sensitivity, or previous experience of adverse reactions;
    2. Refusal of electric shock therapy (ECT);
    3. Stated preferences for psychotropic medications;
    4. Stated preferences for procedures for emergency interventions; and
    5. Provision of information in any area specified by the grantor.
  2. The execution of an advance directive shall be complete when signed by the grantor and:
    1. Signed by two (2) adult witnesses who attest that the grantor:
      1. Is known to them;
      2. Signed the advance directive in their presence; and
      3. Did not appear to be under duress, fraud, or undue influence; or
    2. Acknowledged before a notary public or other person authorized to administer oaths.
  3. The following persons shall not serve as a witness, a notary public, or other person authorized to administer oaths to the signing of an advance directive:
    1. The grantor’s current health care provider or a relative of the current health care provider; and
    2. An owner, operator, employee, or relative of an owner or operator of a health facility in which the grantor is a client or resident, unless the owner, operator, employee, or relative serves as a notary public.
  4. An advance directive shall not override the grantor’s right under federal and state law to refuse treatment.
  5. The grantor or the surrogate of the grantor shall be responsible for providing a copy of the advance directive to the grantor’s health care provider and health care facility where the grantor is a patient.
  6. An advance directive for mental health treatment shall be honored in any setting, except a hospital emergency room or a hospital emergency department, that is required to honor advance directives under Title XVIII or Title XIX of the Federal Social Security Act.
  7. A health care provider, health care facility, surrogate, or other responsible party shall not be subject to criminal prosecution or civil liability if acting in agreement with an advance directive for mental health treatment executed in accordance with KRS 202A.420 to 202A.432 or if acting in good faith without knowledge of the existence or revocation of an advance directive.

History. Enact. Acts 2003, ch. 190, § 2, effective June 24, 2003; 2020 ch. 36, § 12, effective July 15, 2020.

Compiler’s Notes.

Title XVIII of the Social Security Act, referred to in subsection (6), is compiled as 42 USCS § 1395 et seq. Title XIX of the Social Security Act is compiled as 42 USCS § 1396 et seq.

202A.424. Powers of designated surrogate.

  1. A surrogate designated by a grantor in an advance directive for mental health treatment shall act on behalf of the grantor in accordance with the desires of the grantor as indicated in the advance directive and may override the advance directive only if there is substantial medical evidence that failing to do so would result in harm to the grantor.
  2. When acting on behalf of the grantor, the surrogate shall consider the recommendations of the health care provider and honor the decisions made by the grantor as expressed in the advance directive.
  3. If the grantor’s instructions or preferences are not stated in the advance directive, the surrogate may act in good faith on behalf of the grantor in the manner that the surrogate believes the grantor would act.
  4. A surrogate may resign at any time by giving written notice to the grantor, to the immediate successor surrogate, if any, to the attending health care provider, or to the health care facility.

History. Enact. Acts 2003, ch. 190, § 3, effective June 24, 2003.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

202A.426. Refusal to comply with advance directive or surrogate’s decision — Effect of refusal.

  1. A health care provider or health care facility shall provide mental health treatment that complies with the instructions in an advance directive to the fullest extent possible when the instructions are within standards for mental and physical health care and permitted by state and federal law.
  2. A health care provider or health care facility may override expressed refusals of treatment only if:
    1. A court order contradicts the advance directive; or
    2. There is an emergency endangering a person’s life or posing a serious risk to physical health.
  3. Deviations from expressed preferences in an advance directive shall be documented by the health care provider or health care facility in the grantor’s medical record.
  4. A health care provider or health care facility that refuses to comply with an advance directive of a grantor or a decision made by a surrogate shall:
    1. Immediately inform the grantor or surrogate, if one is designated, of the refusal; and
    2. Not impede the transfer of the grantor to another health care provider or health care facility.

History. Enact. Acts 2003, ch. 190, § 4, effective June 24, 2003.

202A.428. Revocation of advance directive for mental health treatment.

An advance directive may be revoked by:

  1. A document that is signed and dated by the grantor and declares an intention to revoke;
  2. An oral statement of intent to revoke made by a grantor to a health care provider in the presence of some other person; or
  3. Destruction of the document by the grantor or by some person in the grantor’s presence at the grantor’s direction.

History. Enact. Acts 2003, ch. 190, § 5, effective June 24, 2003.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

202A.430. Form of advance directive for mental health treatment.

An advance directive for mental health treatment shall be in substantially the following form:

“Advance directive for mental health treatment I, , willfully and voluntarily execute this advance directive for mental health treatment. I want the instructions in this advance directive to be followed as described below. Designated surrogate I am naming a surrogate to see that my instructions for mental health treatment are carried out. I am not naming a surrogate to see that my instructions for mental health treatment are carried out. I designate to act as my surrogate. If this person withdraws or is unwilling to act on my behalf, or if I revoke that person’s authority to act as my surrogate, I designate to act as my alternate surrogate. If I do not designate a surrogate, if my surrogate and alternate surrogate withdraw or are unwilling to act on my behalf, or if I revoke their authority to act, then the health care provider and health care facility may proceed to render treatment in accordance with my instructions as described here and in accordance with standards for mental and physical health care. The person acting as my surrogate is authorized to act in accordance with the content of this advance directive and may override the advance directive if, and only if, there is substantial medical evidence that failing to do so would result in harm to me. If my instructions and preferences are not stated in the advance directive, the surrogate may act in good faith in making treatment decisions in the manner in which the surrogate believes I would act. Psychotropic medication provisions I may indicate below any refusals of treatment with specific psychotropic medications, not to include an entire class of medications, due to factors that may include but are not limited to lack of efficacy, known drug sensitivity, or experience of adverse reaction: I specifically do not consent and do not authorize my surrogate to consent to the administration of the following medications or their respective brand-name or generic equivalents for the reasons given: Specific psychotropic medicationReason for refusal I may list below any specific psychotropic medications that I would be willing to have administered to me if additional medications become necessary: Specific psychotropic medications Electroconvulsive therapy provisions Below are my instructions regarding electroconvulsive therapy (ECT): I consent to electroconvulsive therapy (ECT) if it is deemed clinically appropriate to treat my condition. I do not consent to electroconvulsive therapy (ECT). Preferred procedures for emergency interventions I may state preferences for procedures for emergency interventions to be used when necessary for my protection or the protection of others. I understand that I am requesting consideration of my preferences for procedures for emergency interventions but that my surrogate, my health care provider, and the health care facility where I am a patient are not subject to civil liability for not abiding by these preferences. I understand that in the case of possible harm to myself or others, my health care provider or the health care facility may need to use procedures that override my stated preferences. If during an admission or while a patient in a health care facility, it is determined that I am engaging in behavior that requires emergency intervention, my preferences regarding the procedures to be used during an emergency intervention and the order that I prefer the interventions to be used are as follows: InterventionOrder of preferenceReason for this preference Seclusion Physical restraints Seclusion and physical restraint combined Medication by injection Medication in pill form Liquid medication Other: Signed this day of , 20 Signature of grantor: Address of grantor: In my presence, the grantor voluntarily dated and signed this writing or directed it to be dated and signed. I am not the grantor’s current health care provider, a relative of the current health care provider, or an owner, operator, employee or relative of an owner or operator of a health facility in which the grantor is a client or resident. Signatures of witnesses: Surrogate contact information (if designated): Name: Address: Telephone: Signed this day of , 20 Signature of surrogate: Alternate surrogate contact information (if designated): Name: Address: Telephone Signed this day of , 20 Signature of alternate surrogate:”

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History. Enact. Acts 2003, ch. 190, § 6, effective June 24, 2003.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Advance Directive for Mental Health Treatment, Form 269.05.

202A.432. Short title for KRS 202A.420 to 202A.432.

KRS 202A.420 to 202A.432 may be cited as the Kentucky Advance Directive for Mental Health Act.

History. Enact. Acts 2003, ch. 190, § 7, effective June 24, 2003.

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 267.00.

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Health Care Actions, § 269.00.

202A.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 332, §§ 22, 34; 1978, ch. 384, § 57, effective June 17, 1978) was repealed by Acts 1982, ch. 445, § 44, effective July 15, 1982.

Legislative Research Commission Notes.

This section was repealed in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

202A.991. Penalties.

  1. Any person who willfully causes or conspires with or assists another in causing:
    1. The unwarranted hospitalization of any individual under the provisions of this chapter; or
    2. The denial of any individual of any of the rights accorded to him under the provisions of this chapter;

      shall be guilty of a Class A misdemeanor.

  2. Any person who violates the confidentiality of any mental health record under the provisions of this chapter shall be guilty of a Class B misdemeanor.

History. Enact. Acts 1982, ch. 445, § 33, effective July 1, 1982.

Legislative Research Commission Notes.

This section was enacted in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

CHAPTER 202B Admission of an Individual with an Intellectual Disability

202B.010. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Authorized staff physician” means a person who is employed as a physician of an ICF/ID;
  2. “Interdisciplinary team” means the group of persons responsible for the diagnosis, evaluation, and individualized program planning and service implementation for the resident. The team is composed of a physician, a psychologist, a registered nurse, a social worker, and other professionals, at least one (1) of whom is a qualified professional in the area of intellectual disabilities, and may include the resident, the resident’s family, or the guardian;
  3. “Cabinet” means the Kentucky Cabinet for Health and Family Services;
  4. “Danger” or “threat of danger to self, family, or others” means substantial physical harm or threat of substantial physical harm upon self, family, or others, including actions which deprive self, family, or others of the basic means of survival including provision for reasonable shelter, food, or clothing;
  5. “Forensic psychiatric facility” means a mental institution or facility, or part thereof, designated by the secretary for the purpose and function of providing inpatient evaluation, care, and treatment for mentally ill persons or individuals with an intellectual disability who have been charged with or convicted of a felony;
  6. “Hospital” means:
    1. A state mental hospital or institution or other licensed public or private hospital, institution, health-care facility, or part thereof, approved by the Kentucky Cabinet for Health and Family Services as equipped to provide full-time residential care and treatment for mentally ill persons or individuals with an intellectual disability;
    2. A hospital, institution, or health-care facility of the government of the United States equipped to provide residential care and treatment for mentally ill persons or individuals with an intellectual disability;
  7. “Judge” means any judge or justice of the Court of Justice or a trial commissioner of the District Court acting under authority of SCR 5.030 ;
  8. “Least restrictive alternative mode of treatment” means that treatment given in the least confining setting which will provide an individual with an intellectual disability appropriate treatment or care consistent with accepted professional practice. For purposes of this section, least restrictive alternative mode of treatment may include an institutional placement;
  9. “ Individual with an intellectual disability ” means a person with significantly subaverage general intellectual functioning existing concurrently with deficits in adaptive behavior and manifested during the developmental period;
  10. “ICF/ID” means an intermediate-care facility approved by the cabinet for the evaluation, care, and treatment of individuals with an intellectual disability;
  11. “Petitioner” means a person who institutes a proceeding under this chapter;
  12. “Qualified professional in the area of intellectual disabilities” means:
    1. A physician licensed under the laws of Kentucky to practice medicine or osteopathy, or a medical officer of the government of the United States while engaged in the performance of official duties;
    2. A psychologist with the health service provider designation, a psychological practitioner, a certified psychologist, or a psychological associate licensed under the provisions of KRS Chapter 319;
    3. A licensed registered nurse with a master’s degree in psychiatric nursing from an accredited institution and two (2) years of clinical experience of which one (1) year is with individuals with an intellectual disability; or a licensed registered nurse, with a bachelor’s degree in nursing from an accredited institution, who has three (3) years of inpatient or outpatient clinical experience of which one (1) year is in the field of individuals with an intellectual disability and is currently employed by an ICF/ID licensed by the cabinet, a hospital, a regional community program for mental health or individuals with an intellectual disability, or a private agency or company engaged in the provision of services to individuals with an intellectual disability;
    4. A licensed clinical social worker licensed under the provisions of KRS 335.100 , or a certified social worker licensed under the provisions of KRS 335.080 with two (2) years of inpatient or outpatient clinical experience in social work of which one (1) year shall be in the field of individuals with an intellectual disability and is currently employed by an ICF/ID licensed by the cabinet, a hospital, a regional community program for mental health or individuals with an intellectual disability, or a private agency or company engaged in the provision of services to individuals with an intellectual disability;
    5. A marriage and family therapist licensed under the provisions of KRS 335.300 to 335.399 with three (3) years of inpatient or outpatient clinical experience in psychiatric mental health practice and currently employed by a hospital or forensic facility licensed by the Commonwealth, a psychiatric unit of a general hospital, a private agency or company engaged in providing mental health services, or a regional community program for mental health or individuals with an intellectual disability; or
    6. A professional counselor credentialed under the provisions of KRS 335.500 to 335.599 with three (3) years of inpatient or outpatient clinical experience in psychiatric mental health practice and currently employed by a hospital or forensic facility licensed by the Commonwealth, a psychiatric unit of a general hospital, a private agency or company engaged in providing mental health services, or a regional community program for mental health or individuals with an intellectual disability;
  13. “Residence” means legal residence as determined by applicable principles governing conflicts of law;
  14. “Resident” means a person under care or treatment in an ICF/ID pursuant to the provisions of this chapter;
  15. “Respondent” means a person alleged in a hearing under this chapter to be an individual with an intellectual disability; and
  16. “Secretary” shall mean the secretary of the Cabinet for Health and Family Services.

History. Enact. Acts 1976, ch. 328, § 2; 1986, ch. 79, § 1, effective March 6, 1986; 1988, ch. 139, § 20, effective July 15, 1988; 1990, ch. 147, § 1, effective July 13, 1990; 1996, ch. 369, § 20, effective July 15, 1996; 1998, ch. 426, § 180, effective July 15, 1998; 2002, ch. 99, § 2, effective March 28, 2002; 2005, ch. 99, § 216, effective June 20, 2005; 2012, ch. 146, § 36, effective July 12, 2012.

NOTES TO DECISIONS

1.Constitutionality.

Even though there are significant differences between the mentally ill and the mentally retarded, that does not erase the principle that mentally ill persons and mentally retarded persons are in similar positions: each has a fundamental constitutional right not to be placed in an institution until a judicial hearing has taken place and appropriate findings have been made that they pose a danger, or threat of danger, to self or others, and have met the other requirements set out in the statutes; therefore this chapter violates the equal protection clause and is unconstitutional in not providing a mentally retarded person 18 years or older a judicial hearing prior to his or her involuntary commitment. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

Because there is no rational basis for distinguishing between the mentally ill and the mentally retarded with regard to a judicial determination of their eligibility for civil commitment, equal protection requires the Commonwealth to provide a judicial hearing to the mentally retarded, either upon admission, or, if now committed, when they reach adulthood. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require a periodic judicial review over the course of commitment of the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require that adults who are involuntarily committed are entitled to a judicial hearing; although, as a matter of policy, precommitment review by a judicial officer would ensure the most vigorous protection of the mentally retarded and thus might be preferable, it has been noted in a variety of situations that due process does not require that the neutral trier of fact be legally trained or a judicial or administrative officer. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process requires that mentally retarded adults in this Commonwealth receive: written notice that a transfer to a hospital is being considered, a hearing, an opportunity at the hearing to present testimony of witnesses and to confront and cross-examine witnesses, an independent decisionmaker, a written statement by the factfinder, and qualified and independent assistance. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

The current procedure for the involuntary commitment of mentally retarded adults does not conform with due process because there is no formal mechanism for providing notice and no method of assuring that the adequacy of notice is related to the time which the potential admittee would require to prepare for the hearing; there is no procedure whereby the admittee may present witnesses or documentary evidence, nor is there a clear opportunity for cross-examination; no independent assistance is allowed; and the parent or guardian of the person to be committed is allowed to be a member of the interdisciplinary team, which poses a serious threat to impartiality. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

There is no legitimate interest of the Commonwealth which would justify denying the mentally retarded periodic judicial review while providing the same to the mentally ill; therefore, equal protection requires that the Commonwealth make a judicial review procedure available to the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Kentucky’s lower standard of proof for the involuntary commitment of those alleged to be mentally retarded than of those alleged to be mentally ill did not violate the Equal Protection Clause of the Fourteenth Amendment; the statutory distinctions were rationally based on the premise that mental retardation is easier to diagnose than mental illness and that a “dangerousness” determination is more accurate as to the mentally retarded than the mentally ill. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

2.Judicial Review.

As to the periodic review of the commitment of mentally retarded persons 18 years or older, there must be some judicial review, at some appropriate time, of the commitment of such persons. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

3.Judicial Commitment Hearing.

Due process protections which are a part of the formal guardianship hearing do not vitiate the need for a hearing at the time of commitment. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Cited in:

Kentucky Asso. for Retarded Citizens v. Conn, 510 F. Supp. 1233, 1980 U.S. Dist. LEXIS 16470 (W.D. Ky. 1980 ), aff’d, Kentucky Asso. for Retarded Citizens, Inc. v. Conn, 674 F.2d 582, 1982 U.S. App. LEXIS 20368 (6th Cir. Ky. 1982 ).

Opinions of Attorney General.

A petition for an involuntary hospitalization order of either 60 days or 360 days must be filed in the Circuit Court unless the Circuit Court is not in session and if the Circuit Court is not in session then it may be filed in the county court; in the event the Circuit Court was in session at the time of the filing of the petition but completed the session before holding the hearing on the petition the county court cannot take jurisdiction; however, if the petitioner desires that the proceedings continue he must refile in the county court. OAG 76-581 .

The procedures to be followed for obtaining 60-day or 360-day orders under KRS Chapter 202B are the same as those used under KRS Chapter 202A. OAG 76-581 .

Research References and Practice Aids

Cross-References.

Disposition of person found not guilty by reason of insanity, KRS 504.030 .

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Guardians and Conservators (Mentally Disabled Persons), § 260.00.

202B.018. Venue for involuntary admission.

All proceedings for the involuntary admission of individuals with an intellectual disability shall be initiated in the District Court of the county where the person to be treated resides or in which the person may be at the time of the filing of a petition.

History. Enact. Acts 1990, ch. 147, § 2, effective July 13, 1990; 2012, ch. 146, § 37, effective July 12, 2012.

202B.019. County attorney’s duties.

In all proceedings under this chapter, it shall be the duty of the county attorney to assist the petitioner and represent the interest of the Commonwealth and to assist the court in its inquiry by the presentation of evidence.

History. Enact. Acts 1990, ch. 147, § 3, effective July 13, 1990.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

Research References and Practice Aids

Kentucky Law Journal.

Underwood, Part-Time Prosecutors and Conflicts of Interest: A Survey and Some Proposals, 81 Ky. L.J. 1 (1993).

202B.020. Hospitalization for mentally retarded — Court examination. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 328, § 3; 1982, ch. 141, § 36; 1982, ch. 445, § 36) was repealed by Acts 1990, ch. 147, § 36, effective July 13, 1990.

202B.021. Voluntary admission to an ICF/ID — Discharge of voluntarily admitted resident — Release of voluntarily admitted resident upon written request.

  1. Minors and adult persons with an intellectual disability may be voluntarily admitted for care and treatment in an ICF/ID under the applicable provisions of this section.
  2. Upon the recommendation or approval of the interdisciplinary team of an ICF/ID, a physician may admit for care and treatment a minor with an intellectual disability upon application of a parent or guardian. Upon recommendation or approval of the interdisciplinary team of an ICF/ID, the physician may also admit an individual with an intellectual disability who applies voluntarily therefor and who, in the opinion of the physician, possesses the mental capacity to give informed consent for admission.
  3. Upon recommendation or approval of the interdisciplinary team of an ICF/ID, the physician shall discharge any voluntarily admitted resident whose care and treatment in the ICF/ID is determined to be no longer necessary or advisable.
  4. If an adult resident who has been admitted voluntarily requests his or her release in writing, or if the release of a minor resident is requested in writing by the minor’s parent or guardian, the resident shall be released unless further detained under the applicable provisions of this chapter.

History. Enact. Acts 1990, ch. 147, § 4, effective July 13, 1990; 1992, ch. 142, § 1, effective July 14, 1992; 2006, ch. 195, § 1, effective July 12, 2006; 2012, ch. 146, § 38, effective July 12, 2012.

202B.025. Temporary admission by authorized staff physician at ICF/ID.

  1. An authorized staff physician may order the admission of any person who is present at, or is presented at, an ICF/ID. Within twenty-four (24) hours, excluding weekends and holidays, of the admission under this section, the authorized staff physician ordering the admission of the person shall certify in the record of the individual that in the opinion of the physician, the individual should be involuntarily admitted.
  2. Any person who has been admitted to an ICF/ID under subsection (1) of this section shall be released from the ICF/ID within seventy-two (72) hours, excluding weekends and holidays, unless further detained under the applicable provisions of this chapter.

History. Enact. Acts 1990, ch. 147, § 5, effective July 13, 1990; 2012, ch. 146, § 39, effective July 12, 2012.

202B.030. Placement of involuntarily admitted individual with an intellectual disability.

When individuals with an intellectual disability are involuntarily hospitalized under this chapter, the cabinet may place them in an ICF/ID. No individual with an intellectual disability may be involuntarily placed in a hospital without the consent of the secretary, except when the determination of concurrent mental illness is made under the provisions of KRS Chapter 202A. No individual with an intellectual disability may be involuntarily admitted to a hospital or ICF/ID when the cabinet determines that appropriate programs and space are not available.

History. Enact. Acts 1976, ch. 328, § 4; 1990, ch. 147, § 6, effective July 13, 1990; 2012, ch. 146, § 40, effective July 12, 2012.

NOTES TO DECISIONS

Cited in:

Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff’d in part, rev’d in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), modified, Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. 1988), cert. denied, Cowherd v. Doe, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327, 57 U.S.L.W. 3376 (1988).

202B.040. Criteria for involuntary admission for individuals with an intellectual disability.

When a person who is alleged to be an individual with an intellectual disability is involuntarily admitted, there shall be a determination that:

  1. The person is an individual with an intellectual disability;
  2. The person presents a danger or a threat of danger to self, family, or others;
  3. The least restrictive alternative mode of treatment presently available requires placement in an ICF/ID; and
  4. Treatment that can reasonably benefit the person is available in an ICF/ID.

History. Enact. Acts 1976, ch. 328, § 5; 1982, ch. 445, § 37, effective July 1, 1982; 1986, ch. 79, § 2, effective March 6, 1986; 1990, ch. 147, § 7, effective July 13, 1990; 2012, ch. 146, § 41, effective July 12, 2012.

Legislative Research Commission Notes.

This section was amended in 1982 Acts, Chapter 445, which contains the following language in Section 45 of that Act: “This Act shall become effective on July 1, 1982.” The Ky. Constitution, in Section 55, requires that a reason be set forth for the emergency. However, no reason is set forth in this Act. The effective date for 1982 Acts with no emergency provision is July 15, 1982.

NOTES TO DECISIONS

1.Constitutionality.

Because there is no rational basis for distinguishing between the mentally ill and the mentally retarded with regard to a judicial determination of their eligibility for civil commitment, equal protection requires the Commonwealth to provide a judicial hearing to the mentally retarded, either upon admission, or, if now committed, when they reach adulthood. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require a periodic judicial review over the course of commitment of the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process requires that mentally retarded adults in this Commonwealth receive: written notice that a transfer to a hospital is being considered, a hearing, an opportunity at the hearing to present testimony of witnesses and to confront and cross-examine witnesses, an independent decisionmaker, a written statement by the factfinder, and qualified and independent assistance. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require that adults who are involuntarily committed are entitled to a judicial hearing; although, as a matter of policy, precommitment review by a judicial officer would ensure the most vigorous protection of the mentally retarded and thus might be preferable, it has been noted in a variety of situations that due process does not require that the neutral trier of fact be legally trained or a judicial or administrative officer. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

The current procedure for the involuntary commitment of mentally retarded adults does not conform with due process because there is no formal mechanism for providing notice and no method of assuring that the adequacy of notice is related to the time which the potential admittee would require to prepare for the hearing; there is no procedure whereby the admittee may present witnesses or documentary evidence, nor is there a clear opportunity for cross-examination; no independent assistance is allowed; and the parent or guardian of the person to be committed is allowed to be a member of the interdisciplinary team, which poses a serious threat to impartiality. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

There is no legitimate interest of the Commonwealth which would justify denying the mentally retarded periodic judicial review while providing the same to the mentally ill; therefore, equal protection requires that the Commonwealth make a judicial review procedure available to the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Kentucky’s lower standard of proof for the involuntary commitment of those alleged to be mentally retarded than of those alleged to be mentally ill did not violate the Equal Protection Clause of the Fourteenth Amendment; the statutory distinctions were rationally based on the premise that mental retardation is easier to diagnose than mental illness and that a “dangerousness” determination is more accurate as to the mentally retarded than the mentally ill. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

2.Legislative Intent.

Where mentally retarded patients at present mental retardation residential treatment center would be placed in new mental retardation residential center, they were not entitled to be transferred instead to community living facility until it was shown that adequate community living-facilities were available, since this section and KRS 202B.060 taken together reveal the intention of the legislature to provide the least restrictive alternative mode of treatment for the mentally retarded, which, until the community living facilities were available, would be the mental retardation residential treatment center. Kentucky Ass'n for Retarded Citizens v. Conn, 510 F. Supp. 1233, 1980 U.S. Dist. LEXIS 16470 (W.D. Ky. 1980 ), aff'd, 674 F.2d 582, 1982 U.S. App. LEXIS 20368 (6th Cir. Ky. 1982 ).

3.Voluntary Commitment.

Where retarded adult individuals have acted on their own and without the auspices of a guardian or committee in applying to and securing admission to a mental retardation residential treatment center, such individuals are considered to be voluntarily confined and thus the requirement of this section and KRS 202B.060 that they are entitled to the least restrictive alternative mode of treatment does not apply since they are instead entitled to immediate discharge upon their own application. Kentucky Ass'n for Retarded Citizens v. Conn, 510 F. Supp. 1233, 1980 U.S. Dist. LEXIS 16470 (W.D. Ky. 1980 ), aff'd, 674 F.2d 582, 1982 U.S. App. LEXIS 20368 (6th Cir. Ky. 1982 ).

Former subdivision (5) of this section, in treating the application by parents or guardian for placement of their retarded family member or ward in a mental retardation center as voluntary, thereby strips the mentally retarded adult of his or her right to a judicial hearing and determination prior to commitment, and such commitment is not a voluntary commitment; many retarded adults are committed by Commonwealth appointed guardians who have no family ties with the mentally retarded person, and even where the mentally retarded person is sought to be committed by a relative or person who is also his or her legal guardian, the label of “voluntary commitment” cannot stand up in the face of the fact that the mentally retarded person is being committed without his or her consent. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

The commitment of mentally retarded adults by the Commonwealth upon application by a parent or guardian is to be considered involuntary. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

4.Judicial Review.

Mentally retarded persons over 18 years of age are entitled to a judicial hearing and determination of the propriety of commitment, either prior to being involuntarily committed or as soon as practicable thereafter; this applies equally to persons who are sought to be committed for the first time after they are 18 and those who have been in the mentally retarded institutions prior to reaching 18 but who then reach the age of 18. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

5.Judicial Commitment Hearing.

Due process protections which are a part of the formal guardianship hearing do not vitiate the need for a hearing at the time of commitment. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Cited in:

Kentucky Asso. for Retarded Citizens, Inc. v. Conn, 718 F.2d 182, 1983 U.S. App. LEXIS 16385 (6th Cir. 1983).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Practice Context for Mental Illness or Retardation Commitments, § 267.00.

202B.045. Requirements for admission — Discharge planning.

  1. Admission:
    1. Residents shall be admitted only upon the approval of an interdisciplinary team. The facility shall admit only persons who have a physical or mental condition which requires developmental nursing services and a planned program of active treatment;
    2. The interdisciplinary team shall:
      1. Conduct a comprehensive evaluation of the individual, not more than three (3) months before admission, covering physical, emotional, social, and cognitive factors; and
      2. Prior to admission define the need for service without regard to availability of those services. The team shall review all available and applicable programs of care, treatment, and training and record its findings;
    3. If admission is not the best plan but the individual must be admitted nevertheless, the facility shall clearly acknowledge that the admission is inappropriate and initiate plans to actively explore alternatives;
    4. Before admission, the resident and a responsible member of his family or guardian shall be informed in writing of the established policies of the facility and fees, reimbursement, visitation rights during serious illness, visiting hours, type of diets offered, and services offered; and
    5. The facility shall provide and maintain a system for identifying each resident’s personal property and facilities for safekeeping of his declared valuables. Each resident’s clothing and other property shall be reserved for the resident’s own use.
  2. Discharge planning. Prior to discharge the facility shall have a postinstitutional plan which identifies the residential setting and support services which would enable the resident to live in a less restrictive alternative to the current setting. Before a resident is released, the facility shall:
    1. Offer counseling to parents or guardians who request the release of a resident concerning the advantages and disadvantages of the release;
    2. Plan for release of the resident, to assure that appropriate services are available in the resident’s new environment, including protective supervision and other follow-up services; and
    3. Prepare and place in the resident’s record a summary of findings, progress, and plans.

History. Enact. Acts 1986, ch. 79, § 4, effective March 6, 1986; 1990, ch. 147, § 8, effective July 13, 1990.

NOTES TO DECISIONS

1.Constitutionality.

Because there is no rational basis for distinguishing between the mentally ill and the mentally retarded with regard to a judicial determination of their eligibility for civil commitment, equal protection requires the Commonwealth to provide a judicial hearing to the mentally retarded, either upon admission, or, if now committed, when they reach adulthood. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require a periodic judicial review over the course of commitment of the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require that adults who are involuntarily committed are entitled to a judicial hearing; although, as a matter of policy, precommitment review by a judicial officer would ensure the most vigorous protection of the mentally retarded and thus might be preferable, it has been noted in a variety of situations that due process does not require that the neutral trier of fact be legally trained or a judicial or administrative officer. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process requires that mentally retarded adults in this Commonwealth receive: written notice that a transfer to a hospital is being considered, a hearing, an opportunity at the hearing to present testimony of witnesses and to confront and cross-examine witnesses, an independent decisionmaker, a written statement by the factfinder, and qualified and independent assistance. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

The current procedure for the involuntary commitment of mentally retarded adults does not conform with due process because there is no formal mechanism for providing notice and no method of assuring that the adequacy of notice is related to the time which the potential admittee would require to prepare for the hearing; there is no procedure whereby the admittee may present witnesses or documentary evidence, nor is there a clear opportunity for cross-examination; no independent assistance is allowed; and the parent or guardian of the person to be committed is allowed to be a member of the interdisciplinary team, which poses a serious threat to impartiality. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

There is no legitimate interest of the Commonwealth which would justify denying the mentally retarded periodic judicial review while providing the same to the mentally ill; therefore, equal protection requires that the Commonwealth make a judicial review procedure available to the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

2.Judicial Review.

Mentally retarded persons over 18 years of age are entitled to a judicial hearing and determination of the propriety of commitment, either prior to being involuntarily committed or as soon as practicable thereafter; this applies equally to persons who are sought to be committed for the first time after they are 18 and those who have been in the mentally retarded institutions prior to reaching 18 but who then reach the age of 18. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

3.Judicial Commitment Hearing.

Due process protections which are a part of the formal guardianship hearing do not vitiate the need for a hearing at the time of commitment. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

202B.050. Rights guaranteed.

All rights guaranteed by KRS Chapter 210 to mentally ill persons shall apply to individuals with an intellectual disability.

History. Enact. Acts 1976, ch. 328, § 6; 1982, ch. 141, § 37, effective July 1, 1982; 1986, ch. 79, § 3, effective March 6, 1986; 1990, ch. 147, § 32, effective July 13, 1990; 2012, ch. 146, § 42, effective July 12, 2012.

Compiler’s Notes.

This section was amended by § 38 of Acts 1980, ch. 396, which would have taken effect July 1, 1982; however, Acts 1982, ch. 141, § 146, effective July 1, 1982, repealed Acts 1980, ch. 396.

NOTES TO DECISIONS

1.Constitutionality.

Because there is no rational basis for distinguishing between the mentally ill and the mentally retarded with regard to a judicial determination of their eligibility for civil commitment, equal protection requires the Commonwealth to provide a judicial hearing to the mentally retarded, either upon admission, or, if now committed, when they reach adulthood. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require a periodic judicial review over the course of commitment of the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process does not require that adults who are involuntarily committed are entitled to a judicial hearing; although, as a matter of policy, precommitment review by a judicial officer would ensure the most vigorous protection of the mentally retarded and thus might be preferable, it has been noted in a variety of situations that due process does not require that the neutral trier of fact be legally trained or a judicial or administrative officer. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

Due process requires that mentally retarded adults in this Commonwealth receive: written notice that a transfer to a hospital is being considered, a hearing, an opportunity at the hearing to present testimony of witnesses and to confront and cross-examine witnesses, an independent decisionmaker, a written statement by the factfinder, and qualified and independent assistance. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

The current procedure for the involuntary commitment of mentally retarded adults does not conform with due process because there is no formal mechanism for providing notice and no method of assuring that the adequacy of notice is related to the time which the potential admittee would require to prepare for the hearing; there is no procedure whereby the admittee may present witnesses or documentary evidence, nor is there a clear opportunity for cross-examination; no independent assistance is allowed; and the parent or guardian of the person to be committed is allowed to be a member of the interdisciplinary team, which poses a serious threat to impartiality. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

There is no legitimate interest of the Commonwealth which would justify denying the mentally retarded periodic judicial review while providing the same to the mentally ill; therefore, equal protection requires that the Commonwealth make a judicial review procedure available to the mentally retarded. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

2.Judicial Review.

Mentally retarded persons over 18 years of age are entitled to a judicial hearing and determination of the propriety of commitment, either prior to being involuntarily committed or as soon as practicable thereafter; this applies equally to persons who are sought to be committed for the first time after they are 18 and those who have been in the mentally retarded institutions prior to reaching 18 but who then reach the age of 18. Doe v. Austin, 668 F. Supp. 597, 1986 U.S. Dist. LEXIS 17426 (W.D. Ky. 1986 ), aff'd in part and rev'd in part, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ).

3.Judicial Commitment Hearing.

Due process protections which are a part of the formal guardianship hearing do not vitiate the need for a hearing at the time of commitment. Doe v. Austin, 848 F.2d 1386, 1988 U.S. App. LEXIS 8334 (6th Cir. Ky. 1988 ), cert. denied, 488 U.S. 967, 109 S. Ct. 495, 102 L. Ed. 2d 531, 1988 U.S. LEXIS 5327 (U.S. 1988).

202B.060. Rights of residents with an intellectual disability — Adoption of regulations.

The secretary shall adopt administrative regulations for the proper administration and enforcement of this chapter. The regulations shall include, but shall not be limited to:

  1. Rights of residents with an intellectual disability and their families to be adequately informed as to the individual treatment program of the resident;
  2. Rights of residents and their families to assist in the planning of the treatment program of the resident;
  3. Rights of residents and their families under certain conditions to refuse treatment offered to the resident by the hospital or ICF/ID;
  4. Rights of residents to maintain, keep, and use personal possessions and money;
  5. Rights of residents to meet with friends and relatives;
  6. Rights of residents to receive payment for work performed on behalf of the hospital or ICF/ID;
  7. Rights of residents to refuse intrusive treatments, including electroshock or psychosurgery;
  8. Rights of residents to seek relief from participating in their treatment plans;
  9. Rights of residents who are minors to seek relief from actions, approved by their parents or guardians, for or against admission and discharge;
  10. The use of seclusion and other mechanical restraints in hospitals and ICF/IDs;
  11. The release of residents to less restrictive alternative modes of treatment on convalescent status; and
  12. Provisions for alternative methods for involuntary admission.

History. Enact. Acts 1976, ch. 328, § 7; 1988, ch. 139, § 14, effective July 15, 1988; 1990, ch. 147, § 29, effective July 13, 1990; 2012, ch. 146, § 43, effective July 12, 2012.

NOTES TO DECISIONS

1.Legislative Intent.

When mentally retarded patients at present mental retardation residential treatment center would be placed in new mental retardation residential center, they were not entitled to be transferred instead to community living facility until it was shown that adequate community living-facilities were available, since KRS 202B.040 and this section taken together reveal the intention of the legislature to provide the least restrictive alternative mode of treatment for the mentally retarded, which, until the community living facilities were available, would be the mental retardation residential treatment center. Kentucky Ass'n for Retarded Citizens v. Conn, 510 F. Supp. 1233, 1980 U.S. Dist. LEXIS 16470 (W.D. Ky. 1980 ), aff'd, 674 F.2d 582, 1982 U.S. App. LEXIS 20368 (6th Cir. Ky. 1982 ).

2.Voluntary Commitment.

Where retarded adult individuals have acted on their own and without the auspices of a guardian or committee in applying to and securing admission to a mental retardation residential treatment center, such individuals are considered to be voluntarily confined and thus the requirement of KRS 202B.040 and this section that they are entitled to the least restrictive alternative mode of treatment does not apply since they are instead entitled to immediate discharge upon their own application. Kentucky Ass'n for Retarded Citizens v. Conn, 510 F. Supp. 1233, 1980 U.S. Dist. LEXIS 16470 (W.D. Ky. 1980 ), aff'd, 674 F.2d 582, 1982 U.S. App. LEXIS 20368 (6th Cir. Ky. 1982 ).

Cited in:

Kentucky Asso. for Retarded Citizens, Inc. v. Conn, 718 F.2d 182, 1983 U.S. App. LEXIS 16385 (6th Cir. 1983); Commonwealth v. Cabinet for Human Resources, 686 S.W.2d 465, 1984 Ky. App. LEXIS 629 (Ky. Ct. App. 1984).

202B.070. Exemption from personal liability — Duty of individuals with direct-care responsibility for residents of ICF/ID to meet specific care needs, including supervision.

  1. Persons carrying out duties or rendering professional opinions as provided in this chapter shall be free of personal liability for such actions provided that such activities are performed in good faith within the scope of their official duties and in a manner consistent with accepted professional practices.
    1. The person responsible for the implementation of the individual care plan shall ensure that each individual that has direct-care responsibility for a resident admitted to an ICF/ID shall be informed of the specific care needs of the resident, including but not limited to the need for supervision. (2) (a) The person responsible for the implementation of the individual care plan shall ensure that each individual that has direct-care responsibility for a resident admitted to an ICF/ID shall be informed of the specific care needs of the resident, including but not limited to the need for supervision.
    2. After admittance, the facility administrator shall ensure that each individual that has direct-care responsibility for a resident admitted to an ICF/ID shall be informed of the specific care needs of the resident, including but not limited to the need for supervision upon any change in the resident’s care plan.
  2. Notwithstanding subsection (1) of this section, an individual who has direct-care responsibility for a resident of an ICF/ID and who intentionally fails to provide supervision of the resident as specified in the resident’s care plan and thereby creates a risk of imminent harm or death to the resident shall be subject to immediate dismissal from employment.

History. Enact. Acts 1976, ch. 328, § 8; 2008, ch. 145, § 1, effective July 15, 2008; 2012, ch. 146, § 44, effective July 12, 2012.

Legislative Research Commission Notes.

(7/15/2008). 2008 Ky. Acts ch. 145, sec. 2, provides that the amendments to this section in 2008 Ky. Acts ch. 145, shall be known and may be cited as “Deron’s Law.”

202B.080. Title of chapter.

This chapter may be cited as the “Kentucky Admission Act for Individuals with an Intellectual Disability”.

History. Enact. Acts 1976, ch. 328, § 1; 1990, ch. 147, § 33, effective July 13, 1990; 2012, ch. 146, § 45, effective July 12, 2012.

202B.100. Proceedings for involuntary admission — Petition — Duties of court — Disposition.

  1. Proceedings for involuntary admission of a person to an ICF/ID shall be initiated by the filing of a verified petition in District Court.
  2. The petition and all subsequent court documents shall be entitled: “In the interest of (name of respondent).”
  3. The petition shall be filed by a qualified professional in the area of intellectual disabilities, peace officer, county attorney, Commonwealth’s attorney, spouse, relative, friend, or guardian of the person concerning whom the petition is filed.
  4. The petition shall set forth:
    1. Petitioner’s relationship to the respondent;
    2. Respondent’s name, residence, and current location, if known;
    3. The name and residence of respondent’s parents, if living and if known, or respondent’s legal guardian, if any and if known;
    4. The name and residence of respondent’s husband or wife, if any, and if known;
    5. The name and residence of the person having custody of the respondent, if any, or if no such person is known, the name and residence of a near relative or that such person is unknown;
    6. Documentation by the petitioner that the respondent has an intellectual disability that shall include the findings of a psychological examination or assessment completed in a reasonable time prior to the filing of the petition that documents a Full Scale IQ in the moderate to severe range of an intellectual disability. If the court finds that a more current psychological examination or assessment is necessary, the court shall order such examination; and
    7. Petitioner’s belief, including the factual basis therefor, that the respondent presents a danger or threat of danger to self, family, or others if not admitted to an ICF/ID.
  5. Upon receipt of the petition, the court shall examine the petitioner under oath as to the contents of the petition. If the petitioner is a qualified professional in the area of intellectual disabilities, the court may dispense with the examination.
  6. If, after reviewing the allegations contained in the petition and examining the petitioner under oath, it appears to the court that there is probable cause to believe the respondent should be involuntarily admitted, the court shall:
    1. Set a date for a preliminary hearing;
    2. Notify the respondent, the respondent’s legal guardian, if any, and if known, and the respondent’s spouse, parents, or nearest relative or friend concerning the allegations and contents of the petition and the date and purpose of the preliminary hearing; and the name, address, and telephone number of the attorney appointed to represent the respondent; and
    3. Cause the respondent to be examined without unnecessary delay by two (2) professionals, one (1) of whom is a qualified professional in the area of intellectual disabilities and one (1) of whom is a licensed psychiatrist, psychologist, or physician with special training and experience in serving individuals with an intellectual disability. One (1) of the professionals shall be from the community, and one (1) shall be an employee of a state operated ICF/ID facility. The qualified professional in the area of intellectual disabilities shall certify his or her findings within twenty-four (24) hours, excluding weekends and holidays.
    1. If the respondent is presently residing in an ICF/ID under the provisions of this chapter, the court may allow continued further residence therein for the respondent to accomplish the examination ordered by the court. (7) (a) If the respondent is presently residing in an ICF/ID under the provisions of this chapter, the court may allow continued further residence therein for the respondent to accomplish the examination ordered by the court.
    2. If the respondent is not currently residing in an ICF/ID under the provisions of this chapter, the court may order the respondent, the respondent’s guardian, or any person or entity exercising custodial control of the respondent to submit the respondent to an examination, without unnecessary delay, by two (2) professionals, one (1) of whom is a qualified professional in the area of intellectual disabilities and one (1) of whom is a licensed psychiatrist, psychologist, or physician with special training and experience in serving individuals with an intellectual disability. One (1) of the professionals shall be from the community, and one (1) shall be an employee of a state-operated ICF/ID facility.
  7. If, upon completion of the preliminary hearing, the court finds there is probable cause to believe the respondent should be involuntarily admitted, the court shall order a final hearing to determine if the respondent should be involuntarily admitted.
  8. If the court finds there is no probable cause, the proceedings against the respondent shall be dismissed, and the respondent shall be released from the ICF/ID.
  9. If, upon completion of the final hearing, the court finds the respondent should be involuntarily admitted, the court shall order the respondent admitted in an ICF/ID for an indeterminate period. The order shall also specify the period within which the initial review pursuant to KRS 202B.250 .

History. Enact. Acts 1990, ch. 147, § 9, effective July 13, 1990; 2006, ch. 195, § 2, effective July 12, 2006; 2012, ch. 146, § 46, effective July 12, 2012.

NOTES TO DECISIONS

1.Constitutionality.

Kentucky’s lower standard of proof for the involuntary commitment of those alleged to be mentally retarded than of those alleged to be mentally ill did not violate the Equal Protection Clause of the Fourteenth Amendment; the statutory distinctions were rationally based on the premise that mental retardation is easier to diagnose than mental illness and that a “dangerousness” determination is more accurate as to the mentally retarded than the mentally ill. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

202B.110. Venue for proceedings subsequent to preliminary hearing.

A respondent who has been ordered involuntarily admitted following the preliminary hearing shall have venue for all subsequent proceedings, including the final hearing, transferred to the court of the county where the respondent is admitted; however, the court of the county where the preliminary hearing was held may, upon its own motion, or shall, upon motion of one (1) of the parties, retain venue over proceedings subsequent to the preliminary hearing.

History. Enact. Acts 1990, ch. 147, § 10, effective July 13, 1990.

202B.120. Certificate contents — Fee.

  1. The certificate referred to in this chapter shall be in the form prescribed by the cabinet. The certificate shall state that the respondent has been examined by each of the qualified professionals in the area of intellectual disabilities making the certificate within twenty-four (24) hours, excluding weekends and holidays, prior to the date of the certificate. It shall state the facts and circumstances upon which the judgment of the examining physician is based and shall be sworn to before a notary or the clerk or judge of the court.
  2. The examiner shall be entitled to a fee for the examination and certification, to be paid by the county in which the petition is filed, upon a certified copy of an order of allowance made by the court holding the hearing.

History. Enact. Acts 1990, ch. 147, § 11, effective July 13, 1990; 2012, ch. 146, § 47, effective July 12, 2012.

202B.130. Number of certifications required for involuntary admission — Time limit.

In any proceeding for involuntary admission under the applicable provisions of this chapter, if the criteria for involuntary admission are not certified by at least two (2) professionals as specified in KRS 202B.100(6)(c), the court shall, without taking any further action, terminate the proceedings and order the release of the person. The qualified professional in the area of intellectual disabilities shall certify to the court, within twenty-four (24) hours of the examination, excluding weekends and holidays, his or her findings and opinions as to whether the person shall be involuntarily admitted.

History. Enact. Acts 1990, ch. 147, § 12, effective July 13, 1990; 2006, ch. 195, § 3, effective July 12, 2006; 2012, ch. 146, § 48, effective July 12, 2012.

202B.140. Witnesses to examination.

A qualified professional in the area of intellectual disabilities retained by the respondent, or the respondent’s parent or guardian, at the expense of the parent or guardian, shall be permitted to witness and participate in any examination of the respondent and may submit findings, if any, to the court.

History. Enact. Acts 1990, ch. 147, § 13, effective July 13, 1990; 2012, ch. 146, § 49, effective July 12, 2012.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

202B.150. Time of preliminary and final hearings.

  1. The preliminary hearing shall be held not later than fifteen (15) days, excluding weekends and holidays, from the date of the filing of the petition.
  2. The final hearing shall be held within twenty (20) days of the date of the preliminary hearing or within thirty (30) days of the date of filing of the petition if the preliminary hearing is waived.

History. Enact. Acts 1990, ch. 147, § 14, effective July 13, 1990.

202B.160. Hearing procedures — Rights of guardians and immediate family members.

  1. The preliminary hearing need not be formal and shall include the receiving of reports of the qualified professional in the area of intellectual disabilities as evidence. The hearing may be held by the court in chambers, at an ICF/ID, or other suitable place. The respondent shall be afforded an opportunity to testify, to present witnesses, and to cross-examine any witnesses. The respondent and the attorney for the respondent may waive respondent’s right to a preliminary hearing.
  2. The final hearing may be conducted in an informal manner, consistent with orderly procedures, and in a physical setting not likely to have a harmful effect on the mental or physical health of the respondent. The hearing may be held by the court in chambers, at an ICF/ID, or other suitable place. The respondent shall be afforded an opportunity to testify, to present, and cross-examine any witnesses. The manner of proceeding and the rules of evidence shall be the same as those in any criminal proceeding, except that the standard of proof shall be by clear and convincing evidence. Proceedings shall be heard by a judge unless a party requests a jury trial. Neither the respondent nor the respondent’s attorney may waive the respondent’s right to a final hearing.
  3. Guardians and immediate family members of the respondent shall be allowed to attend all hearings, conferences or similar proceedings; may be represented by private counsel, if desired; may participate in the hearings or conferences as if a party to the proceedings; may cross-examine witnesses if desired; and shall have standing to appeal any adverse decision.

History. Enact. Acts 1990, ch. 147, § 15, effective July 13, 1990; 2012, ch. 146, § 50, effective July 12, 2012.

NOTES TO DECISIONS

1.Constitutionality.

Kentucky’s lower standard of proof for the involuntary commitment of those alleged to be mentally retarded than of those alleged to be mentally ill did not violate the Equal Protection Clause of the Fourteenth Amendment; the statutory distinctions were rationally based on the premise that mental retardation is easier to diagnose than mental illness and that a “dangerousness” determination is more accurate as to the mentally retarded than the mentally ill. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

2.—Parties.

Granting close family members and guardians the status of parties in the involuntary commitment proceedings of those alleged to be mentally retarded does not violate the Due Process Clause. Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (U.S. 1993).

202B.170. Interim determination and possible dismissal.

  1. Following the preliminary hearing but prior to the completion of the final hearing, the court may order the respondent to reside in his or her current residence, an emergency placement designated by the regional program for mental health and individuals with an intellectual disability, or an ICF/ID approved by the secretary for that purpose for the committing judicial district in a community program approved by the secretary or in a hospital. The respondent may be released, upon application and agreement of the parties, for the purpose of community-based outpatient treatment.
  2. A physician of an ICF/ID or a hospital shall discharge a respondent residing therein and notify the court and attorneys of record, if the interdisciplinary team of the ICF/ID or an authorized staff physician of the hospital determines that the respondent no longer meets the criteria for involuntary admission.
  3. If a respondent is discharged by the ICF/ID or hospital pursuant to subsection (2) of this section, the proceedings against the respondent shall be dismissed.

History. Enact. Acts 1990, ch. 147, § 16, effective July 13, 1990; 1994, ch. 498, § 12, effective July 15, 1994; 2006, ch. 195, § 4, effective July 12, 2006; 2012, ch. 146, § 51, effective July 12, 2012.

202B.180. Confidentiality of court records — Expungement — Disclosure by court order.

  1. The court records of a respondent made in all proceedings pursuant to this chapter shall be confidential and shall not be open to the general public for inspection except when the disclosure is provided in KRS 202B.190 .
  2. Following the discharge of a respondent from an ICF/ID or hospital or the issuance of a court order denying a petition for admission, a respondent may at any time move to have all court records pertaining to the proceedings expunged from the files of the court. The county attorney shall be given notice of any motion and shall have five (5) days in which to respond to same or request a hearing thereon.
  3. Any person seeking information contained in the court files or the court records of proceedings involving persons under this chapter may file a written motion in the appropriate court setting out why the information is needed. A District Judge may issue an order to disclose the information sought if the judge finds the order is appropriate under the circumstances and if the judge finds it is in the best interest of the person or of the public to have the information disclosed.

History. Enact. Acts 1990, ch. 147, § 17, effective July 13, 1990; 2012, ch. 146, § 52, effective July 12, 2012.

Research References and Practice Aids

Kentucky Bench & Bar.

Wiederstein, Closed Courtrooms and the Public’s Right of Access, Vol. 67, No. 4, July 2003, Ky. Bench & Bar 15.

202B.190. Disclosure of professional communications.

In proceedings under this chapter, there shall be no privilege as to any relevant communications between qualified professionals in the area of intellectual disabilities and patients. Qualified professionals in the area of intellectual disabilities may disclose communications relating to diagnosis and treatment of the patient’s mental condition.

History. Enact. Acts 1990, ch. 147, § 18, effective July 13, 1990; 2012, ch. 146, § 53, effective July 12, 2012.

202B.200. Court to notify cabinet of admission ordered to ICF/ID — Refusal to receive by ICF/ID — Transport of person.

  1. The court which orders any person to an ICF/ID under the provisions of this chapter, shall at once notify the cabinet that the order has been made, advising of the sex and condition of the person.
  2. The ICF/ID may refuse to receive any person who has been ordered to be involuntarily admitted by a court order if appropriate programs and space are not available or the papers presented with the person at the ICF/ID do not comply with the provisions of this chapter or if it does not receive notification of the order of involuntary admission as required by this chapter.
  3. After the cabinet has been so notified, the court may order the sheriff of the county to transport the person from the county in which the person is located to the ICF/ID designated by the cabinet. The actual traveling expenses of persons transporting the person to the institution shall be paid by the cabinet. Each female admitted to an ICF/ID shall be accompanied by a female attendant, unless accompanied by her mother, father, sister, brother, husband, daughter, or son.
  4. In returning any person to the county from which that person is sent, the cost of returning the person shall be paid in the same manner, when necessary.
  5. If a person is involuntarily admitted by a court order, the person shall be transported to the ICF/ID designated by the cabinet and accompanied by the following documents:
    1. A copy of the petition for involuntary admission;
    2. The certificate of qualified professionals in the area of intellectual disabilities;
    3. A current physical examination that documents no serious medical issues;
    4. The psychological examination or assessment that documents a Full Scale IQ in the moderate to severe range of intellectual disability; and
    5. The order of involuntary admission.

History. Enact. Acts 1990, ch. 147, § 19, effective July 13, 1990; 1994, ch. 498, § 13, effective July 15, 1994; 2006, ch. 195, § 5, effective July 12, 2006; 2012, ch. 146, § 54, effective July 12, 2012.

202B.210. Right to counsel.

Upon the filing of a petition for involuntary admission pursuant to KRS 202B.045 , the court shall appoint an attorney to represent the respondent with the appointment and representation to continue unless the respondent retains private counsel. The appointed attorney shall be forthwith notified by the clerk of the allegations in the petition and the date and purpose of the preliminary hearing. When it is necessary to appoint counsel, the District Court shall endeavor to appoint private counsel, if available, to represent respondents, from a list of attorneys who have volunteered to represent such respondents. The list shall be maintained by the District Court clerk. Private counsel appointed by the court shall be compensated in the manner set forth in KRS 620.100 . If no other method of appointing counsel for the respondent is available, the respondent shall be represented by the public advocate pursuant to KRS Chapter 31.

History. Enact. Acts 1990, ch. 147, § 20, effective July 13, 1990; 2013, ch. 79, § 8, effective June 25, 2013.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

202B.220. Right to be present.

The respondent shall be present at all hearings unless the respondent and the respondent’s attorney waive the respondent’s rights to be present, or unless the court makes a specific finding after the respondent has been brought to the place of the hearing that the respondent should be removed from the hearing because the person’s conduct is so disruptive that the proceedings cannot continue in any reasonable manner.

History. Enact. Acts 1990, ch. 147, § 21, effective July 13, 1990.

202B.230. Appeals — Manner — Parties who may appeal.

Appeals from the final orders or judgments of the District Court made and entered in proceedings under this chapter shall be taken in the manner as other appeals from District Court to Circuit Court. Appeals may be taken by the Commonwealth, the individual who is subject to the proceedings, or the individual’s guardian, limited guardian, or other authorized representative. This appeal shall be advanced on the Circuit Court docket without motion or notice.

History. Enact. Acts 1990, ch. 147, § 22, effective July 13, 1990.

NOTES TO DECISIONS

Cited in:

Heller v. Doe, 509 U.S. 312, 113 S. Ct. 2637, 125 L. Ed. 2d 257, 1993 U.S. LEXIS 4397 (1993).

202B.240. Annual review — Interdisciplinary evaluation report — Discharge.

  1. Every resident admitted under the provisions of this chapter shall have an annual review conducted by an interdisciplinary team of the ICF/ID to determine the appropriateness of and the necessity for care and treatment provided the resident in the ICF/ID. On or before the anniversary date of an involuntary admission order entered for a resident pursuant to KRS 202B.190 , and every year thereafter for as long as the resident resides in the ICF/ID, the ICF/ID shall file with the admitting court an interdisciplinary evaluation report on behalf of the resident whose continued placement in the ICF/ID is required. The report shall detail the social, psychological, medical, and other considerations requiring continued placement of the resident in the ICF/ID, a description of the treatment or habilitation programs which will benefit the resident as a result of such placement, and a statement that the criteria for involuntary admission set forth in KRS 202B.040 are satisfied. The interdisciplinary report shall list the name and address of the guardian or limited guardian or, if none, an immediate family member of the resident.
  2. The physician shall discharge a resident whose admission is pursuant to court order when it is determined by the interdisciplinary team that the resident no longer meets the criteria for involuntary admission as provided in KRS 202B.040 . When a resident is discharged, the ICF/ID shall send notice of the discharge to the court.

History. Enact. Acts 1990, ch. 147, § 23, effective July 13, 1990; 2012, ch. 146, § 55, effective July 12, 2012.

202B.245. ICF/ID review committee — Procedure when involuntary resident refuses to participate in treatment plan.

  1. Every ICF/ID approved under the provisions of this chapter shall have a review committee of three (3) qualified professionals in the area of intellectual disabilities appointed by the facility director. This review committee shall have the authority to review the appropriateness of a resident’s individual treatment plan.
  2. Upon the refusal of an involuntary resident to participate in any aspect of the resident’s treatment plan, the review committee shall examine the appropriateness of the resident’s individual treatment plan. Within three (3) days of the refusal, the review committee shall meet with the resident and the resident’s counsel or other representative to discuss their recommendations.
  3. If the resident still refuses to participate in any aspect of the resident’s individual treatment plan, the ICF/ID may petition the District Court for a de novo determination of the appropriateness of the proposed treatment. Within seven (7) days, the court shall conduct a hearing, consistent with the resident’s rights to due process of law, and shall utilize the following factors in reaching its determination:
    1. Whether the treatment is necessary to protect other residents or the resident himself from harm;
    2. Whether the resident is incapable of giving informed consent to the proposed treatment;
    3. Whether any less restrictive alternative treatment exists; and
    4. Whether the proposed treatment carries any significant risk of permanent side effects.
  4. Upon completion of the hearing, the court shall enter an appropriate judgment. The proposed treatment shall be authorized if supported by clear and convincing evidence. If the court denies the ICF/ID the right to administer the treatment in question, the ICF/ID may discharge the resident, unless an interdisciplinary team of the ICF/ID determines that an alternative treatment is available and acceptable to both the interdisciplinary team and the resident and would benefit the resident.

History. Enact. Acts 1990, ch. 147, § 30, effective July 13, 1990; 2012, ch. 146, § 56, effective July 12, 2012.

202B.250. Review hearing — Procedures — Disposition — Requested hearing by resident or certain persons.

  1. No less than once in every five (5) years following the initial order for involuntary admission of a resident to an ICF/ID, or an order authorizing continued care and treatment following review pursuant to this section, the court shall hold a hearing to review the status of the resident and necessity for continued care and treatment in the ICF/ID. Notice at least twenty (20) days in advance of the hearing shall be provided by the court to the ICF/ID, county attorney, guardian or limited guardian of the resident, if any, or, if none, an immediate family member as listed on the last interdisciplinary report filed by the ICF/ID. The court shall appoint an attorney to represent the resident at the review hearing.
  2. The review hearing may be informal and held in open court, in chambers, or at the ICF/ID. The hearing shall be held without a jury and the resident shall be entitled to present documentary evidence and witnesses and cross-examine witnesses against the resident.
  3. At the conclusion of the review hearing, the court shall make written findings of fact concerning whether the criteria for involuntary admission set forth in KRS 202B.040 continue to be satisfied based upon clear and convincing evidence. If the court finds that the involuntary admission criteria continue to be satisfied, the court shall enter an order authorizing the continued care and treatment of the resident at the ICF/ID and shall establish the period within which the next review shall be held. Otherwise, the court shall enter an order requiring the resident to be discharged from the ICF/ID.
  4. If at any point during the resident’s placement at an ICF/ID it appears that the resident no longer meets the criteria for involuntary admission set forth in KRS 202B.040 , the resident, the resident’s parent, guardian or limited guardian, immediate family member, or attorney may request a review pursuant to this section.

History. Enact. Acts 1990, ch. 147, § 24, effective July 13, 1990; 2012, ch. 146, § 57, effective July 12, 2012.

202B.260. Petition for writ of habeas corpus.

At any time, and without notice, a person detained at a facility, or a relative, friend, guardian, representative, or attorney on behalf of such person, may petition for a writ of habeas corpus to question the cause and legality of the detention and request that the Circuit Court issue a writ for release.

History. Enact. Acts 1990, ch. 147, § 25, effective July 13, 1990.

202B.270. Convalescent leave status.

  1. A physician may release a resident on convalescent leave status when the interdisciplinary team concludes that the resident would not present a danger or a threat of danger to self, family, or others if provided with continued medical supervision in a less restrictive alternative mode of treatment. Release on convalescent leave status does not terminate a court admission order and shall include provisions for the development of a treatment plan jointly by the ICF/ID and by a provider of outpatient care for follow-up care by the provider and for the continual monitoring of that resident’s condition by the provider.
  2. The ICF/ID from which the resident is given convalescent leave status may at any time readmit the resident without additional court proceedings. If there is reason to believe that it is in the best interest of the resident to be readmitted, the secretary or an authorized staff physician of the ICF/ID may issue an order for the immediate readmission of the resident. The order, if not voluntarily complied with, shall, upon the endorsement by a judge of any court of the county in which the resident resides or is present, authorize any peace officer to take the resident into custody and transport the person to the responsible ICF/ID. Notice of readmission under this section shall be given to the originating court as soon as practicable and simultaneously with the order directing the readmission if possible.
  3. Release on convalescent leave status shall not apply to persons held under admission orders arising out of KRS Chapter 504 unless consent of the appropriate court is obtained.

History. Enact. Acts 1990, ch. 147, § 26, effective July 13, 1990; 2012, ch. 146, § 58, effective July 12, 2012.

202B.280. Peace officer authorized to take absent resident into custody and return resident to ICF/ID.

If a resident undergoing involuntary treatment on an inpatient basis is absent from the ICF/ID without or in excess of authorization from the ICF/ID staff, the person in charge or that person’s designee may notify the appropriate sheriff or other peace officers who shall take the resident into custody and return the resident to the ICF/ID.

History. Enact. Acts 1990, ch. 147, § 27, effective July 13, 1990; 2012, ch. 146, § 59, effective July 12, 2012.

202B.290. Respite care.

Upon recommendation or approval of the interdisciplinary team of an ICF/ID, a physician may admit for respite care an individual with an intellectual disability. Respite care provided to any individual with an intellectual disability under this section shall not exceed a total of thirty (30) days in any calendar year.

History. Enact. Acts 1990, ch. 147, § 28, effective July 13, 1990; 2012, ch. 146, § 60, effective July 12, 2012.

202B.300. Return of Kentucky residents from other states — Determination of need for further admission.

  1. Legal residents of the state who have become public charges in other states and have been returned to Kentucky because they have been involuntarily admitted may be immediately admitted to an ICF/ID at the request of the secretary or the secretary’s designated representative.
  2. Within seventy-two (72) hours, excluding weekends and holidays, of the admission date, the staff of the ICF/ID shall determine the need of the person for further admission. If two (2) qualified professionals in the area of intellectual disabilities, at least one (1) of whom is a physician, conclude that the person shall be involuntarily admitted, they shall file in the appropriate court a certification requesting involuntary admission procedures be initiated under the provisions of this chapter, unless the person has agreed to remain voluntarily and possesses the mental capacity to give informed consent for voluntary admission.

History. Enact. Acts 1990, ch. 147, § 31, effective July 13, 1990; 2012, ch. 146, § 61, effective July 12, 2012.

202B.990. Penalties.

  1. The unwarranted admission of any person under the provisions of this chapter; or
  2. The denial of any person of any of the rights accorded to him under the provisions of this chapter shall be punished by a fine not exceeding five thousand dollars ($5,000) or imprisonment for a term not to exceed five (5) years or both.
  3. Any person who violates the confidentiality of any mental health record under the provisions of this chapter shall be guilty of a Class A misdemeanor.

History. Enact. Acts 1976, ch. 328, § 9; 1990, ch. 147, § 34, effective July 13, 1990.

CHAPTER 203 Incompetency Proceedings [Repealed]

203.005. Changes of terms and definitions in chapter. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1954, ch. 16, § 1) was repealed by Acts 1966, ch. 255, § 283.

203.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (216aa-63, 216aa-64, 216aa-80, 263b-1: amend. Acts 1952, ch. 50, § 26; 1954, ch. 16, § 2; 1960, ch. 66, § 1; 1962, ch. 106, Art. XI, § 7; 1968, ch. 90, § 37; 1980, ch. 188, § 191, effective July 15, 1980) was repealed by Acts 1982, ch. 141, § 146, effective July 15, 1982.

Legislative Research Commission Notes.

This section was amended by 1982 Acts Chapter 445, Section 38 and repealed by 1982 Acts Chapter 141, Section 146. The repeal prevails pursuant to KRS 446.260 .

203.012. Petition of determination of competency — Contents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 38) was repealed by Acts 1982, ch. 141, § 146.

203.014. Proceedings deemed mental inquest — Counsel for parties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 39; 1978, ch. 209, § 2) was repealed by Acts 1982, ch. 141, § 146.

203.015. Examining physician — Psychologist — Qualifications — Certificate — Contents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 40; 1978, ch. 171, § 1) was repealed by Acts 1982, ch. 141, § 146.

203.016. Defendant, how notified — Notice to others — Failure to appear, contempt. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 41) was repealed by Acts 1982, ch. 141, § 146.

203.018. Presence of defendant required — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 42; 1980, ch. 188, § 192) was repealed by Acts 1982, ch. 141, § 146.

203.020. Voluntary admission to hospital — Release — Inquest — Procedure. [Renumbered and Repealed.]

Compiler’s Notes.

This section (263b-16: amend. Acts 1944, ch. 29, § 3; 1948, ch. 175, § 2; 1954, ch. 16, § 3; 1960, ch. 66, § 2; 1969, ch. 164, § 1; 1968, ch. 90, § 3; 1968, ch. 100, § 4) was renumbered as KRS 202.015 and was subsequently repealed.

203.022. Hearing — Jury — Oath. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.070 (216aa-73: amend. Acts 1968, ch. 90, § 43; 1978, ch. 171, § 2, effective June 17, 1978) and was repealed by Acts 1982, ch. 141, § 146, effective July 1, 1982.

203.024. Procedure for restoration of competent person — Jury trial — Order. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.320 (216aa-99: amend. Acts 1954, ch. 17, § 11; 1960, ch. 67, § 29; 1968, ch. 90, § 44; 1978, ch. 384, § 339) and was repealed by Acts 1982, ch. 141, § 146.

203.025. Admission of mental patient on temporary basis — Release unless properly committed. [Renumbered and Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 164, § 4; 1968, ch. 90, § 4) was renumbered as KRS 202.117 and was subsequently repealed.

203.026. Copy of judgment to be filed in office of county clerk — Effect of failure. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.145 (Enact. Acts 1946, ch. 53; 1960, ch. 67, § 14; 1968, ch. 90, § 45; 1976 (Ex. Sess.), ch. 14, § 188, effective January 2, 1978; 1978, ch. 384, § 340, effective June 17, 1978) and was repealed by Acts 1982, ch. 141, § 146, effective July 1, 1982.

203.030. Admission on application of health officer — Restraint — Removal — Inquest. [Renumbered and Repealed.]

Compiler’s Notes.

This section (263b-16: amend. Acts 1944, ch. 29, § 4; 1948, ch. 175, § 3; 1954, ch. 16, § 4; 1960, ch. 66, § 3; 1968, ch. 90, § 26) was renumbered as KRS 202.245 and was subsequently repealed.

203.032. Committee for incompetent appointed, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 90, § 46; 1976 (Ex. Sess.), ch. 14, § 189, effective January 2, 1978) was repealed by Acts 1982, ch. 141, § 146, effective July 1, 1982.

203.040. Admission of residents adjudged mentally ill or defective by other states — Inquests. [Renumbered and Repealed.]

Compiler’s Notes.

This section (263b-16: amend. Acts 1944, ch. 29, § 5; 1950, ch. 88, § 2; 1960, ch. 66, § 4; 1968, ch. 90, § 27) was recompiled as KRS 202.252 , and was subsequently repealed.

203.045. Certificate or affidavit as evidence — No fee to be charged. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1944, ch. 29, § 6; 1960, ch. 66, § 5) was renumbered as KRS 210.265 .

203.050. Voluntary admission of drug addict. [Repealed.]

Compiler’s Notes.

This section (216aa-65) was repealed by Acts 1954, ch. 16, § 8.

203.060. Payment for voluntary admission — When inquest needed. [Repealed.]

Compiler’s Notes.

This section (216aa-67, 263b-16) was repealed by Acts 1954, ch. 16, § 8.

203.070. Board of patients to be paid in advance — Refunds. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-36: amend. Acts 1954, ch. 16, § 5) was renumbered as KRS 210.275 and was subsequently repealed.

203.080. Patient’s estate liable for his board — Rights against relatives. [Repealed.]

Compiler’s Notes.

This section (216aa-37) was repealed by Acts 1978, ch. 278, § 8, effective June 17, 1978. For present law see KRS 210.700 to 210.760 .

203.090. Support of private patients — Rates of charge. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-38) was renumbered as KRS 210.310 and was subsequently repealed.

203.100. Recovery for support of patients. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-39) was renumbered as KRS 210.320 and subsequently repealed.

203.110. Employment of attorney — Cost of litigation — Limitation of action. [Renumbered.]

Compiler’s Notes.

This section (216aa-40) was renumbered as KRS 210.330 .

203.120. Information furnished to department. [Repealed.]

Compiler’s Notes.

This section (216aa-41: amend. Acts 1960, ch. 66, § 7) was repealed by Acts 1968, ch. 90, § 63.

203.130. Admissions of residents for compensation. [Repealed.]

Compiler’s Notes.

This section (216aa-42) was repealed by Acts 1954, ch. 16, § 8.

203.140. Rates for pay patients — Bond — Removal to private institutions. [Repealed.]

Compiler’s Notes.

This section (216aa-43) was repealed by Acts 1954, ch. 16, § 8.

203.150. Pay patients from other states not to crowd institutions. [Repealed.]

Compiler’s Notes.

This section (216aa-44) was repealed by Acts 1954, ch. 16, § 8.

203.155. Extradition of nonresident patient. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 66, § 6) was renumbered as KRS 210.340 .

203.160. Return of nonresidents — Expenses. [Renumbered.]

Compiler’s Notes.

This section (216aa-45: amend. Acts 1960, ch. 66, § 8) was renumbered as KRS 210.350 .

203.170. Drug addicts — Maintenance — Rules — Release. [Repealed.]

Compiler’s Notes.

This section (216aa-66) was repealed by Acts 1954, ch. 16, § 8.

203.180. Transfer of patients between hospitals. [Renumbered and Repealed.]

Compiler’s Notes.

This section (216aa-46, 263b-12: amend. Acts 1954, ch. 16, § 6; 1968, ch. 90, § 22) was renumbered as KRS 202.235 and was subsequently repealed.

203.185. Transfer of patient to United States public health service or other agency. [Renumbered and Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 121, §§ 2, 3; 1960, ch. 66, § 9; 1968, ch. 90, § 29) was renumbered as KRS 202.262 and was subsequently repealed.

203.190. Training school and farm colony for mentally retarded. [Repealed.]

Compiler’s Notes.

This section (216aa-51: amend. Acts 1966, ch. 255, § 196) was repealed by Acts 1968, ch. 90, § 63.

203.200. Epileptics may be segregated. [Repealed.]

Compiler’s Notes.

This section (216aa-52) was repealed by Acts 1954, ch. 16, § 8.

203.210. Objects and purposes of institutions for mentally ill or defective. [Repealed.]

Compiler’s Notes.

This section (216aa-53) was repealed by Acts 1968, ch. 90, § 63.

203.220. Care, custody and training — Production by inmates. [Renumbered.]

Compiler’s Notes.

This section (216aa-54, 216aa-55: amend. Acts 1962, ch. 161) was renumbered as KRS 210.267 .

203.230. Minimum age for feeble-minded and epileptic inmates. [Repealed.]

Compiler’s Notes.

This section (216aa-56) was repealed by Acts 1962, ch. 106, Art. XI, § 8.

203.240. Records to be kept. [Repealed.]

Compiler’s Notes.

This section (216aa-12, 216aa-13: amend. Acts 1954, ch. 16, § 7; 1960, ch. 66, § 10) was repealed by Acts 1968, ch. 90, § 63.

203.250. Allowance for pauper mentally retarded. [Repealed.]

Compiler’s Notes.

This section (216aa-57: amend. Acts 1966, ch. 255, § 197) was repealed by Acts 1968, ch. 90, § 63.

203.260. Conditions of allowance — Age and condition of pauper. [Repealed.]

Compiler’s Notes.

This section (216aa-58, 216aa-59: amend. Acts 1966, ch. 255, § 198) was repealed by Acts 1968, ch. 90, § 63.

203.270. Court clerks to certify inquests to Department of Finance. [Repealed.]

Compiler’s Notes.

This section (216aa-61) was repealed by Acts 1968, ch. 90, § 63.

203.280. Inquest to be held every fifth year. [Repealed.]

Compiler’s Notes.

This section (216aa-60: amend. Acts 1966, ch. 255, § 199) was repealed by Acts 1968, ch. 90, § 63.

203.290. Circuit clerk to furnish list of pauper mental defectives annually. [Repealed.]

Compiler’s Notes.

This section (216aa-62: amend. Acts 1966, ch. 255, § 200) was repealed by Acts 1968, ch. 90, § 63.

203.300. Bringing mental patient into state and fraudulent adjudication of status prohibited. [Repealed.]

Compiler’s Notes.

This section (216aa-103: amend. Acts 1966, ch. 255, § 201) was repealed by Acts 1968, ch. 90, § 63.

203.310. Training school for psychiatric nursing — Course of study. [Repealed.]

Compiler’s Notes.

This section (263a-1) was repealed by Acts 1954, ch. 16, § 8.

203.320. Qualifications for students — Grade — Graduation. [Repealed.]

Compiler’s Notes.

This section (263a-1) was repealed by Acts 1954, ch. 16, § 8.

203.330. Supervisors of training schools — Novitiate attendants — Salaries. [Repealed.]

Compiler’s Notes.

This section (263a-1) was repealed by Acts 1954, ch. 16, § 8.

203.340. Mental examination of habitual criminals. [Renumbered.]

Compiler’s Notes.

This section (263b-17: amend. Acts 1960, ch. 66, § 11) was renumbered as KRS 210.360 .

203.410. Cities or counties may join in providing mental health program. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 2; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.370 .

203.420. Community mental health board, establishment, members. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 6; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.380 .

203.430. Terms of members of board — Vacancies — Removal. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 7; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.390 .

203.440. Duties of board. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 8; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.400 .

203.450. State aid for establishment of regional mental health programs. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 1; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.410 .

203.460. Limits on state grants — Purposes for which made. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 5; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.420 .

203.470. Plan and budget to be submitted to obtain state aid. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 3; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.430 .

203.480. Allocation of state funds — Funds withdrawn, when. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 4; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.440 .

203.490. Powers and duties of state commissioner as to regional programs. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 9; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.450 .

203.500. Cities and counties may appropriate funds and levy tax for regional program. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 79, § 10; 1968, ch. 90, § 64(3)) was renumbered as KRS 210.460 .

203.505. Counsel in restoration proceeding — Fee. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.295 (Enact. Acts 1960, ch. 67, § 27) and was repealed by Acts 1982, ch. 141, § 146, effective July 1, 1982.

203.510. Appeal to circuit court. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.330 (216aa-101) and was repealed, effective January 2, 1978, by Acts 1976 (Ex. Sess.), ch. 14, § 491.

203.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (216aa-62, 216aa-103) was repealed by Acts 1968, ch. 90, § 63.

203.995. Penalties. [Repealed.]

Compiler’s Notes.

This section was formerly compiled as KRS 202.990 (Enact. Acts 1946, ch. 53; 1976, ch. 225, § 3) and was repealed by Acts 1982, ch. 141, § 146, effective July 1, 1982.

CHAPTER 204 Poor Persons and Poorhouses [Repealed]

204.010. Fiscal courts to provide for poor persons. [Repealed.]

Compiler’s Notes.

This section (3932, 3933) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.020. Fiscal court may acquire land and establish a poorhouse. [Repealed.]

Compiler’s Notes.

This section (3925, 3926) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.030. Appointment of commissioners and receivers. [Repealed.]

Compiler’s Notes.

This section (3925, 3928) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.040. Duties of receiver — Bond — Report. [Repealed.]

Compiler’s Notes.

This section (3927, 3930) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.050. Commitment to poorhouse — Medical aid for poor persons. [Repealed.]

Compiler’s Notes.

This section (3931: amend. Acts 1978, ch. 384, § 341) was repealed by Acts 1978, ch. 118, § 19, effective June 17, 1978. For present law see KRS 67.080 and 67.083 .

Legislative Research Commission Notes.

KRS 67.150 , 70.550 , 70.560 , 70.570 , 97.791 , 179.190 , 182.030 , 182.040 , 204.050 , were amended in reviser’s bill, Acts 1978, ch. 384, HB 607, §§ 145, 165, 166, 167, 226, 318, 322, 323 and 341; however, Acts 1978, ch. 118, HB 152, § 19 repealed them and prevails. See KRS 7.136(3).

204.060. Beggars — Disposition of. [Repealed.]

Compiler’s Notes.

This section (3929; Acts 1974, ch. 386, § 42; 1976 (Ex. Sess.), ch. 14, § 190) was repealed by Acts 1978, ch. 118, § 19, effective June 17, 1978. For present law see KRS 67.080 and 67.083 .

204.070. Feebleminded persons not to be kept in poorhouse. [Repealed.]

Compiler’s Notes.

This section (216aa-48: amend. Acts 1974, ch. 386, § 43; 1978, ch. 92, § 9) was repealed by Acts 1978, ch. 118, § 19, effective June 17, 1978. For present law see KRS 67.080 and 67.083 .

Legislative Research Commission Notes.

This section was amended by Acts 1978, ch. 92, § 9. The later repeal by Acts 1978, ch. 118, § 19 prevails.

204.080. Counties may contract for establishment and operation of joint poorhouse or poor farm — Acquisition and disposition of property — Title. [Repealed.]

Compiler’s Notes.

This section (Acts 1948, ch. 53, § 1) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.090. Apportionment of cost of joint project. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 2) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 , 67.083 and 67.084 .

204.100. Board of trustees — Membership — Appointment — Terms — Vacancies — Chairman — Meetings — Compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 3) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.110. Powers of board of trustees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 4) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 , 67.083 and 67.084 .

204.120. Tax for support of joint project — Issuance of revenue bonds. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 5) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.130. Period of contract — Withdrawal. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 6) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.140. Powers of counties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 53, § 7) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.200. Certain cities and counties may contribute to private agencies performing charitable and welfare work. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 47, § 1) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

204.210. Certain cities and counties may create joint or separate agencies to supervise welfare activities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 47, § 2) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 and 67.083 .

CHAPTER 205 Public Assistance and Medical Assistance

Public Assistance Program

205.010. Definitions for chapter.

As used in this chapter, unless the context requires otherwise:

  1. “Cabinet” means the Cabinet for Health and Family Services;
  2. “Secretary” means the secretary for health and family services or his authorized representative;
  3. “Public assistance” means money grants, assistance in kind, or services to or for the benefit of needy aged, needy blind, needy permanently and totally disabled persons, needy children, or persons with whom a needy child lives or a family containing a combination of these categories, except that the term shall not be construed to permit the granting of financial aid where the purpose of such aid is to obtain an abortion. For purposes of this section and KRS 205.560 , “abortion” means an act, procedure, device, or prescription administered or prescribed for a pregnant woman by any person, including the pregnant woman herself, producing premature expulsion of the fetus. Abortion does not include an induced premature birth intended to produce a live viable child;
  4. “Needy child” means a child who has been deprived of parental support by reasons prescribed by regulations within the scope of Title IV of the Social Security Act, its amendments, and federal regulations and who does not have otherwise provided for him a subsistence compatible with decency and health;
  5. “Parent,” in addition to biological or adoptive parent, shall include stepparent;
  6. “Needy aged” means a person who has attained the age of sixty-five (65) and who is unable to provide for himself and who does not have otherwise provided for him a subsistence compatible with decency and health;
  7. “Needy blind” means a person who has no vision or whose vision is so defective as to prevent the performance of ordinary activities for which eyesight is essential and who is unable to provide for himself and who does not have otherwise provided for him a subsistence compatible with decency and health;
  8. “Person with whom a needy child lives” means the individual prescribed by regulation, with whom such child is living in a place of residence maintained by such individual by himself or together with one (1) or more other persons;
  9. “Needy permanently and totally disabled” means a person eighteen (18) years of age or older and who has a permanent physical or mental impairment, disease, or loss that substantially precludes him from engaging in useful occupations within his competence and who is unable to provide for himself and who does not have otherwise provided for him a subsistence compatible with decency and health;
  10. “Private institution” means any establishment or place other than a public institution operated or maintained by any individual, association, corporation, or other organization which provides a group living arrangement for four (4) or more individuals, who are cared for and maintained in residence for compensation or otherwise;
  11. “Public institution” means any establishment or place which is the responsibility of and administered by the state or any political subdivision thereof providing a group living arrangement in which one (1) or more individuals are cared for and maintained in residence;
  12. “Public medical institution” means any public institution the primary purpose of which is to furnish hospital care and medical treatment;
  13. “Person determined to be potentially responsible” means any person who:
    1. Is not aged, blind, disabled, incapacitated, or needed in the home:
      1. Because of the illness or incapacity of a member of the family; or
      2. Because of children in the home under the age of six (6); or
    2. Volunteers for such determination;
  14. Nothing in this section shall be deemed to deprive a woman of all appropriate medical care necessary to prevent her physical death;
  15. “Adult day-care center” means any adult care facility which provides part-time care, day or night, but less than twenty-four (24) hours, to at least four (4) adults not related to the operator of the adult care facility by blood, marriage, or adoption.

History. 3766bb: amend. Acts 1950, ch. 110, §§ 1, 12; 1952, ch. 33, § 1; 1956, ch. 75, § 1; 1962, ch. 39, § 1; 1966, ch. 134, § 1; 1970, ch. 248, § 6; 1972, ch. 256, § 1; 1974, ch. 74, Art. VI, §§ 44, 107(21); 1974, ch. 180, § 1; 1978, ch. 140, § 1, effective June 17, 1978; 1980, ch. 315, § 2, effective July 15, 1980; 1992, ch. 422, § 1, effective July 14, 1992; 1998, ch. 100, § 1, effective July 15, 1998; 1998, ch. 426, § 181, effective July 15, 1998; 2005, ch. 99, § 51, effective June 20, 2005.

Compiler’s Notes.

Title IV of the Social Security Act, referred to in subsection (4), is compiled as 42 USCS § 601 et seq.

NOTES TO DECISIONS

1.Purpose.

This statute was enacted to aid “needy” children under 18 whose parents are incapacitated from supporting them. Barnes v. Neal, 287 S.W.2d 419, 1956 Ky. LEXIS 455 ( Ky. 1956 ).

2.Construction.

The test is the employability of the parent and not availability of employment, and general conditions of unemployment do not furnish a basis for such aid. Barnes v. Turner, 280 S.W.2d 185, 1955 Ky. LEXIS 139 ( Ky. 1955 ) (decision prior to 1962 amendment).

3.Incapacity.

The word “incapacity” should be interpreted in accordance with the general spirit and purpose of the statute to provide a minimum subsistence for children deprived of parental support. Barnes v. Turner, 280 S.W.2d 185, 1955 Ky. LEXIS 139 ( Ky. 1955 ) (decision prior to 1962 amendment).

Incapacity of a parent under regulations governing aid to dependent children means that which in fact renders the man unemployable in the community of his residence. Dawson v. Driver, 420 S.W.2d 553, 1967 Ky. LEXIS 109 ( Ky. 1967 ).

4.Parental Support.

The statute contemplates that the parent must assume the burden of supporting his children if he is physically capable of so doing through any kind of legitimate endeavor, and that he may not pass the burden to the state merely because there are some limitations upon his ability to compete freely in the labor market. Barnes v. Turner, 280 S.W.2d 185, 1955 Ky. LEXIS 139 ( Ky. 1955 ).

5.Eligibility for Aid.

Where the father had his right leg amputated below the knee and suffered from a duodenal ulcer, but could perform some manual labor, his children did not qualify for aid under this section. Powell v. Cupp, 375 S.W.2d 399, 1964 Ky. LEXIS 414 ( Ky. 1964 ).

6.Bankruptcy Proceedings.

Federal earned income credit is a money grant to poor working families with dependent children, and it therefore fits within the definition of “public assistance” and is exempt under KRS 205.220(3) during federal bankruptcy proceedings. In re Goldsberry, 142 B.R. 158, 1992 Bankr. LEXIS 1056 (Bankr. E.D. Ky. 1992 ).

7.Public Assistance.

Debtor’s 1994 earned income credit constitutes “public assistance” for the purposes of subsection (3) of this section. KRS 205.220(3) and bankruptcy trustee’s objection to debtor’s claimed exemption was overruled. In re Brown, 186 B.R. 224, 1995 Bankr. LEXIS 1277 (Bankr. W.D. Ky. 1995 ).

In its child support calculation, the Family Court properly excluded from income, as a means-tested public assistance program under KRS 403.212(2)(b), the earned income tax credit (EIC) received by the mother because the EIC was a money grant to assist needy families, the amount of which decreased as the taxpayer’s earnings increased. Brausch v. Brausch, 265 S.W.3d 837, 2008 Ky. App. LEXIS 279 (Ky. Ct. App. 2008).

Where a mother received an additional child tax credit, the credit was not within the parameters of a means-tested public assistance program under KRS 403.212(2)(b) because the additional child tax credit began to phaseout only when a taxpayer’s adjusted gross income reached $110,000 in the case of a joint return, and a family earning $110,000 per year was not “needy” as that term was commonly understood and used in KRS 205.010 . Brausch v. Brausch, 265 S.W.3d 837, 2008 Ky. App. LEXIS 279 (Ky. Ct. App. 2008).

Cited in:

Barnes v. Noble, 280 S.W.2d 188, 1955 Ky. LEXIS 140 ( Ky. 1955 ); Barnes v. Riley, 280 S.W.2d 188, 1955 Ky. LEXIS 141 ( Ky. 1955 ); Barnes v. Barrett, 302 S.W.2d 385, 1957 Ky. LEXIS 194 ( Ky. 1957 ); Barnes v. Hembree, 339 S.W.2d 162, 1960 Ky. LEXIS 428 ( Ky. 1960 ); Powell v. Bingham, 350 S.W.2d 150, 1961 Ky. LEXIS 83 ( Ky. 1961 ); Ferguson v. Garland, 352 S.W.2d 70, 1961 Ky. LEXIS 191 ( Ky. 1961 ); Brown Hotel Co. v. Edwards, 365 S.W.2d 299, 1962 Ky. LEXIS 284 ( Ky. 1962 ); Ferguson v. Noe, 364 S.W.2d 650, 1963 Ky. LEXIS 207 ( Ky. 1963 ); Powell v. Offutt, 380 S.W.2d 209, 1964 Ky. LEXIS 281 ( Ky. 1964 ); Dawson v. Whitt, 442 S.W.2d 306, 1969 Ky. LEXIS 262 ( Ky. 1969 ); Simpson v. Simpson, 586 S.W.2d 33, 1979 Ky. LEXIS 281 ( Ky. 1979 ).

Opinions of Attorney General.

Under regulations of the department (now cabinet), a needy child must attend school regularly to be eligible for public assistance. OAG 61-980 .

Research References and Practice Aids

Cross-References.

Assistance to children, KRS Chapter 200.

Child welfare; adoption, KRS Chapter 199.

Counsel and court costs to paupers, KRS 453.190 .

Housing and care of elderly, KRS 216.750 to 216.780 .

Jefferson County children’s home, KRS Chapter 201.

Old age pensions authorized, Ky. Const., § 244a.

Support of dependents, KRS Chapter 407.

Unemployment insurance, KRS Chapter 341.

Kentucky Law Journal.

Stevens, The Development of Labor Law in Kentucky, Labor Law and the Legislature, 28 Ky. L.J. 160 (1940).

205.020. Persons eligible for state assistance. [Repealed.]

Compiler’s Notes.

This section (3766bb-1: amend. Acts 1946, ch. 98, § 3) was repealed by Acts 1950, ch. 110, § 12.

205.030. Amount of state assistance. [Repealed.]

Compiler’s Notes.

This section (3766bb-2) was repealed by Acts 1950, ch. 110, § 12.

205.040. Duties of Department of Welfare. [Repealed.]

Compiler’s Notes.

This section (3766bb-4) was repealed by Acts 1950, ch. 110, § 12.

205.045. Social security appropriations not to lapse at end of first fiscal year of biennium. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 236, § 2) was renumbered as KRS 45.235 and was subsequently repealed.

Legislative Research Commission Notes.

1948 Ky. Acts ch. 236 created three new sections of the statutes, reading exactly the same, to be numbered KRS 200.045 , 205.045 , and 207.085 . These three sections were consolidated into one, and codified as KRS 45.235 , effective 1948.

205.050. Administration of oath and acknowledgment of documents. [Repealed.]

Compiler’s Notes.

This section (3766bb-4a) was repealed by Acts 1950, ch. 110, § 12.

205.060. Records to be confidential — Rules governing. [Repealed.]

Compiler’s Notes.

This section (3766bb-6a) was repealed by Acts 1942, ch. 58, § 5.

205.065. Confidential treatment of records concerning old age assistance, aid to dependent children and needy blind. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1942, ch. 58, §§ 1, 2) was repealed by Acts 1950, ch. 110, § 12.

205.070. Right of appeal. [Repealed.]

Compiler’s Notes.

This section (3766bb-6b) was repealed by Acts 1950, ch. 110, § 12.

205.080. Assistance inalienable and exempt from execution. [Repealed.]

Compiler’s Notes.

This section (3766bb-10) was repealed by Acts 1950, ch. 110, § 12.

205.090. County old age pensions. [Repealed.]

Compiler’s Notes.

This section (938i-1) was repealed by Acts 1966, ch. 255, § 283.

205.100. Persons entitled to county pension — Amount. [Repealed.]

Compiler’s Notes.

This section (938i-2) was repealed by Acts 1966, ch. 255, § 283.

205.110. Qualifications of beneficiaries. [Repealed.]

Compiler’s Notes.

This section (938i-3) was repealed by Acts 1966, ch. 255, § 283.

205.120. Persons not entitled to county pension. [Repealed.]

Compiler’s Notes.

This section (938i-4) was repealed by Acts 1966, ch. 255, § 283.

205.130. Death of pensioner — Reimbursement from his estate. [Repealed.]

Compiler’s Notes.

This section (938i-5) was repealed by Acts 1966, ch. 255, § 283.

205.140. Application for pension — Modification of allowance — Reports. [Repealed.]

Compiler’s Notes.

This section (938i-6) was repealed by Acts 1966, ch. 255, § 283.

205.150. Obtaining pension by fraud. [Repealed.]

Compiler’s Notes.

This section (938i-7) was repealed by Acts 1966, ch. 255, § 283.

205.160. Administrative functions of commissioner of economic security — Personnel — Compensation and retirement benefits — Administrative costs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 110, § 2; 1972, ch. 256, § 2) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

205.170. Powers of secretary.

  1. In the discharge of the duties imposed by this chapter the secretary or his duly authorized representative may administer oaths and affirmations, take depositions, certify official acts, and issue subpoenas to compel the attendance of witnesses and production of books, papers, correspondence, memoranda and other records considered necessary and relevant as evidence in connection with the administration of the cabinet. Such subpoena shall be served in the same manner as a subpoena issued out of a Circuit Court.
  2. No person shall be excused from attending and testifying or from producing books, papers, correspondence, memoranda or other records in response to such subpoena on the grounds that the evidence required of him may tend to incriminate him or subject him to a penalty, or forfeiture. No person shall be prosecuted or subjected to any suit, penalty, or forfeiture on account of any transaction, matter, or thing concerning which he or his agent or worker is compelled, after having claimed privilege against self-incrimination, to give evidence except that such witness so testifying shall not be exempt from punishment for perjury.

History. Enact. Acts 1950, ch. 110, § 3; 1952, ch. 33, § 2; 1972, ch. 256, § 3; 1974, ch. 74, Art. VI, § 107(21), (29).

NOTES TO DECISIONS

Cited in:

Commonwealth v. Brown, 619 S.W.2d 699, 1981 Ky. LEXIS 263 ( Ky. 1981 ), overruled, Murphy v. Commonwealth, 652 S.W.2d 69, 1983 Ky. LEXIS 249 ( Ky. 1983 ), overruled in part, Murphy v. Commonwealth, 652 S.W.2d 69, 1983 Ky. LEXIS 249 ( Ky. 1983 ).

Research References and Practice Aids

Cross-References.

Heads of departments may empower representatives to administer oaths and examine witnesses, KRS 12.120 .

205.175. Confidential treatment of information and records — Persons to whom furnished.

  1. All letters, reports, communications, and other matters, written or oral, to the cabinet or any of its agents, representatives, or employees, or to any board or official functioning under this chapter which have been written, sent, or made in connection with the requirements and administration of the cabinet shall be absolutely privileged and shall not be the subject matter or basis for any suit for slander or libel in any court, but no person testifying before the secretary or his duly authorized representative shall be exempt from punishment for perjury.
  2. Information received or transmitted shall not be published or be open for public inspection, including instances in which the agency determines reasonable cause to believe evidence of domestic violence or child abuse and the disclosure of the information could be harmful to the custodial parent or the child of the parent, except that necessary information and records may be furnished to:
    1. Public employees in the performance of their duties in connection with the administration of the public assistance or child support enforcement program pursuant to Part D of Title IV of the Social Security Act;
    2. All law enforcement agencies including county attorneys, Commonwealth’s attorneys, District and Circuit Judges and grand juries in discovering and prosecuting cases involving fraud;
    3. Duly elected members of the General Assembly of the Commonwealth of Kentucky and the Congress of the United States in connection with their duties as members of such legislative bodies, but such information shall be limited to cases of individual constituents of the legislator, who have requested information regarding their application or grant, as specified in the inquiry by such legislator;
    4. Any interested party at a hearing before the secretary or his duly authorized representative to the extent necessary for the proper presentation of his case; provided, that any names or information obtained through access to such records shall not be used for any commercial or political purposes; and
    5. Any bank, savings and loan association, credit union, or other financial institution to the extent necessary to ascertain or confirm information submitted by the applicant or recipient and used to make eligibility or benefit determinations.
  3. Information regarding a public assistance applicant or recipient may also be released, in the discretion of the secretary or those he may designate, to such individuals or agencies as meet the requirements of regulations promulgated by the secretary and who are supplying or cooperating in securing services, employment, or training for the applicant or recipient of public assistance.
  4. The unauthorized use by any employee of the cabinet of information obtained pursuant to KRS 205.835 is prohibited.

History. Enact. Acts 1952, ch. 33, § 3; 1970, ch. 248, § 3; 1974, ch. 74, Art. VI, § 107(21), (29); 1976 (Ex. Sess.), ch. 14, § 191, effective January 2, 1978; 1986, ch. 286, § 3; effective July 15, 1986; 1988, ch. 411, § 17, effective July 15, 1988; 1998, ch. 255, § 2, effective July 15, 1998.

Compiler’s Notes.

Part D of Title IV of the Social Security Act, referred to in subsection (2)(a), is compiled as 42 USCS § 651 et seq.

NOTES TO DECISIONS

1.Authority to Order Disclosure.

Trial court lacked the authority to order disclosure of records of participants in a community-based program developed and run by the Cabinet for Health and Family Services known as the Home and Community Based Waiver Program because, inter alia, such records were protected from disclosure by 42 U.S.C.S. § 1396a(7) and KRS 205.175 . Bell v. Commonwealth, 423 S.W.3d 742, 2014 Ky. LEXIS 86 ( Ky. 2014 ).

Opinions of Attorney General.

A grand jury is entitled to reasonable access to public assistance records, but must maintain the confidentiality of what is learned from such records, subject only to proper disclosure for prosecution or further investigation. OAG 69-354 .

Research References and Practice Aids

Kentucky Law Journal.

Comments, Access to Public Documents in Kentucky, 64 Ky. L.J. 165 (1975-76).

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

205.177. Information may be shared by state and local governmental agencies — Conditions.

  1. Notwithstanding any existing state statute or regulation to the contrary, any pertinent information concerning individual clients, patients, or applicants in the possession of the Justice and Public Safety Cabinet, Cabinet for Health and Family Services, Department of Education, or any other state or local governmental agency may be shared with any authorized representative of any other state or local governmental agency of similar function if the agency has a direct, tangible, legitimate interest in the individual concerned or his or her immediate family.
  2. Any state agency designated in subsection (1) of this section may share pertinent information concerning a client, patient, or applicant with any private or quasi-private agency when such agency has an agreement with that state agency assuring the confidentiality of all such information, and provided that the private or quasi-private agency has a direct, tangible, legitimate interest in the individual concerned or his or her immediate family.

History. Enact. Acts 1970, ch. 269, § 1; 1974, ch. 74, Art. VI, § 45; 1998, ch. 426, § 182, effective July 15, 1998; 2005, ch. 99, § 52, effective June 20, 2005; 2007, ch. 85, § 241, effective June 26, 2007.

Opinions of Attorney General.

A nonprofit corporation dealing in patient care is not required to get parental consent for the sharing of minor children patient information among appropriate state and private or quasi-private agencies. OAG 77-666 .

205.178. Enrollment or benefit tracking agency to receive information on recipients of Medicaid and food stamp benefits — Memorandum of understanding with departments providing information — Independent vendors — Multistate cooperative — Review when information indicates change in circumstances affecting recipient’s eligibility — Waiver of federal requirements relating to food stamps — Rules and regulations — Report.

  1. At a regularly scheduled interval, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall receive and review information from the Kentucky Lottery Corporation concerning individuals enrolled as recipients in the Medicaid program or the food stamps program that indicates a change in circumstances that may affect eligibility, including but not limited to changes in income or resources.
  2. On at least a monthly basis, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall receive and review information from the Vital Statistics Branch concerning individuals enrolled in the Medicaid program or the food stamps program that indicates a change in circumstances that may affect eligibility.
  3. On at least a quarterly basis, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall receive and review information from the Kentucky Office of Unemployment Insurance concerning individuals enrolled in the Medicaid program or the food stamps program that indicates a change in circumstances that may affect eligibility, including but not limited to changes in employment or wages.
  4. On at least a quarterly basis, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall receive and review information concerning individuals enrolled in the Medicaid program or the food stamps program that indicates a change in circumstances that may affect eligibility, including but not limited to potential changes in residency as identified by out-of-state electronic benefit transfer transactions.
    1. Notwithstanding any other provision of law to the contrary, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall enter into a memorandum of understanding with any department, agency, or division for information detailed in this section. (5) (a) Notwithstanding any other provision of law to the contrary, each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall enter into a memorandum of understanding with any department, agency, or division for information detailed in this section.
    2. Notwithstanding any other provision of law to the contrary, any department, agency, or division for information detailed in this section, including but not limited to the Kentucky Lottery Corporation, the Vital Statistics Branch, the Office of Unemployment Insurance, and the Department for Community Based Services, shall enter into any necessary memoranda of understanding with the enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program requesting an agreement pursuant to paragraph (a) of this subsection.
  5. Each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet may contract with one (1) or more independent vendors to provide additional data or information that may indicate a change in circumstances that may affect eligibility.
  6. Each enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet shall explore joining any multistate cooperative to identify individuals who are also enrolled in public assistance programs outside of this state.
  7. If an enrollment or benefit tracking agency associated with the Medicaid program or the food stamps program of the cabinet receives information concerning an individual enrolled in the Medicaid program or the food stamps program that indicates a change in circumstances that may affect eligibility, the enrollment or benefit tracking agency or other appropriate agency shall review the individual’s case.
  8. The food stamps program of the cabinet shall not seek, apply for, accept, or renew any waiver of requirements established under 7 U.S.C. sec. 2015(o) unless there is an economic downturn resulting in an unemployment rate of ten percent (10%) or more or the Cabinet for Health and Family Services determines an increase in the unemployment rate in any particular county is severe enough to necessitate a waiver.
  9. The cabinet shall promulgate all rules and regulations necessary for the purposes of carrying out this section.
  10. Upon request, the Cabinet for Health and Family Services shall submit a report relating to the number of individuals discovered utilizing services inappropriately, the number of individuals who were removed from one (1) or more public assistance programs as a result of a review pursuant to this section, and the amount of public funds preserved in total and by public assistance program and aggregated by prior years.

HISTORY: 2018 ch. 141, § 1, effective January 1, 2019; 2019 ch. 146, § 54, effective June 27, 2019; 2020 ch. 36, § 13, effective July 15, 2020.

Legislative Research Commission Notes.

(1/1/2019). In subsections (2) and (5)(b) of this statute, a reference to “the Department for Vital Statistics” has been corrected in codification to read “the Vital Statistics Branch.” The Reviser of Statutes has made this correction under the authority of KRS 7.136 .

205.179. Annual review of sites where residents receive state supplemental benefits to determine registration status of boarding home.

The Cabinet for Health and Family Services shall conduct an annual review of all addresses or locations at which four (4) or more persons reside who receive state supplementation of federal supplemental security income benefits to determine if the address or location is a boarding home that has not registered pursuant to KRS 216B.305 . The results of the review shall be reported to the Department for Aging and Independent Living and action shall be taken to ensure the registration of all unregistered boarding homes that are identified.

History. Enact. Acts 1992, ch. 63, § 5, effective July 14, 1992; 1998, ch. 426, § 183, effective July 15, 1998; 2000, ch. 6, § 18, effective July 14, 2000; 2005, ch. 99, § 217, effective June 20, 2005; 2007, ch. 24, § 14, effective June 26, 2007.

205.180. Destruction of records.

The secretary for health and family services may authorize the destruction of such original reports and records as have been properly recorded or summarized in the permanent records of the cabinet or are no longer considered necessary to the proper administration of the cabinet. Such destruction or disposition shall be made only by order of the secretary. Any money received from the disposition of such records shall be deposited to the credit of trust and agency accounts.

History. Enact. Acts 1950, ch. 110, § 4; 1974, ch. 74, Art. VI, § 46; 1998, ch. 426, § 184, effective July 15, 1998; 2005, ch. 99, § 218, effective June 20, 2005.

205.190. Advisory committees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 110, § 5; 1972, ch. 256, § 4) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

205.200. Eligibility for public assistance.

  1. A needy aged person, a needy blind person, a needy child, a needy permanently and totally disabled person, or a person with whom a needy child lives shall be eligible to receive a public assistance grant only if he has made a proper application or an application has been made on his behalf in the manner and form prescribed by administrative regulation. No individual shall be eligible to receive public assistance under more than one (1) category of public assistance for the same period of time.
  2. The secretary shall, by administrative regulations, prescribe the conditions of eligibility for public assistance in conformity with the public assistance titles of the Social Security Act, its amendments, and other federal acts and regulations. The secretary shall also promulgate administrative regulations to allow for between a forty percent (40%) and a forty-five percent (45%) ratable reduction in the method of calculating eligibility and benefits for public assistance under Title IV-A of the Federal Social Security Act. In no instance shall grants to families with no income be less than the appropriate grant maximum used for public assistance under Title IV-A of the Federal Social Security Act. As used in this section, “ratable reduction” means the percentage reduction applied to the deficit between the family’s countable income and the standard of need for the appropriate family size.
  3. The secretary may by administrative regulation prescribe as a condition of eligibility that a needy child regularly attend school, and may further by administrative regulation prescribe the degree of relationship of the person or persons in whose home such needy child must reside.
  4. The secretary may by administrative regulation prescribe conditions for bringing paternity proceedings or actions for support in cases of out of wedlock birth or nonsupport by a parent in the public assistance under Title IV-A of the Federal Social Security Act program.
  5. Public assistance shall not be payable to or in behalf of any individual who has taken any legal action in his own behalf or in the behalf of others with the intent and purpose of creating eligibility for the assistance.
  6. The cabinet shall promptly notify the appropriate law enforcement officials of the furnishing of public assistance under Title IV-A of the Federal Social Security Act in respect to a child who has been deserted or abandoned by a parent.
  7. No person shall be eligible for public assistance payments if, after having been determined to be potentially responsible, and afforded notice and opportunity for hearing, he refuses without good cause:
    1. To register for employment with the state employment service,
    2. To accept suitable training, or
    3. To accept suitable employment.

      The secretary may prescribe by administrative regulation, subject to the provisions of KRS Chapter 13A, standards of suitability for training and employment.

  8. To the extent permitted by federal law, scholarships, grants, or other types of financial assistance for education shall not be considered as income for the purpose of determining eligibility for public assistance.
  9. To the extent permitted by federal law, any money received because of a settlement or judgment in a lawsuit brought against a manufacturer or distributor of “Agent Orange” for damages resulting from exposure to “Agent Orange” by a member or veteran of the Armed Forces of the United States or any dependent of such person who served in Vietnam shall not be considered as income for the purpose of determining eligibility or continuing eligibility for public assistance and shall not be subject to a lien or be available for repayment to the Commonwealth for public assistance received by the recipient.
    1. Notwithstanding any other provision of Kentucky law, the following shall be disregarded for the purposes of determining an individual’s eligibility for a means-tested public assistance program, and the amount of assistance or benefits the individual is eligible to receive under the program: (10) (a) Notwithstanding any other provision of Kentucky law, the following shall be disregarded for the purposes of determining an individual’s eligibility for a means-tested public assistance program, and the amount of assistance or benefits the individual is eligible to receive under the program:
      1. Any amount in an ABLE account;
      2. Any contributions to an ABLE account; and
      3. Any distribution from an ABLE account for qualified disability expenses.
    2. For purposes of this subsection:
      1. “ABLE account” means an account established within any state having a qualified ABLE program as provided in 26 U.S.C. sec. 529 A, as amended;
      2. “Kentucky law” includes:
        1. All provisions of the Kentucky Revised Statutes:
        2. Any contract to provide Medicaid managed care established pursuant to this chapter;
        3. Any agreement to operate a Medicaid program established pursuant to this chapter; and
        4. Any administrative regulation promulgated pursuant to this chapter; and
      3. “Qualified disability expenses” means expenses described in 26 U.S.C. sec. 529 A of a person who is the beneficiary of an ABLE account.

History. Enact Acts 1950, ch. 110, § 6; 1952, ch. 33, § 4; 1956, ch. 75, § 2; 1962, ch. 38, § 1; 1966, ch. 134, §§ 2, 3; 1970, ch. 248, § 4; 1972, ch. 256, § 5; 1974, ch. 74, Art. VI, § 107(21), (29); 1988, ch. 121, § 3, effective July 15, 1988; 1990, ch. 242, § 1, effective July 13, 1990; 1998, ch. 100, § 2, effective July 15, 1998; 2016 ch. 35, § 1, effective July 15, 2016.

Compiler’s Notes.

Title IV-A of the Social Security Act, referred to throughout the section, is compiled as 42 USCS § 601 et seq.

NOTES TO DECISIONS

1.Judicial Review.

Where denial of claimant’s application for public assistance because of permanent and total disability was supported by the opinion of a highly qualified diagnostician that claimant was not permanently disabled, as the Circuit Court is unauthorized to substitute its evaluation of the weight and credibility of the evidence for that of the appeal board, such decision went beyond the scope of judicial review. Huecker v. Rains, 483 S.W.2d 114, 1972 Ky. LEXIS 167 ( Ky. 1972 ).

2.Sufficiency of Evidence.

Where the claimant offered testimony of one physician who stated the claimant was totally disabled due to a heart condition and this testimony was contradicted by a specialist in internal medicine who did extensive tests and found no heart condition, the denial of public assistance was sufficiently supported by substantial evidence. Huecker v. Rains, 483 S.W.2d 114, 1972 Ky. LEXIS 167 ( Ky. 1972 ).

Cited in:

Dawson v. Driver, 420 S.W.2d 553, 1967 Ky. LEXIS 109 ( Ky. 1967 ).

Opinions of Attorney General.

Under regulations of the department (now cabinet), a needy child must attend school regularly to be eligible for public assistance. OAG 61-980 .

Research References and Practice Aids

Cross-References.

Persons entitled to unemployment compensation, KRS 341.350 .

Treatises

Petrilli, Kentucky Family Law, Illegitimacy and Paternity Proceedings, §§ 31.1, 31.9.

Petrilli, Kentucky Family Law, Support of the Family, § 16.6.

205.2001. “Public assistance under Title IV-A of the Federal Social Security Act standard of need” defined.

For purposes of eligibility for public assistance under Title IV-A of the Federal Social Security Act, “public assistance under Title IV-A of the Federal Social Security Act standard of need” means an amount no less than the poverty income level by size of family unit, as annually issued by the United States Department of Health and Human Services, minus the combined value of the state’s average Medicaid utilization for a given family size plus the value of United States food stamps for a given family size.

History. Enact. Acts 1988, ch. 121, § 2, effective July 15, 1988; 1998, ch. 100, § 3, effective July 15, 1998.

Compiler’s Notes.

Title IV-A of the Social Security Act is compiled as 42 USCS § 601 et seq.

205.2002. Education or training or employment of adults in families with dependent children — Goals for cabinet — Sanctions for noncompliance — Report to General Assembly. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 121, § 4, effective July 15, 1988) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). Under KRS 446.260 , the repeal of this section in 1998 Ky. Acts ch. 100 prevails over its amendment in 1998 Ky. Acts ch. 426.

205.2003. Administrative regulations for work program for public assistance recipients.

  1. The secretary shall by administrative regulations subject to the provisions of KRS Chapter 13A develop a work program for recipients of public assistance under Title IV-A of the Federal Social Security Act to provide for immediate employment or preparation for employment.
  2. Self-sufficiency of participants shall be the primary goal of the work program. Participants shall bear the ultimate responsibility in pursuit of this goal.
  3. In partnership with participants, the cabinet shall assess their strengths and needs and provide supportive services to assist in the pursuit of work and self-sufficiency.

History. Enact. Acts 1998, ch. 100, § 4, effective July 15, 1998.

Compiler’s Notes.

Title IV-A of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 601 et seq.

205.2005. Food stamp eligibility for certain public assistance recipients convicted of drug offenses.

Any public assistance recipient under Title IV of the Federal Social Security Act and any federal food stamp program recipient who has been convicted of a drug felony after August 22, 1996, may remain eligible for the program benefits if the recipient has been assessed as chemically dependent and is participating in or has successfully completed a chemical dependency treatment program or is pregnant, and the recipient is otherwise eligible.

History. Enact. Acts 1998, ch. 427, § 12, effective July 15, 1998.

Compiler’s Notes.

Title IV of the Social Security Act is compiled as 42 USCS § 601 et seq.

Research References and Practice Aids

Northern Kentucky Law Review.

2008 Criminal Law Issue: Note: Federal Social Services Consequences of a Kentucky Drug Conviction, 35 N. Ky. L. Rev. 393 (2008).

205.2005. Food stamp eligibility for certain public assistance recipients convicted of drug offenses.

Pursuant to 21 U.S.C. sec. 862 a(d)(1), all individuals residing in Kentucky shall be exempt from the application of 21 U.S.C. sec. 862 a(a).

HISTORY: Enact. Acts 1998, ch. 427, § 12, effective July 15, 1998; 2021 ch. 182, § 4.

205.201. Duties of cabinet as to the aging and the minority elderly.

The duties of the Cabinet for Health and Family Services shall be to:

  1. Promote and aid in the establishment of local programs and services for the aging;
  2. Conduct programs to educate the public as to problems of the aging;
  3. Review existing state programs and services for the aging and to make recommendations to the Governor, to the appropriate department and agencies of the state, and to the legislature for improvements in and additions to such programs and services;
  4. Assist and encourage governmental and private agencies to coordinate their efforts on behalf of the aging;
  5. Conduct and encourage other organizations to conduct studies concerning the aging;
  6. Establish, in selected areas and communities of the state, programs of services for the aging to demonstrate the value of such programs, and to encourage local agencies to continue the programs and to create new services where needed. Emphasis shall be given to services designed to foster continued participation of older people in family and community life and to lessen the need for institutional care;
  7. Provide services designed to meet the needs of the minority elderly in programs administered by the cabinet;
  8. The cabinet shall solicit and consider the input of individuals and organizations representing the concerns of the minority elderly population as relates to:
    1. Programs and services needed by the minority elderly;
    2. The extent to which existing programs do not meet the needs of the minority elderly;
    3. The accessibility of existing programs to the minority elderly;
    4. The availability and adequacy of information regarding existing services;
    5. Health problems the minority elderly experience at a higher rate than the nonminority elderly population; and
    6. Financial, social, and other barriers experienced by the minority elderly in obtaining services;
  9. Conduct an outreach program that provides information to minority elderly Kentuckians about health and social problems experienced by minority elderly persons and available programs to address those problems; and
  10. Cooperate with the federal government and with the governments of other states in programs relating to the aging.

History. Enact. Acts 1976, ch. 207, § 1; 1992, ch. 246, § 1, effective July 14, 1992; 1998, ch. 426, § 186, effective July 15, 1998; 2000, ch. 6, § 19, effective July 14, 2000; 2005, ch. 99, § 219, effective June 20, 2005; 2017 ch. 80, § 31, effective June 29, 2017; 2020 ch. 36, § 14, effective July 15, 2020.

205.202. Acceptance and disposition of gifts and grants.

The secretary of the Cabinet for Health and Family Services shall be empowered to accept and expend gifts and grants from any source. Such moneys shall go into a trust and agency fund to be administered by the cabinet in furtherance of the purposes of the provisions of KRS 205.201 to 205.204 .

History. Enact. Acts 1976, ch. 207, § 2; 1998, ch. 426, § 187, effective July 15, 1998; 2000, ch. 6, § 20, effective July 14, 2000; 2005, ch. 99, § 220, effective June 20, 2005.

205.203. Authorization to provide in-home services to the aging — Collection of fees.

  1. The secretary of the Cabinet for Health and Family Services may provide, within budgetary limitations, for in-home services to the aging to include, but not necessarily limited to: homemaker services; home-help therapy services; day-care services; home-delivered meal services; transportation services; foster care services; and health services.
  2. The cabinet is authorized to collect fees for services rendered pursuant to this section in accordance with a fee schedule adopted by the secretary for health and family services. The fee schedule shall take into consideration the ability of the patient or client to pay for such services. Fees shall not be collected from any person who is “needy aged” as defined by KRS 205.010 .
  3. The secretary may utilize and promote available or potential community resources for the delivery of services to the aging and shall, when he deems appropriate, contract for services with local, community, private agencies, and individuals, including relatives of patients and clients, when such services would not otherwise be available without cost.
  4. The services to the aging authorized under this section are in addition and supplementary to any services to which the aging may be entitled under any other federal, state, or local governmental law, regulation, or program.
  5. The services to the aging authorized under this section shall be designed to meet the needs of the minority elderly as identified by the Cabinet for Health and Family Services pursuant to KRS 205.201 .

History. Enact. Acts 1976, ch. 207, § 3; 1992, ch. 246, § 2, effective July 14, 1992; 1998, ch. 426, § 188, effective July 15, 1998; 2000, ch. 6, § 21, effective July 14, 2000; 2005, ch. 99, § 221, effective June 20, 2005.

205.204. Cabinet to administer Older Americans Act — Regulatory authority.

  1. The Cabinet for Health and Family Services, unless otherwise directed by an executive order of the Governor, is designated the agency of this state for the purpose of administering the Older Americans Act of 1965, Pub. L. 89-73, including all amendments thereto. In administering programs and allocating funds under the Older Americans Act, the cabinet shall design programs and allocate funds to meet the needs of the minority elderly as identified by the cabinet pursuant to KRS 205.201 .
  2. The secretary for health and family services may promulgate such administrative regulations as are necessary to comply with any requirement imposed or required by federal law.

History. Enact. Acts 1976, ch. 207, § 4; 1988, ch. 280, § 3, effective July 15, 1988; 1992, ch. 246, § 3, effective July 14, 1992; 1998, ch. 426, § 189, effective July 15, 1998; 2000, ch. 6, § 22, effective July 14, 2000; 2005, ch. 99, § 222, effective June 20, 2005.

Compiler’s Notes.

The Older Americans Act of 1965, referred to in subsection (1), is compiled as 42 USCS § 3001 et seq.

205.210. Amount of assistance — Proration in case of deficiency — Resources defined.

  1. The amount of public assistance to be granted shall be determined with due regard to the needs and resources of the individual and family as prescribed by regulation, provided, that if available funds during a budgetary period are insufficient to meet the full needs of the recipients in all or any of the categories of public assistance, the funds available shall be reasonably prorated to recipients in such categories according to pending and anticipated applications during such budgetary period.
  2. Notwithstanding any other provisions of law to the contrary, resources in any given case shall be deemed to include among other things:
    1. The income and any property belonging to any applicant or recipient; except the exemptions of the kind and the amount of income prescribed by regulations within the scope of the public assistance titles of the Social Security Act, its amendments and other federal acts and regulations;
    2. The income and any property of the spouse living with any needy aged, needy blind or needy permanently and totally disabled person; and
    3. Such income and resources as may be available to applicants or recipients from persons legally liable for their support.

      The price brought on the sale of property at a public auction conducted by a licensed auctioneer shall be deemed to be the fair market value of that property.

  3. The value of any property voluntarily transferred by any applicant or recipient or the spouse living with any applicant or recipient for the purpose of establishing eligibility for public assistance shall be deemed a resource of such applicant or recipient under this section.

History. Enact. Acts 1950, ch. 110, § 7; 1952, ch. 33, § 5; 1962, ch. 34, § 1; 1966, ch. 134, § 4; 1970, ch. 248, § 5; 1972, ch. 256, § 6; 2016 ch. 103, § 18, effective July 15, 2016.

Compiler’s Notes.

The Social Security Act, referred to in subsection (2)(a), is compiled as 42 USCS § 301 et seq.

NOTES TO DECISIONS

1.Withholding Payments.

In the absence of fraud or misrepresentation, government had no power to withhold payments from the beneficiary in satisfaction of overpayments, but only to determine prospectively, based on the recipient’s estimated other income and nest egg in hand, if any, a reduction in or pro tem cessation of benefits. Powell v. Offutt, 380 S.W.2d 209, 1964 Ky. LEXIS 281 ( Ky. 1964 ).

2.Denial of Caretaker Benefits.

Where it was evident from the record that the sole basis for denial of caretaker benefits was section 4909 of the operation manual of the Bureau (now department) of Social Insurance and not a weighing of the need of and resources available to the claimant’s mother including resources available from the claimant, and where section 4909 was not promulgated as required by KRS 13.085 et seq. (now repealed), it had no effect and therefore could not be used as an independent basis for denying benefits. Vincent v. Conn, 593 S.W.2d 99, 1979 Ky. App. LEXIS 503 (Ky. Ct. App. 1979).

Opinions of Attorney General.

Under regulations of the department of public assistance (now cabinet for health and family services), if a “needy aged” welfare recipient sold his homeplace for $6,300, he would no longer be eligible for assistance unless he reinvested the proceeds in a new homeplace. OAG 71-297 .

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Support of the Family, § 16.6.

205.211. Secretary to correct any underpayment or overpayment of public assistance benefits.

  1. Except as otherwise provided by law, the secretary may, in accordance with the regulations he may prescribe and to the extent permitted by federal law, take all necessary steps to correct any underpayment or overpayment of public assistance benefits under this chapter.
  2. Recovery of overpayments by the secretary may be accomplished through repayment, reduction of future public assistance benefits, or by civil action in the Circuit or District Court depending upon the jurisdictional amount involved.
  3. No reduction in future benefits or civil action shall be instituted except after notice and an opportunity for a fair hearing have been given and the administrative and judicial remedies provided by this chapter have been either exhausted or abandoned.
  4. For purposes of this section, overpayment shall include payments made to or in behalf of an eligible person in excess of the amount of public assistance benefits to which they are entitled as defined by regulation, payments made to ineligible persons and payments made to persons pending a fair hearing decision or court decision.
  5. Nothing in this section shall be construed to prohibit criminal prosecution for fraud under any other statute.

History. Enact. Acts 1982, ch. 149, § 1, effective March 26, 1982.

205.213. Technical amendment to material that has been incorporated by reference in administrative regulation governing Supplemental Nutrition Assistance Program.

Notwithstanding the provisions of KRS Chapter 13A, the Cabinet for Health and Family Services may amend material that had been previously incorporated by reference in an administrative regulation governing the Supplemental Nutrition Assistance Program, formerly known as the federal food stamp program, through technical amendment if the amendment is prescribed by the United States Department of Agriculture.

HISTORY: 2018 ch. 112, § 6, effective July 14, 2018.

205.215. Short-term assistance to families with children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 200, § 1) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.217. Long-term care case management demonstration. [Repealed]

History. Enact. Acts 1990, ch. 482, § 28, effective July 13, 1990; 1992, ch. 246, § 4, effective July 14, 1992; 1998, ch. 426, § 190, effective July 15, 1998; 2000, ch. 6, § 23, effective July 14, 2000; 2005, ch. 99, § 223, effective June 20, 2005; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

205.220. Payments, to whom made — Accounting — Exemption from assignment, levy or execution.

  1. Payments of public assistance grants for eligible individuals shall be made at the time and in the manner prescribed by regulation to:
    1. The needy aged or needy blind or needy permanently and totally disabled person or recipient; or
    2. The parent or relative with whom a needy child lives; or
    3. The parent or legal guardian of a blind minor; or
    4. The legal guardian of (a) or (b) above; or
    5. Such other persons on behalf of an eligible person as may be prescribed by regulation; or
    6. Committees appointed by the court and approved for payment purposes by the secretary according to prescribed regulations.
  2. Any person who is receiving and disbursing public assistance grants on behalf of another individual eligible under this chapter shall upon request make an accounting of such funds to the cabinet in accordance with regulations. If a public assistance grant made on behalf of a needy individual is not used for the benefit of such individual, such payment shall be suspended pending reasonable assurance that future grants will benefit the individual on whose behalf such payments are made.
  3. Public assistance shall not be assignable and shall be exempt from levy or execution. Furthermore, no assignment, pledge or encumbrance of any right to benefits due or payable under this chapter shall be valid. Public assistance benefits, as long as they are not mingled with other funds of the recipient, shall be exempt from any remedy for the collection of all debts, liens and encumbrances. No waiver of any exemption provided for in this subsection shall be valid.

History. Enact. Acts 1950, ch. 110, § 8; 1956, ch. 75, § 3; 1966, ch. 134, § 5; 1972, ch. 256, § 7; 1974, ch. 74, Art. VI, § 107(21), (29); 1980, ch. 188, § 193, effective July 15, 1980.

NOTES TO DECISIONS

1.Bankruptcy Proceedings.

Federal earned income credit is a money grant to poor working families with dependent children, and it therefore fits within the definition of “public assistance” and is exempt under subsection (3) of this section during federal bankruptcy proceedings. In re Goldsberry, 142 B.R. 158, 1992 Bankr. LEXIS 1056 (Bankr. E.D. Ky. 1992 ).

2.Public Assistance.

Debtor’s 1994 earned income credit constitutes “public assistance” for the purposes of subsection (3) of this section. In re Brown, 186 B.R. 224, 1995 Bankr. LEXIS 1277 (Bankr. W.D. Ky. 1995 ).

Earned Income Tax Credit portion of the bankruptcy debtors’ tax refunds are not exempted from the debtors’ estates under KRS 205.220(3) as public assistance payments, since the credits are refunded tax overpayments rather than welfare grants. In re Duvall, 281 B.R. 646, 2002 Bankr. LEXIS 864 (Bankr. W.D. Ky. 2002 ), rev'd, 289 B.R. 624, 2003 U.S. Dist. LEXIS 6672 (W.D. Ky. 2003 ).

Because the debtor could exempt a portion of her tax refund as Earned Income Credit benefits under KRS 205.220(3) and another portion under the general exemption statute of KRS 427.160 , and those exemptions were not subject to levy under 11 USCS § 522(c), the Internal Revenue Service was granted relief from the automatic stay to offset only the remaining amount of the refund under 11 USCS § 553. In re Sharp, 286 B.R. 627, 2002 Bankr. LEXIS 954 (Bankr. E.D. Ky. 2002 ).

Bankruptcy court erroneously overruled its prior holding when it declared that the Earned Income Tax Credit (EITC) categorically did not constitute “public assistance” for purposes of KRS 205.220(3), an exemption statute; Congress intended the EITC to provide relief to low-income families hurt by rising food and energy prices, and the fact that Congress chose a tax credit as the mechanism for delivering such assistance did not negate the fact that the EITC was a form of relief for the needy. Flanery v. Mathison, 289 B.R. 624, 2003 U.S. Dist. LEXIS 6672 (W.D. Ky. 2003 ).

205.222. Assistance with unemployed male parent. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 376, § 1) was repealed by Acts 1978, ch. 235, § 1.

205.223. Conditions for applying KRS 205.222. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 376, § 2(1), (2)) was repealed by Acts 1978, ch. 235, § 1.

205.225. Misrepresentation of fact to obtain assistance — Action of secretary. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 37, § 1; 1964, ch. 89, § 4; 1972, ch. 256, § 8; 1974, ch. 74, Art. VI, § 107(21), (28)) was repealed by Acts 1979 (Ex. Sess.), ch. 2, § 10, effective February 10, 1979.

205.227. Action by secretary against persons legally liable for support.

  1. The secretary or his authorized representative may initiate any action under the laws of this state against a parent or other person legally liable for support who has failed to provide support for the person to whom an obligation of support is owed and who is receiving public assistance benefits under this chapter.
  2. The secretary or his authorized representative may institute an action in Circuit Court against a parent or other person legally liable for support who has failed to provide support for the person to whom an obligation of support is owed, for reimbursement of payments made by the cabinet under this chapter for the benefit of the person to whom an obligation of support is owed.
  3. This in no way limits the cabinet’s authority to commence an action under the provisions of KRS Chapter 406 or 407.

History. Enact. Acts 1972, ch. 256, § 9; 1974, ch. 74, Art. VI, § 107(21).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Creditor’s Complaint against Husband for Wife’s Contract for Necessaries, Form 250.02.

Petrilli, Kentucky Family Law, Support of the Family, § 16.1.

205.230. Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 110, § 9; 1958, ch. 173) was repealed by Acts 1964, ch. 89, § 5.

205.231. Appeals — Hearing officers — Appeal board — Procedure.

  1. The secretary shall appoint one (1) or more impartial hearing officers to hear and decide upon appealed decisions.
  2. Any applicant or recipient who is dissatisfied with the decision or delay in action on his application for public assistance or the amount granted to him may appeal to a hearing officer, except that an appeal and a hearing need not be granted if the sole issue is a federal or state law requiring an automatic change adversely affecting some or all recipients of the Kentucky medical assistance program so long as advance notice of the change, with an explanation of appeal rights, is provided to all affected recipients. However, a recipient may appeal whether the cabinet is accurately interpreting a change in federal or state law which may adversely affect the recipient. On receipt of an appeal, an administrative hearing shall be conducted in accordance with KRS Chapter 13B.
  3. The secretary may appoint an Appeal Board for Public Assistance composed of the secretary and two (2) other members. The secretary shall be chairman, and he and one (1) other member constitute a quorum.
  4. Any applicant or recipient who is dissatisfied with the decision of a hearing officer may appeal to the appeal board in the manner and form prescribed by administrative regulation. The board may on its own motion affirm, modify, or set aside any decision of a hearing officer on the basis of the evidence previously submitted in the case, or direct the taking of additional evidence, or may permit any of the parties to the decision to initiate further appeals before it. The board may remove itself or transfer to another hearing officer the proceedings on any appeal pending before a hearing officer. The board shall promptly notify the parties to any proceedings of its findings and decisions.
  5. The manner in which appeals are presented and hearings and appeals conducted under subsection (4) of this section shall be in accordance with administrative regulations promulgated by the secretary.
  6. After a decision by the appeal board, any party aggrieved by the decision may seek judicial review of the decision by filing a petition in the Circuit Court of the county in which the petitioner resides, in accordance with KRS 13B.140 , 13B.150 , and 13B.160 .

History. Enact. Acts 1964, ch. 89, § 1; 1972, ch. 256, § 10; 1974, ch. 74, Art. VI, § 107(21); 1980, ch. 188, § 194, effective July 15, 1980; 1992, ch. 436, § 1, effective July 14, 1992; 1996, ch. 318, § 96, effective July 15, 1996.

NOTES TO DECISIONS

1.Evidence.

Where denial of claimant’s application for public assistance because of permanent and total disability was supported by the opinion of a highly qualified diagnostician that claimant was not permanently disabled, the Circuit Court was unauthorized to substitute its evaluation of the weight and credibility of the evidence for that of the appeal board and went beyond the scope of judicial review. Huecker v. Rains, 483 S.W.2d 114, 1972 Ky. LEXIS 167 ( Ky. 1972 ).

2.Failure to Follow Procedure.

Circuit court's order affirming the start date for the claimant's Medicaid benefits was reversed where the Cabinet for Health and Family Services conceded that it failed to acknowledge her appeal in writing, the claimant had no opportunity to file a brief or submit new and additional proof, and thus, a reversal was warranted under Ky. Rev. Stat. Ann. § 13B.150(2)(a). Marcum v. Cabinet for Health & Family Servs., 496 S.W.3d 480, 2016 Ky. App. LEXIS 123 (Ky. Ct. App. 2016).

Cited in:

Hogue v. Commissioner, 407 S.W.2d 437, 1966 Ky. LEXIS 168 ( Ky. 1966 ); Dawson v. Driver, 420 S.W.2d 553, 1967 Ky. LEXIS 109 ( Ky. 1967 ); Moffitt v. Austin, 600 F. Supp. 295, 1984 U.S. Dist. LEXIS 23490 (W.D. Ky. 1984 ).

205.234. Judicial review of appeal board decision on public assistance — Judgment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 89, § 2; 1974, ch. 74, Art. VI, § 107(21)) was repealed by Acts 1996, ch. 318, § 357, effective July 15, 1996.

205.237. Public assistance claimant may have counsel — Fees.

Any individual claiming public assistance in any proceeding before the appeal board or a court may be represented by counsel; but no counsel shall either charge or receive for such service more than an amount established by the secretary by administrative regulation.

History. Enact. Acts 1964, ch. 89, § 3; 1974, ch. 74, Art. VI, § 107(21).

205.240. Public assistance funds — Availability to secretary.

All money appropriated by this state, all money received from the United States or any agency thereof, and all money received from any other source for the public assistance functions administered by the cabinet are hereby appropriated and shall be available to the secretary for expenditure consistent with the provisions of this chapter and KRS Chapter 195.

History. Enact. Acts 1950, ch. 110, § 10; 1952, ch. 33, § 6; 1956, ch. 75, § 4; 1972, ch. 256, § 11; 1974, ch. 74, Art. VI, § 107(21), (29).

205.245. Supplementary payments.

Money payments made by the Cabinet for Health and Family Services to the needy aged, needy blind, and the needy permanently and totally disabled shall be:

  1. Mandatory state supplementation of the supplemental security income program as established by federal law and regulations and administered in the manner agreed to by the secretary of the United States Department of Health, Education, and Welfare and the secretary of the Cabinet for Health and Family Services, or their authorized representatives; and
  2. Supplemental payments to persons requiring special living arrangements as they become eligible for the supplemental security income program, to insure the same level of care as those persons covered under the provisions of subsection (1) of this section.

History. Enact. Acts 1974, ch. 343, § 22; 1998, ch. 426, § 191, effective July 15, 1998; 2005, ch. 99, § 224, effective June 20, 2005.

205.250. Continuation of assistance to present recipients. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1950, ch. 110, § 12(b)) was repealed by Acts 1972, ch. 256, § 20.

205.260. Claims against estates of deceased recipients of payment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 33, § 7) was repealed by Acts 1956, ch. 10, § 1.

205.270. Real property lien — Filing — Enforcement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 33, § 8) was repealed by Acts 1956, ch. 10, § 1.

205.280. Precipitation of claim and enforcement of lien during life of recipient. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 33, § 9) was repealed by Acts 1956, ch. 10, § 1.

205.290. Revolving fund — Disbursement — Balance not to lapse.

The amounts recovered for any reason from a recipient or the estate of a recipient of public assistance shall be deposited to a special account in the revolving, trust and agency fund account of the cabinet. This fund shall be administered and disbursed in the same manner and under the same conditions and requirements as is provided by law for other special funds in the State Treasury. The moneys received heretofore and hereafter deposited in the fund may in the discretion of the secretary and with the approval of the Governor be used for public assistance administrative cost, grant purposes, or both. Any balance in this fund shall not lapse at any time, but shall be continuously available to the cabinet for the purposes set out in this section. A general statement that all continuing appropriations are repealed shall not be construed as repealing this section.

History. Enact. Acts 1952, ch. 33, § 10; 1956, ch. 29, § 1; 1974, ch. 74, Art. VI, § 107(21).

205.300. Standards for public medical and private institutions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 33, § 11; 1958, ch. 158) was repealed by Acts 1960, ch. 87, § 12.

205.310. Liability of stepparent for support furnished child.

In addition to any other liability imposed by law, the stepparent of any child who is an applicant or recipient of public assistance shall be legally chargeable with the support of such child in the same manner as a biological parent.

History. Enact. Acts 1952, ch. 33, § 12.

NOTES TO DECISIONS

Cited in:

Simpson v. Simpson, 586 S.W.2d 33, 1979 Ky. LEXIS 281 ( Ky. 1979 ); Davis v. Johnson, 295 S.W.3d 841, 2009 Ky. App. LEXIS 30 (Ky. Ct. App. 2009).

Research References and Practice Aids

Treatises

Petrilli, Kentucky Family Law, Support of the Family, § 16.1.

205.320. Applications of KRS 205.160 to 205.250 to provisions of KRS 205.260 to 205.320. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 33, § 14) was repealed by Acts 1956, ch. 10, § 1.

205.325. Claims and liens against the estate of recipients of public assistance void, when. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1956, ch. 10, § 2) was repealed by Acts 1966, ch. 255, § 283.

205.330. Social service advisory committees — Membership — Appointment — Organization. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 34, § 1) was repealed by Acts 1972, ch. 256, § 20.

205.335. Functions of committees — Privacy of meetings — Regulations — Reimbursement for expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 34, § 2) was repealed by Acts 1972, ch. 256, § 20.

205.340. Interim service by social service committee. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 34, § 3) was repealed by Acts 1972, ch. 256, § 20.

205.350. Office for coordination of community resources for employment and training. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1970, ch. 248, § 2) was repealed by Acts 1972, ch. 256, § 20.

Energy Assistance Program

205.400. Energy Cost Assistance Program established — Eligibility requirements — Allocation of funds — Payments.

  1. There is established within the Cabinet for Health and Family Services an Energy Cost Assistance Program for making money payments to or on behalf of citizens of the Commonwealth for the purpose of purchasing or supplementing the cost of energy for household use.
  2. Citizens of the Commonwealth who incur expenses for providing energy by purchase from suppliers, by their own labors, or through the payment of rent, whether or not included in a charge for other goods and services, which includes the cost of energy supplied to premises occupied as their principal residence, shall be eligible to receive the benefit of the payments to themselves or to providers of energy to such household if:
    1. The citizen is sixty-two (62) years of age or older and has or is a member of a family having a gross income equal to or less than one hundred twenty-five percent (125%) of the poverty level of income for an individual or family of that size designated by the Community Services Administration of the United States government; or
    2. The citizen is blind or permanently and totally disabled and receiving supplemental security income benefits under the Social Security Act or is blind or permanently and totally disabled and is currently eligible for Medicaid benefits under the Medical Assistance Program.
  3. The cabinet shall establish by regulation a schedule of payments and benefit levels under this program to be based on income, resources, and family size. In no event shall payments be made to or on behalf of any person or family whose gross income from all sources exceeds one hundred twenty-five percent (125%) of the poverty level of income as provided for such individuals or family by the Community Services Administration of the United States government.
  4. Payments made under this section shall be for a period of four (4) months during each twelve (12) month period for which funds are available. At its discretion and to insure the proper application of the funds appropriated for this purpose, the cabinet may elect to make payments to vendors or suppliers or jointly to vendors and eligible recipients.

History. Enact. Acts 1978, ch. 185, § 1, effective June 17, 1978; 1998, ch. 426, § 192, effective July 15, 1998; 2005, ch. 99, § 225, effective June 20, 2005.

Compiler’s Notes.

The Social Security Act, referred to in subsection (2)(b), is compiled as 42 USCS § 301 et seq.

Suitable Home Law

205.410. Declaration of purpose — Short title. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 36, § 1; 1972, ch. 256, § 12) was repealed by Acts 1976, ch. 129, § 1.

205.420. Suitability of home — Evaluation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 36, § 2) was repealed by Acts 1976, ch. 129, § 1.

205.430. Home condition improvement — Action of department or department of child welfare. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 36, § 3; 1968, ch. 131, § 1; 1972, ch. 256, § 13; 1974, ch. 74, Art. VI, § 47) was repealed by Acts 1976, ch. 129, § 1.

205.440. Unsuitable home evidence — Hearing — Order. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 36, § 4; 1968, ch, 131, § 2) was repealed by Acts 1976, ch. 129, § 1.

205.450. Continuation of assistance. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1962, ch. 36, § 5; 1972, ch. 256, § 14) was repealed by Acts 1976, ch. 129, § 1.

Services for Elderly Persons

205.455. Definitions for KRS 205.460.

As used in KRS 205.460 :

  1. “Chore services” means the performance of heavy housecleaning, minor household repairs, yard tasks, and other activities needed to assist in the maintenance of a functionally impaired elderly person in his own home.
  2. “Core services” means those services, including but not limited to client assessment and case management services, designed to identify a functionally impaired elderly person’s needs, develop a plan of care, arrange for services, monitor the provision of services, and reassess the person’s needs on a regular basis.
  3. “Cabinet” means the Cabinet for Health and Family Services.
  4. “District” means an area development district designated pursuant to KRS 147A.050 .
  5. “Escort services” means the accompaniment of a person who requires such assistance for reasons of safety or protection to or from his physician, dentist, or other necessary services.
  6. “Essential services” means those services which are most needed to prevent unnecessary institutionalization of functionally impaired elderly persons. Essential services shall include chore services, home-delivered meals, home-health aide services, homemaker services, respite services, escort services, and home repair services.
  7. “Functionally impaired elderly person” means any person, sixty (60) years of age or older, with physical or mental limitations which restrict individual ability to perform the normal activities of daily living and which impede individual capacity to live independently, thus rendering such person at risk of entering an institution. Functional impairment shall be determined through a functional assessment developed by the cabinet and delivered to each applicant for essential services.
  8. “Home-delivered meals” means the provision of a nutritionally sound meal, that meets at least one-third (1/3) of the current daily recommended dietary allowance, to a functionally impaired elderly person who is homebound by reason of illness, incapacity, or disability.
  9. “Home-health aide services” means the performance of simple procedures, including but not limited to personal care, ambulation, exercises, household services essential to health care at home, assistance with medications that are ordinarily self-administered, reporting changes in the patient’s condition and needs, and completing appropriate records.
  10. “Homemaker services” means general household activities, including but not limited to nonmedical personal care, shopping, meal preparation, and routine household care, provided by a trained homemaker when the person regularly responsible for these activities is temporarily absent or unable to manage the home and care for himself or others in the home.
  11. “Home repair services” means the provision of minor home adaptations, additions, or modifications to enable the elderly to live independently or safely or to facilitate mobility including, where appropriate, emergency summons systems.
  12. “Respite services” means care provided by an approved caregiver or agency for a designated time period because of absence or need for relief of a primary caregiver.

HISTORY: Enact. Acts 1982, ch. 169, § 1, effective July 15, 1982; 1988, ch. 280, § 1, effective July 15, 1988; 1998, ch. 426, § 193, effective July 15, 1998; 2000, ch. 6, § 24, effective July 14, 2000; 2005, ch. 99, § 226, effective June 20, 2005; 2017 ch. 80, § 32, effective June 29, 2017.

205.460. Essential services — Funding — Collection of fees and contributions.

  1. The cabinet shall fund, directly or through a contracting entity or entities, in each district, a program of essential services which shall have as its primary purpose the prevention of unnecessary institutionalization of functionally impaired elderly persons. The cabinet may use funds appropriated under this section to contract with public and private agencies, long-term care facilities, local governments, and other providers to provide core and essential services. The cabinet may provide core and essential services when such services cannot otherwise be purchased.
  2. In providing essential services, all existing community resources available to functionally impaired elderly persons shall be utilized. Additional services may be provided, but shall not be funded from funds appropriated under this section. Volunteers may be used where practicable to provide essential services to functionally impaired elderly persons. The cabinet or contracting entity shall provide or arrange for the provision of training and supervision of volunteers to ensure the delivery of quality services. The cabinet or contracting entity shall provide or arrange for appropriate insurance coverage to protect volunteers from personal liability while acting within the scope of their volunteer duties. In providing essential services under this section, the cabinet shall provide services to meet the needs of the minority elderly as identified by the cabinet pursuant to KRS 205.201 .
  3. Entities contracting with the cabinet to provide essential services under KRS 205.455 and this section shall provide a minimum of fifteen percent (15%) of the funding necessary for the support of program operations. No local match is required for assessment and case management. Local contributions, whether materials, commodities, transportation, office space, personal services, or other types of facilities services, or funds may be evaluated and counted toward the fifteen percent (15%) local funding requirements.
  4. When possible, funding for core services may be obtained under:
    1. The Comprehensive Annual Social Services Program plan under Title XX of the Social Security Act;
    2. The Medical Assistance Plan under Titles XVIII and XIX of the Social Security Act;
    3. The State Plan on Aging under the Older Americans Act; or
    4. Veteran’s benefit programs under the provisions of 38 U.S.C. secs. 1 et seq., as amended.

      The cabinet may seek federal waivers if necessary to enable the use of funds provided through Titles XVIII and XIX of the Social Security Act for the provision of essential services.

  5. Providers contracting with the cabinet to provide essential services shall be responsible for the collection of fees and contributions for services in accordance with administrative regulations promulgated by the cabinet. Providers are authorized to assess and collect fees for services rendered in accordance with those administrative regulations. To help pay for essential services received, a functionally impaired elderly person shall pay an amount of money based on an overall ability to pay in accordance with a schedule of fees established by the cabinet. Fees shall reflect the degree to which the cabinet or contracting entity uses volunteers in the provision of services. Where essential services are provided by volunteers, fees shall only be assessed in an amount that will cover the cost of materials and other goods used in the provision of services. The cost of materials and other goods used by volunteers shall be reasonably similar to the cost of goods when paid personnel are used. Fees shall not be required of any person who is “needy aged” as defined in KRS 205.010 ; however, voluntary contributions may be encouraged. This subsection shall not apply to programs utilizing federal funds when administrative regulations require contributions to revert to the original funding source.

History. Enact. Acts 1982, ch. 169, § 2, effective July 15, 1982; 1988, ch. 280, § 2, effective July 15, 1988; 1992, ch. 246, § 5, effective July 14, 1992.

Compiler's Notes.

Title XX of the Social Security Act, referred to in subsection (4)(a), is compiled as 42 USCS § 1397 et seq. Title XVIII of the Social Security Act, referred to in subsection (4), is compiled as 42 USCS § 1395 et seq. Title XIX of the Social Security Act, referred to in subsection (4), is compiled as 42 USCS § 1396 et seq. The Older Americans Act, referred to in subsection (4)(c), is compiled as 42 USCS § 3001 et seq.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, G, 9, (1) at 886.

205.465. Report by cabinet. [Repealed]

History. Enact. Acts 1982, ch. 169, § 3, effective July 15, 1982; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 169, § 3, effective July 15, 1982), was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

205.470. Centralized resource and referral center for aging caregivers of individuals with an intellectual disability or other developmental disability.

  1. As used in this section, “aging caregiver” means an individual age sixty (60) or older who provides care for an individual with an intellectual disability or other developmental disability.
  2. If state, federal, or other funds are available, the Kentucky Department for Behavioral Health, Developmental and Intellectual Disabilities shall, in cooperation with the Department for Aging and Independent Living and the Department for Medicaid Services, establish a centralized resource and referral center designed as a one-stop, seamless system to provide aging caregivers with information and assistance with choices and planning for long-term supports for individuals with an intellectual disability or developmental disability.
  3. The center created in subsection (2) of this section shall provide but not be limited to the following services:
    1. Comprehensive information on available programs and services, including but not limited to:
      1. Residential services;
      2. Employment training;
      3. Supported employment;
      4. Behavioral support;
      5. Respite services;
      6. Adult day health or adult day social services;
      7. Support coordination;
      8. Home or environmental modifications;
      9. Community living services, including an attendant, and assistance with homemaking, shopping, and personal care;
      10. Support groups in the community;
      11. Psychiatric services;
      12. Consumer-directed options;
      13. Attorneys or legal services to assist with will preparation; and
      14. The impact of inheritance on government benefits and options, including establishing a special needs trust;
    2. Printed material and Internet-based information related to:
      1. Options for future planning;
      2. Financial and estate planning;
      3. Wills and trusts; and
      4. Advance directives and funeral and burial arrangements; and
    3. Referral to community resources.
  4. The center created in subsection (2) of this section shall operate a toll-free number at least during regular business hours and shall publish information required in paragraph (a) of subsection (3) of this section and a description of services provided by the center on a cabinet Web site.
  5. The center created in subsection (2) of this section shall make the information listed in subsection (3) of this section available to the support broker and any representative of an individual who is participating in a Medicaid consumer-directed option.
  6. The center shall use electronic information technology to track services provided and to follow-up with individuals served and provide additional information or referrals as needed.
  7. The department may contract with a private entity to provide the services required under subsections (2) and (3) of this section.
  8. The cabinet may provide services identified in subsection (3) of this section to individuals of any age who are caregivers of individuals with an intellectual disability or developmental disability.
  9. Prior to January 1, 2008, the department shall submit a report to the Interim Joint Committee on Health and Welfare that includes but is not limited to the following information:
    1. The number of individuals who contacted the center;
    2. A description of the categories of questions asked by individuals calling the center; and
    3. A summary of the services provided, including the community resources to which individuals were referred.

History. Enact. Acts 2006, ch. 195, § 6, effective July 12, 2006; 2007, ch. 24, § 15, effective June 26, 2007; 2010, ch. 141, § 11, effective July 15, 2010; 2012, ch. 146, § 62, effective July 12, 2012; 2012, ch. 158, § 26, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, Acts ch. 146, which was last enacted by the General Assembly, prevails under KRS 446.250 .

(7/12/2006). In subsection (1) of this statute, the Reviser of Statutes has substituted the word “or” for the word “and” in the phrase “age sixty (60) and older” to correct a manifest clerical error. See KRS 7.136(1).

Medical Assistance (State Medicaid Program)

205.510. Definitions for medical assistance law.

As used in this chapter as it pertains to medical assistance unless the context clearly requires a different meaning:

  1. “Chiropractor” means a person authorized to practice chiropractic under KRS Chapter 312;
  2. “Council” means the Advisory Council for Medical Assistance;
  3. “Dentist” means a person authorized to practice dentistry under laws of the Commonwealth;
  4. “Health professional” means a physician, physician assistant, nurse, doctor of chiropractic, mental health professional, optometrist, dentist, or allied health professional who is licensed in Kentucky;
  5. “Medical care” as used in this chapter means essential medical, surgical, chiropractic, dental, optometric, podiatric, telehealth, and nursing services, in the home, office, clinic, or other suitable places, which are provided or prescribed by physicians, optometrists, podiatrists, or dentists licensed to render such services, including drugs and medical supplies, appliances, laboratory, diagnostic and therapeutic services, nursing-home and convalescent care, hospital care as defined in KRS 205.560(1)(a), and such other essential medical services and supplies as may be prescribed by such persons; but not including abortions, or induced miscarriages or premature births, unless in the opinion of a physician such procedures are necessary for the preservation of the life of the woman seeking such treatment or except in induced premature birth intended to produce a live viable child and such procedure is necessary for the health of the mother or her unborn child. However, this section does not authorize optometrists to perform any services other than those authorized by KRS Chapter 320;
  6. “Nurse” means a person authorized to practice professional nursing under the laws of the Commonwealth;
  7. “Nursing home” means a facility which provides routine medical care in which physicians regularly visit patients, which provide nursing services and procedures employed in caring for the sick which require training, judgment, technical knowledge, and skills beyond that which the untrained person possesses, and which maintains complete records on patient care, and which is licensed pursuant to the provisions of KRS 216B.015 ;
  8. “Optometrist” means a person authorized to practice optometry under the laws of the Commonwealth;
  9. “Other persons eligible for medical assistance” may include the categorically needy excluded from money payment status by state requirements and classifications of medically needy individuals as permitted by federal laws and regulations and as prescribed by administrative regulation of the secretary for health and family services or his designee;
  10. “Pharmacist” means a person authorized to practice pharmacy under the laws of the Commonwealth;
  11. “Physician” means a person authorized to practice medicine or osteopathy under the laws of the Commonwealth;
  12. “Podiatrist” means a person authorized to practice podiatry under the laws of the Commonwealth;
  13. “Primary-care center” means a facility which provides comprehensive medical care with emphasis on the prevention of disease and the maintenance of the patients’ health as opposed to the treatment of disease;
  14. “Public assistance recipient” means a person who has been certified by the Department for Community Based Services of the Cabinet for Health and Family Services as being eligible for, and a recipient of, public assistance under the provisions of this chapter;
  15. “Telehealth”:
    1. Means the delivery of health care-related services by a Medicaid provider who is a health care provider licensed in Kentucky to a Medicaid recipient through a face-to-face encounter with access to real-time interactive audio and video technology or store and forward services that are provided via asynchronous technologies as the standard practice of care where images are sent to a specialist for evaluation. The requirement for a face-to-face encounter shall be satisfied with the use of asynchronous telecommunications technologies in which the health care provider has access to the Medicaid recipient’s medical history prior to the telehealth encounter;
    2. Shall not include the delivery of services through electronic mail, text chat, facsimile, or standard audio-only telephone call; and
    3. Shall be delivered over a secure communications connection that complies with the federal Health Insurance Portability and Accountability Act of 1996, 42 U.S.C. secs. 1320 d to 1320d-9;
  16. “Telehealth consultation” means a medical or health consultation, for purposes of patient diagnosis or treatment, that meets the definition of telehealth in this section;
  17. “Third party” means an individual, institution, corporation, company, insurance company, personal representative, administrator, executor, trustee, or public or private agency, including, but not limited to, a reparation obligor and the assigned claims bureau under the Motor Vehicle Reparations Act, Subtitle 39 of KRS Chapter 304, who is or may be liable to pay all or part of the medical cost of injury, disease, or disability of an applicant or recipient of medical assistance provided under Title XIX of the Social Security Act, 42 U.S.C. sec. 1396 et seq.; and
  18. “Vendor payment” means a payment for medical care which is paid by the Cabinet for Health and Family Services directly to the authorized person or institution which rendered medical care to an eligible recipient.

History. Enact. Acts 1960, ch. 68, Art. VII, § 3; 1960 (Ex. Sess.), ch. 2, § 1; 1963 (2nd Ex. Sess.), ch. 2, § 1; 1970, ch. 78, § 1; 1972, ch. 256, § 15; 1974, ch. 74, Art. VI, § 107(1), (15), (16), (19); 1974, ch. 225, § 1; 1974, ch. 308, § 38; 1976, ch. 119, § 1; 1978, ch. 140, § 2, effective June 17, 1978; 1980, ch. 135, § 28, effective July 15, 1980; 1980, ch. 252, § 1, effective July 15, 1980; 1998, ch. 426, § 194, effective July 15, 1998; 2000, ch. 14, § 32, effective July 14, 2000; 2000, ch. 376, § 3, effective July 15, 2001; 2005, ch. 99, § 227, effective June 20, 2005; 2018 ch. 187, § 2, effective July 1, 2019.

Legislative Research Commission Notes.

(7/15/2001). Under 2000 Ky. Acts ch. 376, sec. 24(1), this version of the statute takes effect “on July 15, 2001, or upon approval of any federal waivers, whichever first occurs.” Because federal waivers were not approved, the effective date is July 15, 2001.

NOTES TO DECISIONS

Cited in:

State Auto. Mut. Ins. Co. v. Outlaw, 575 S.W.2d 489, 1978 Ky. App. LEXIS 650 (Ky. Ct. App. 1978).

Opinions of Attorney General.

The decision of the department for health services (now cabinet for health and family services) to continue to make payments for nontherapeutic abortions is within the spirit of the Medical Assistance Act. OAG 77-373 .

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

205.510. Definitions for medical assistance law.

As used in this chapter as it pertains to medical assistance unless the context clearly requires a different meaning:

  1. “Behavioral health professional” means a person authorized to provide mental health or substance use disorder services under the laws of the Commonwealth;
  2. “Chiropractor” means a person authorized to practice chiropractic under the laws of the Commonwealth;
  3. “Council” means the Advisory Council for Medical Assistance;
  4. “Dentist” means a person authorized to practice dentistry under laws of the Commonwealth;
  5. “Health professional” means a physician, physician assistant, nurse, doctor of chiropractic, behavioral health professional, optometrist, dentist, or allied health professional who is licensed in Kentucky;
  6. “Medical care” as used in this chapter means essential medical, surgical, chiropractic, dental, optometric, podiatric, telehealth, and nursing services, in the home, office, clinic, or other suitable places, which are provided or prescribed by physicians, optometrists, podiatrists, or dentists licensed to render such services, including drugs and medical supplies, appliances, laboratory, diagnostic and therapeutic services, nursing-home and convalescent care, hospital care as defined in KRS 205.560(1)(a), and such other essential medical services and supplies as may be prescribed by such persons; but not including abortions, or induced miscarriages or premature births, unless in the opinion of a physician such procedures are necessary for the preservation of the life of the woman seeking such treatment or except in induced premature birth intended to produce a live viable child and such procedure is necessary for the health of the mother or her unborn child. However, this section does not authorize optometrists to perform any services other than those authorized by KRS Chapter 320;
  7. “Nurse” means a person authorized to practice professional nursing under the laws of the Commonwealth;
  8. “Nursing home” means a facility which provides routine medical care in which physicians regularly visit patients, which provide nursing services and procedures employed in caring for the sick which require training, judgment, technical knowledge, and skills beyond that which the untrained person possesses, and which maintains complete records on patient care, and which is licensed pursuant to the provisions of KRS 216B.015 ;
  9. “Optometrist” means a person authorized to practice optometry under the laws of the Commonwealth;
  10. “Other persons eligible for medical assistance” may include the categorically needy excluded from monetary payment status by state requirements and classifications of medically needy individuals as permitted by federal laws and regulations and as prescribed by administrative regulation of the secretary for health and family services or his designee;
  11. “Pharmacist” means a person authorized to practice pharmacy under the laws of the Commonwealth;
  12. “Physician” means a person authorized to practice medicine or osteopathy under the laws of the Commonwealth;
  13. “Podiatrist” means a person authorized to practice podiatry under the laws of the Commonwealth;
  14. “Primary-care center” means a facility which provides comprehensive medical care with emphasis on the prevention of disease and the maintenance of the patients’ health as opposed to the treatment of disease;
  15. “Public assistance recipient” means a person who has been certified by the Department for Community Based Services of the Cabinet for Health and Family Services as being eligible for, and a recipient of, public assistance under the provisions of this chapter;
  16. “Telehealth” means the same as in Section 1 of this Act;
  17. “Telehealth consultation” means a medical or health consultation, for purposes of patient diagnosis or treatment, that meets the definition of telehealth in this section;
  18. “Third party” means an individual, institution, corporation, company, insurance company, personal representative, administrator, executor, trustee, or public or private agency, including, but not limited to, a reparation obligor and the assigned claims bureau under the Motor Vehicle Reparations Act, Subtitle 39 of KRS Chapter 304, who is or may be liable to pay all or part of the medical cost of injury, disease, or disability of an applicant or recipient of medical assistance provided under Title XIX of the Social Security Act, 42 U.S.C. sec. 1396 et seq.; and
  19. “Vendor payment” means a payment for medical care which is paid by the Cabinet for Health and Family Services directly to the authorized person or institution which rendered medical care to an eligible recipient.

HISTORY: Enact. Acts 1960, ch. 68, Art. VII, § 3; 1960 (Ex. Sess.), ch. 2, § 1; 1963 (2nd Ex. Sess.), ch. 2, § 1; 1970, ch. 78, § 1; 1972, ch. 256, § 15; 1974, ch. 74, Art. VI, § 107(1), (15), (16), (19); 1974, ch. 225, § 1; 1974, ch. 308, § 38; 1976, ch. 119, § 1; 1978, ch. 140, § 2, effective June 17, 1978; 1980, ch. 135, § 28, effective July 15, 1980; 1980, ch. 252, § 1, effective July 15, 1980; 1998, ch. 426, § 194, effective July 15, 1998; 2000, ch. 14, § 32, effective July 14, 2000; 2000, ch. 376, § 3, effective July 15, 2001; 2005, ch. 99, § 227, effective June 20, 2005; 2018 ch. 187, § 2, effective July 1, 2019; 2021 ch. 67, § 6.

205.512. Authority to organize regional hospital corporations — Controlling provisions — Approval. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1963 (2nd Ex. Sess.), ch. 2, § 2) was repealed by Acts 1972, ch. 256, § 20.

205.514. Standards for approval of articles of incorporation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1963 (2nd Ex. Sess.), ch. 2, § 3) was repealed by Acts 1972, ch. 256, § 20.

205.516. Hospital care benefits regulation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1963 (2nd Ex. Sess.), ch. 2, § 4) was repealed by Acts 1972, ch. 256, § 20.

205.518. Hospital care fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1963 (2nd Ex. Sess.), ch. 2, § 6) was repealed by Acts 1972, ch. 256, § 20.

205.520. Title and purpose of KRS 205.510 to 205.630 — Recovery from third parties for services rendered.

  1. KRS 205.510 to 205.630 shall be known as the “Medical Assistance Act.”
  2. The General Assembly of the Commonwealth of Kentucky recognizes and declares that it is an essential function, duty, and responsibility of the state government to provide medical care to its indigent citizenry; and it is the purpose of KRS 205.510 to 205.630 to provide such care.
  3. Further, it is the policy of the Commonwealth to take advantage of all federal funds that may be available for medical assistance. To qualify for federal funds the secretary for health and family services may by regulation comply with any requirement that may be imposed or opportunity that may be presented by federal law. Nothing in KRS 205.510 to 205.630 is intended to limit the secretary’s power in this respect.
  4. It is the intention of the General Assembly to comply with the provisions of Title XIX of the Social Security Act which require that the Kentucky Medical Assistance Program recover from third parties which have a legal liability to pay for care and services paid by the Kentucky Medical Assistance Program.
  5. The Kentucky Medical Assistance Program shall be the payor of last resort and its right to recover under KRS 205.622 to 205.630 shall be superior to any right of reimbursement, subrogation, or indemnity of any liable third party.

History. Enact. Acts 1960, ch. 68, Art. VII, §§ 1, 2; 1966, ch. 134, § 6; 1974, ch. 74, Art. VI, § 107 (1), (15), (16), (19); 1979 (Ex. Sess.), ch. 2, § 8, effective February 10, 1979; 1980, ch. 188, § 124, effective July 15, 1980; 1980, ch. 252, § 2, effective July 15, 1980; 1982, ch. 248, § 1, effective July 15, 1982; 1998, ch. 426, § 195, effective July 15, 1998; 2005, ch. 99, § 228, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the Social Security Act, referred to in subsection (4), is compiled as 42 USCS § 1396 et seq.

NOTES TO DECISIONS

1.Medicaid Program Payments.

Procedural rights, including required hearing after suspension of Medicaid program payments pending investigation of possible fraudulent or abusive billing practices, claimed by doctor under 42 C.F.R. § 455.23 and the Kentucky Medicaid regulations did not create a liberty or property interest protected by the Due Process Clause of the U.S. Constitution. Levin v. Childers, 101 F.3d 44, 1996 FED App. 0366P, 1996 U.S. App. LEXIS 29986 (6th Cir. Ky. 1996 ).

205.522. Duty of Department for Medicaid Services and Medicaid managed care organizations to comply with specified sections of Subtitle 17A of KRS Chapter 304.

The Department for Medicaid Services and any managed care organization contracted to provide Medicaid benefits pursuant to this chapter shall comply with the provisions of KRS 304.17A-167 , 304.17A-235 , 304.17A-257 , 304.17A-259 , 304.17A-515 , 304.17A-580 , 304.17A-600 , 304.17A-603 , 304.17A-607 , and 304.17A-740 to 304.17A-743 , as applicable.

HISTORY: Enact. Acts 2012, ch. 20, § 3, effective July 12, 2012; 2016 ch. 143, § 2, effective January 1, 2017; 2018 ch. 106, § 6, effective January 1, 2019; 2019 ch. 190, § 2, effective January 1, 2020; 2021 ch. 10, § 1, effective March 5, 2021.

205.525. Application by cabinet for waiver, waiver amendment, or request for plan amendment — Cabinet to provide updates upon request.

  1. Concurrent with submitting an application for a waiver or waiver amendment or a request for a plan amendment to any federal agency that approves waivers, waiver amendments, and plan amendments, the Cabinet for Health and Family Services shall provide to the Interim Joint Committee on Health and Welfare and to the Interim Joint Committee on Appropriations and Revenue a copy, summary, and statement of benefits of the application for a waiver or waiver amendment or request for a plan amendment.
  2. The cabinet shall provide an update on the status of the application for a waiver or waiver amendment or request for a plan amendment upon request.

HISTORY: Enact. Acts 2003, ch. 183, § 1, effective June 24, 2003; 2005, ch. 99, § 229, effective June 20, 2005; 2017 ch. 80, § 33, effective June 29, 2017.

205.527. Managing of IMPACT Plus program by Medicaid managed care organization — Continuation of services for eligible children — Billing — Gaps in service and lack of access.

  1. As used in this section, “IMPACT Plus” program means the program of community-based behavioral health services provided to an eligible IMPACT Plus recipient through an agreement between the Department for Medicaid Services and the Department for Public Health as the state agency for the federal Title V Maternal and Child Health Block Grant, 42 U.S.C. secs. 701 to 710 or as authorized under subsection (3) of this section.
  2. Any Medicaid managed care organization that contracts with the Department for Medicaid Services shall, to the extent possible under the Title V agreement, manage aspects of the IMPACT Plus program for its members, including but not limited to the determination of a child’s eligibility for IMPACT Plus services, processing and direct payment of claims, and audits. No state agency shall duplicate any function performed by the Medicaid managed care organizations for the IMPACT Plus program. Appeals of payments shall be submitted for review to the Department for Behavioral Health, Developmental and Intellectual Disabilities.
  3. Children eligible for the IMPACT Plus program may continue to receive services, if the family and provider agree, from:
    1. An individual IMPACT Plus therapist if the child is relocated outside of the provider’s service area; and
    2. The same provider if a child is eligible for those services, but no longer eligible for IMPACT Plus services, and the provider meets the participation standards to provide services under the acquired brain injury, the Michelle P. waiver, the supports for community living, or the home and community based waiver programs.
  4. IMPACT Plus providers shall bill for all IMPACT Plus services, including case management, under their IMPACT Plus provider identification. IMPACT Plus providers shall not be required to obtain a Medical Assistance Identification Number (MAID). Nothing in this section shall preclude an IMPACT Plus provider from applying for a MAID number, providing they meet all necessary criteria.
  5. Medicaid managed care organizations may report documented gaps in IMPACT Plus services or lack of access to IMPACT Plus services to the Department for Behavioral Health, Developmental and Intellectual Disabilities. The Department for Behavioral Health, Developmental and Intellectual Disabilities shall verify or not verify the reported gaps.
  6. If the Department for Behavioral Health, Developmental and Intellectual Disabilities verifies gaps in IMPACT Plus services or lack of access to IMPACT Plus services, IMPACT Plus providers may be utilized for additional IMPACT Plus services and additional IMPACT Plus providers may be utilized.

History. Enact. Acts 2013, ch. 118, § 9, effective June 25, 2013.

205.528. Hospital-to-Home Transition Program.

  1. The Department for Medicaid Services shall submit a waiver or waiver amendment for approval to the Centers for Medicare and Medicaid Services in order to establish the Hospital-to-Home Transition Program to provide coverage for services provided by an approved Medicaid waiver provider to elderly and physically disabled persons over the age of eighteen (18) years. The program shall provide coverage for up to sixty (60) days for services not otherwise provided as part of the Medicaid essential benefits coverage in order to assist waiver applicants while transitioning from an institutional setting to their home or to a community setting.
  2. The Hospital-to-Home Transition Program shall provide nonmedical support services to applicants, including but not limited to:
    1. Adult day-care services;
    2. Attendant services;
    3. Home-delivered meal services; and
    4. Transportation services.
  3. The daily cost of services covered by the Hospital-to-Home Transition Program shall be less than the average daily Medicaid payment for a stay at a nursing facility.
  4. An applicant shall be eligible for the Hospital-to-Home Transition Program if the applicant:
    1. Is determined to be functionally eligible for services in his or her home or community setting; and
    2. Has a pending application for Medicaid waiver services, provided that he or she complies with all other medical assistance application requirements.
  5. The cabinet shall develop a screening tool to determine whether an applicant meets the eligibility criteria under subsection (4) of this section for the Hospital-to-Home Transition Program. The screening tool shall include but not be limited to the following:
    1. Procedures for determining whether an applicant is functionally able to live at home or in a community setting;
    2. Procedures for determining financial eligibility;
    3. Procedures to address patient treatment preferences; and
    4. Procedures to address patient goals of care and family caregiver concerns.
  6. An applicant for the program shall:
    1. Sign a written agreement attesting to the accuracy of the financial and other information that the applicant provides; and
    2. Complete a Medicaid application on the date the applicant is screened for functional eligibility or not later than ten (10) days from the screening.
  7. The cabinet shall make the Medicaid level of care final determination of eligibility for Medicaid and Medicaid waiver services by sixty (60) days following an eligible applicant’s discharge from an institutional setting to a home or community setting.
  8. The cabinet shall request funding to support the waiver program. Not later than July 1, 2016, subject to appropriations provided by the General Assembly and approval of the waiver or waiver amendment from the Centers for Medicare and Medicaid Services, the cabinet shall initiate the Hospital-to-Home Transition Program as described in this section.
  9. The Department for Medicaid Services shall promulgate administrative regulations to implement this section.

HISTORY: 2015 ch. 98, § 1, effective June 24, 2015.

205.529. Synchronization of multiple prescriptions for treatment of a chronic illness.

  1. The Department for Medicaid Services or a managed care organization contracted to provide services pursuant to this chapter shall provide a program for synchronization of medications when it is agreed among the member, a provider, and a pharmacist that synchronization of multiple prescriptions for the treatment of a chronic illness is in the best interest of the patient for the management or treatment of a chronic illness provided that the medications:
    1. Are covered by the Department for Medicaid Services or a managed care organization contracted to provide services pursuant to this chapter;
    2. Are used for treatment and management of chronic conditions that are subject to refills;
    3. Are not a Schedule II controlled substance or a Schedule III controlled substance containing hydrocodone;
    4. Meet all prior authorization criteria specific to the medications at the time of the synchronization request;
    5. Are of a formulation that can be effectively split over required short fill periods to achieve synchronization; and
    6. Do not have quantity limits or dose optimization criteria or requirements that would be violated in fulfilling synchronization.
  2. When applicable to permit synchronization, the Department for Medicaid Services or a managed care organization contracted to provide services pursuant to this chapter shall apply a prorated daily cost-sharing rate to any medication dispensed by a network pharmacy pursuant to this section.
  3. Any dispensing fee shall not be prorated and shall be based on an individual prescription filled or refilled.

HISTORY: 2015 ch. 39, § 2, effective January 1, 2016.

205.530. Administration of medical assistance — Provisions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VII, § 4) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

205.531. Administrative hearings.

All administrative hearings conducted under KRS 205.510 to 205.645 shall be conducted in accordance with KRS Chapter 13B.

History. Enact. Acts 1996, ch. 318, § 97, effective July 15, 1996.

Research References and Practice Aids

Kentucky Bench & Bar.

Dolan, Medicaid Administrative Hearings: Understanding Medicaid, Community Services and the Hearing Process, Vol. 68, No. 2, Mar. 2004, Ky. Bench & Bar 27.

205.532. Definitions for KRS 205.532 to 205.536 — Contracts for Medicaid services by managed care organizations — Credentialing verification organization — Enrollment and contract after receipt of credentialing packet — Failure to agree on terms and conditions — Application date — Credentialing verification by university hospitals — Electronic verification of licensure information.

  1. As used in KRS 205.532 to 205.536 :
    1. “Clean application” means:
      1. For credentialing purposes, a credentialing application submitted by a provider to a credentialing verification organization that:
        1. Is complete and correct;
        2. Does not lack any required substantiating documentation; and
        3. Is consistent with the requirements for the National Committee for Quality Assurance requirements; or
      2. For enrollment purposes, an enrollment application submitted by a provider to the department that:
        1. Is complete and correct;
        2. Does not lack any required substantiating documentation;
        3. Complies with all provider screening requirements pursuant to 42 C.F.R. pt. 455; and
        4. Is on behalf of a provider who does not have accounts receivable with the department;
    2. “Credentialing application date” means the date that a credentialing verification organization receives a clean application from a provider;
    3. “Credentialing verification organization” means an organization that gathers data and verifies the credentials of providers in a manner consistent with federal and state laws and the requirements of the National Committee for Quality Assurance. “Credentialing verification organization” is limited to the following:
      1. An organization designated by the department pursuant to subsection (3)(a) of this section; and
      2. Any bona fide, nonprofit, statewide, health care provider trade association, organized under the laws of Kentucky, that has an existing contract with the department or a managed care organization, as of July 1, 2018, to perform credentialing verification activities;
    4. “Department” means the Department for Medicaid Services;
    5. “Medicaid managed care organization” or “managed care organization” means an entity for which the department has contracted to serve as a managed care organization as defined in 42 C.F.R. sec. 438.2;
    6. “Provider” has the same meaning as in KRS 304.17A-700 ; and
    7. “Request for proposals” has the same meaning as in KRS 45A.070 .
  2. On and after January 1, 2019, every contract entered into or renewed for the delivery of Medicaid services by a managed care organization shall be in compliance with KRS 205.522 , 205.532 to 205.536 , and 304.17A-515 .
    1. Through a request for proposals, the department shall designate a single organization as a credentialing verification organization to verify the credentials of providers on behalf of all managed care organizations. (3) (a) Through a request for proposals, the department shall designate a single organization as a credentialing verification organization to verify the credentials of providers on behalf of all managed care organizations.
    2. Following the department’s designation pursuant to this subsection, the contract between the department and the designated credentialing verification organization shall be submitted to the Government Contract Review Committee of the Legislative Research Commission for comment and review.
    3. A credentialing verification organization, designated by the department, shall be reimbursed on a per provider credentialing basis by the department. The reimbursements shall be offset or deducted equally from each Medicaid managed care organizations capitation payments.
    4. The department shall enroll and screen providers in accordance with 42 C.F.R. pt. 455 and applicable state and federal law.
    5. Each provider seeking to be enrolled and screened with the department shall make application via electronic means as determined by the department.
    6. Pursuant to federal law, all providers seeking to participate in the Medicaid program with a managed care organization shall be enrolled as a provider with the department.
    7. Each provider seeking to be credentialed with a Medicaid managed care organization shall submit a single credentialing application to the designated credentialing verification organization, or to an organization meeting the requirements of subsection (1)(c)2. of this section, if applicable. The credentialing verification organization shall:
      1. Gather all necessary documentation from each provider;
      2. Within five (5) days of receipt of a credentialing application, notify the provider in writing if the application is complete;
      3. Review an application for any misstatement of fact or lack of substantiating documentation;
      4. Credential and provide verified credentialing information electronically to the department and to each managed care organization as requested by the provider within thirty (30) calendar days of receipt of a clean application; and
      5. Conduct reevaluations of provider documentation when required pursuant to state or federal law or for the provider to maintain participation status with a managed care organization.
    1. The department shall enroll a provider within sixty (60) calendar days of receipt of a clean provider enrollment application. The date of enrollment shall be the date that the provider’s clean application was initially received by the department. The time limits established in this section shall be tolled or paused by a delay caused by an external entity. Tolling events include but are not limited to the screening requirements contained in 42 C.F.R. pt. 455 and searches of federal databases maintained by entities such as the United States Centers for Medicare and Medicaid Services. (4) (a) The department shall enroll a provider within sixty (60) calendar days of receipt of a clean provider enrollment application. The date of enrollment shall be the date that the provider’s clean application was initially received by the department. The time limits established in this section shall be tolled or paused by a delay caused by an external entity. Tolling events include but are not limited to the screening requirements contained in 42 C.F.R. pt. 455 and searches of federal databases maintained by entities such as the United States Centers for Medicare and Medicaid Services.
    2. A Medicaid managed care organization shall:
      1. Determine whether it will contract with the provider within thirty (30) calendar days of receipt of the verified credentialing information from the credentialing verification organization; and
        1. Within ten (10) days of an executed contract, ensure that any internal processing systems of the managed care organization have been updated to include: 2. a. Within ten (10) days of an executed contract, ensure that any internal processing systems of the managed care organization have been updated to include:
          1. The accepted provider contract; and
          2. The provider as a participating provider.
        2. In the event that the loading and configuration of a contract with a provider will take longer than ten (10) days, the managed care organization may take an additional fifteen (15) days if it has notified the provider of the need for additional time.
    1. Nothing in this section requires a Medicaid managed care organization to contract with a provider if the managed care organization and the provider do not agree on the terms and conditions for participation. (5) (a) Nothing in this section requires a Medicaid managed care organization to contract with a provider if the managed care organization and the provider do not agree on the terms and conditions for participation.
    2. Nothing in this section shall prohibit a provider and a managed care organization from negotiating the terms of a contract prior to the completion of the department’s enrollment and screening process.
    1. For the purpose of reimbursement of claims, once a provider has met the terms and conditions for credentialing and enrollment, the provider’s credentialing application date shall be the date from which the provider’s claims become eligible for payment. (6) (a) For the purpose of reimbursement of claims, once a provider has met the terms and conditions for credentialing and enrollment, the provider’s credentialing application date shall be the date from which the provider’s claims become eligible for payment.
    2. A Medicaid managed care organization shall not require a provider to appeal or resubmit any clean claim submitted during the time period between the provider’s credentialing application date and a managed care organization’s completion of its credentialing process.
    3. Nothing in this section shall limit the department’s authority to establish criteria that allow a provider’s claims to become eligible for payment in the event of lifesaving or life-preserving medical treatment, such as, for an illustrative but not exclusive example, an organ transplant.
  3. Nothing in this section shall prohibit a university hospital, as defined in KRS 205.639 , from performing the activities of a credentialing verification organization for its employed physicians, residents, and mid-level practitioners where such activities are delineated in the hospital’s contract with a Medicaid managed care organization. The provisions of subsections (3), (4), (5), and (6) of this section with regard to payment and timely action on a credentialing application shall apply to a credentialing application that has been verified through a university hospital pursuant to this subsection.
  4. To promote seamless integration of licensure information, the relevant provider licensing boards in Kentucky are encouraged to forward and provide licensure information electronically to the department and any credentialing verification organization.

HISTORY: 2018 ch. 106, § 1, effective January 1, 2019; 2019 ch. 27, § 1, effective June 27, 2019.

Legislative Research Commission Notes.

(1/1/2019). As enacted in 2018 Ky. Acts ch. 106, sec. 1, subsection (2) of this statute contains the phrase “the effective date of this Act.” The phrase is ambiguous, since the Act has two effective dates: some sections are effective on January 1, 2019, and some are effective on July 14, 2018. In codifying this statute, the Reviser of Statutes has chosen January 1, 2019, as the proper date to be substituted for the phrase “the effective date of this Act” in this subsection, since the effective date of KRS 205.532 is January 1, 2019. See KRS 7.136(1).

205.532. Definitions for KRS 205.532 to 205.536 — Contracts for Medicaid services by managed care organizations — Credentialing verification organization — Enrollment and contract after receipt of credentialing packet — Failure to agree on terms and conditions — Application date — Credentialing verification by university hospitals — Electronic verification of licensure information.

  1. As used in KRS 205.532 to 205.536 :
    1. “Clean application” means:
      1. For credentialing purposes, a credentialing application submitted by a provider to a credentialing verification organization that:
        1. Is complete and correct;
        2. Does not lack any required substantiating documentation; and
        3. Is consistent with the requirements for the National Committee for Quality Assurance requirements; or
      2. For enrollment purposes, an enrollment application submitted by a provider to the department that:
        1. Is complete and correct;
        2. Does not lack any required substantiating documentation;
        3. Complies with all provider screening requirements pursuant to 42 C.F.R. pt. 455; and
        4. Is on behalf of a provider who does not have accounts receivable with the department;
    2. “Credentialing application date” means the date that a credentialing verification organization receives a clean application from a provider;
    3. “Credentialing verification organization” means an organization that gathers data and verifies the credentials of providers in a manner consistent with federal and state laws and the requirements of the National Committee for Quality Assurance;
    4. “Department” means the Department for Medicaid Services;
    5. “Medicaid managed care organization” or “managed care organization” means an entity with which the department has contracted to serve as a managed care organization as defined in 42 C.F.R. sec. 438.2; and
    6. “Provider” has the same meaning as in KRS 304.17A-700 .
  2. On and after January 1, 2019, every contract entered into or renewed for the delivery of Medicaid services by a managed care organization shall be in compliance with KRS 205.522 , 205.532 to 205.536 , and 304.17A-515 .
    1. The department shall formally recognize a credentialing alliance formed in the private sector that is: (3) (a) The department shall formally recognize a credentialing alliance formed in the private sector that is:
      1. For the purpose of promoting a centralized process for credentialing providers;
      2. Accredited by the National Committee for Quality Assurance; and
      3. Owned by or affiliated with a statewide health care provider trade association that has at least one (1) year of experience providing credentialing services to at least one (1) Medicaid managed care organization in Kentucky.
    2. A credentialing alliance shall:
      1. Implement a single credentialing application via a web-based portal available to all providers seeking to be credentialed for any Medicaid managed care organization that participates in the credentialing alliance;
      2. Perform primary source verification and credentialing committee review of each credentialing application that results in a recommendation on the provider’s credentialing within thirty (30) days of receipt of a clean application;
      3. Notify providers within five (5) business days of receipt of a credentialing application if the application is incomplete;
      4. Provide provider outreach and help desk services during common business hours to facilitate provider applications and credentialing information;
      5. Expeditiously communicate the credentialing recommendation and supporting credentialing information electronically to the department and to each participating Medicaid managed care organization with which the provider is seeking credentialing; and
      6. Conduct reevaluation of provider documentation when required pursuant to state or federal law or when necessary for the provider to maintain participation status with a Medicaid managed care organization.
    3. If on or before December 31, 2021, sixty percent (60%) or more, with any fraction of a percent rounded down, of the total number of Medicaid managed care organizations have entered into contracts with a credentialing alliance, the procurement provisions of this section shall be null and void and the department shall discontinue any contracts for credentialing verification services so that each Medicaid managed care organization shall bear its own costs for provider credentialing.
    4. If a Medicaid managed care organization assumes responsibility and costs for their own provider credentialing pursuant to this subsection, the timely credentialing of providers shall be given significant weight as a factor in the scoring process when the department evaluates the Medicaid managed care organization’s response to requests for proposals for all contract awards.
    1. The department shall enroll a provider within sixty (60) calendar days of receipt of a clean provider enrollment application. The date of enrollment shall be the date that the provider’s clean application was initially received by the department. The time limits established in this section shall be tolled or paused by a delay caused by an external entity. Tolling events include but are not limited to the screening requirements contained in 42 C.F.R. pt. 455 and searches of federal databases maintained by entities such as the United States Centers for Medicare and Medicaid Services. (4) (a) The department shall enroll a provider within sixty (60) calendar days of receipt of a clean provider enrollment application. The date of enrollment shall be the date that the provider’s clean application was initially received by the department. The time limits established in this section shall be tolled or paused by a delay caused by an external entity. Tolling events include but are not limited to the screening requirements contained in 42 C.F.R. pt. 455 and searches of federal databases maintained by entities such as the United States Centers for Medicare and Medicaid Services.
    2. A Medicaid managed care organization shall:
      1. Determine whether it will contract with the provider within thirty (30) calendar days of receipt of the verified credentialing information from a credentialing verification organization; and
        1. Within ten (10) days of an executed contract, ensure that any internal processing systems of the managed care organization have been updated to include: 2. a. Within ten (10) days of an executed contract, ensure that any internal processing systems of the managed care organization have been updated to include:
          1. The accepted provider contract; and
          2. The provider as a participating provider.
        2. In the event that the loading and configuration of a contract with a provider will take longer than ten (10) days, the managed care organization may take an additional fifteen (15) days if it has notified the provider of the need for additional time.
    1. Nothing in this section requires a Medicaid managed care organization to contract with a provider if the managed care organization and the provider do not agree on the terms and conditions for participation. (5) (a) Nothing in this section requires a Medicaid managed care organization to contract with a provider if the managed care organization and the provider do not agree on the terms and conditions for participation.
    2. Nothing in this section shall prohibit a provider and a managed care organization from negotiating the terms of a contract prior to the completion of the department’s enrollment and screening process.
    1. For the purpose of reimbursement of claims, once a provider has met the terms and conditions for credentialing and enrollment, the provider’s credentialing application date shall be the date from which the provider’s claims become eligible for payment. (6) (a) For the purpose of reimbursement of claims, once a provider has met the terms and conditions for credentialing and enrollment, the provider’s credentialing application date shall be the date from which the provider’s claims become eligible for payment.
    2. A Medicaid managed care organization shall not require a provider to appeal or resubmit any clean claim submitted during the time period between the provider’s credentialing application date and the completion of the credentialing process.
    3. Nothing in this section shall limit the department’s authority to establish criteria that allow a provider’s claims to become eligible for payment in the event of lifesaving or life-preserving medical treatment, such as, for an illustrative but not exclusive example, an organ transplant.
  3. Nothing in this section shall prohibit a university hospital, as defined in KRS 205.639 , from performing the activities of a credentialing verification organization for its employed physicians, residents, and mid-level practitioners where such activities are delineated in the hospital’s contract with a Medicaid managed care organization. The provisions of subsections (3), (4), (5), and (6) of this section with regard to payment and timely action on a credentialing application shall apply to a credentialing application that has been verified through a university hospital pursuant to this subsection.
  4. To promote seamless integration of licensure information, the relevant provider licensing boards in Kentucky are encouraged to forward and provide licensure information electronically to the department and any credentialing verification organization.

HISTORY: 2018 ch. 106, § 1, effective January 1, 2019; 2019 ch. 27, § 1, effective June 27, 2019; 2021 ch. 97, § 1.

205.533. Web site of managed care organization.

By January 1, 2019, a managed care organization shall establish an interactive Web site, operated by the managed care organization, that allows providers to file grievances, appeals, and supporting documentation electronically in an encrypted format that complies with federal law and that allows a provider to review the current status of a matter relating to an appeal or a grievance filed concerning a submitted claim.

HISTORY: 2018 ch. 106, § 2, effective July 14, 2018.

205.534. Toll-free telephone line — Duties relating to adverse determinations — In-person meeting — Reprocessing claims — Internal appeals — Timely decisions on authorization and preauthorization requests — Monthly reports — Penalties.

  1. A Medicaid managed care organization shall:
    1. Provide:
      1. A toll-free telephone line for providers to contact the insurer for claims resolution for forty (40) hours a week during normal business hours in this state;
      2. A toll-free telephone line for providers to submit requests for authorizations of covered services during normal business hours and extended hours in this state on Monday and Friday through 6 p.m., including federal holidays;
      3. With regard to any adverse payment or coverage determination, copies of all documents, records, and other information relevant to a determination, including medical necessity criteria and any processes, strategies, or evidentiary standards relied upon, if requested by the provider. Documents, records, and other information required to be provided under this paragraph shall be provided at no cost to the provider; and
      4. For any adverse payment or coverage determination, a written reply in sufficient detail to inform the provider of all reasons for the determination. The written reply shall include information about the provider’s right to request and receive at no cost to the provider documents, records, and other information under subparagraph 3. of this paragraph;
    2. Afford each participating provider the opportunity for an in-person meeting with a representative of the managed care organization on:
      1. Any clean claim that remains unpaid in violation of KRS 304.17A-700 to 304.17A-730 ; and
      2. Any claim that remains unpaid for forty-five (45) days or more after the date the claim is received by the managed care organization and that individually or in the aggregate exceeds two thousand five hundred dollars ($2,500);
    3. Reprocess claims that are incorrectly paid or denied in error, in compliance with KRS 304.17A-708 . The reprocessing shall not require a provider to rebill or resubmit claims to obtain correct payment. No claim shall be denied for timely filing if the initial claim was timely submitted; and
    4. Establish processes for internal appeals, including provisions for:
      1. Allowing a provider to file any grievance or appeal related to the reduction or denial of the claim within sixty (60) days of receipt of a notification from the managed care organization that payment for a submitted claim has been reduced or denied; and
      2. Ensuring the timely consideration and disposition of any grievance or any appeal within thirty (30) days from the date the grievance or appeal is filed with the managed care organization by a provider under this paragraph.
    1. For the purposes of this subsection: (2) (a) For the purposes of this subsection:
      1. “Timely” means that an authorization or preauthorization request shall be approved:
        1. For an expedited authorization request, within seventy-two (72) hours after receipt of the request. The timeframe for an expedited authorization request may be extended by up to fourteen (14) days if:
          1. The enrollee requests an extension; or
          2. The Medicaid managed care organization justifies to the department a need for additional information and how the extension is in the enrollee’s interest; and
        2. For a standard authorization request, within two (2) business days. The timeframe for a standard authorization request may be extended by up to fourteen (14) additional days if:
          1. The provider or enrollee requests an extension; or
          2. The Medicaid managed care organization justifies to the department a need for additional information and how the extension is in the enrollee’s interest; and
        1. “Expedited authorization request” means a request for authorization or preauthorization where the provider determines that following the standard a timeframe could seriously jeopardize an enrollee’s life or health, or ability to attain, maintain, or regain maximum function; and 2. a. “Expedited authorization request” means a request for authorization or preauthorization where the provider determines that following the standard a timeframe could seriously jeopardize an enrollee’s life or health, or ability to attain, maintain, or regain maximum function; and
        2. A request for authorization or preauthorization for treatment of an enrollee with a diagnosis of substance use disorder shall be considered an expedited authorization request by the provider and the managed care organization.
    2. A decision by a managed care organization on an authorization or preauthorization request for physical, behavioral, or other medically necessary services shall be made in a timely and consistent manner so that Medicaid members with comparable medical needs receive a comparable, consistent level, amount, and duration of services as supported by the member’s medical condition, records, and previous affirmative coverage decisions.
    1. Each managed care organization shall report on a monthly basis to the department: (3) (a) Each managed care organization shall report on a monthly basis to the department:
      1. The number and dollar value of claims received that were denied, suspended, or approved for payment;
      2. The number of requests for authorization of services and the number of such requests that were approved and denied;
      3. The number of internal appeals and grievances filed by members and by providers and the type of service related to the grievance or appeal, the time of resolution, the number of internal appeals and grievances where the initial denial was overturned and the type of service and dollar amount associated with the overturned denials; and
      4. Any other information required by the department.
    2. The data required in paragraph (a) of this subsection shall be separately reported by provider category, as prescribed by the department, and shall at a minimum include inpatient acute care hospital services, inpatient psychiatric hospital services, outpatient hospital services, residential behavioral health services, and outpatient behavioral health services.
  2. On a monthly basis, the department shall transmit to the Department of Insurance a report of each corrective action plan, fine, or sanction assessed against a Medicaid managed care organization for violation of a Medicaid managed care organization’s contract relating to prompt payment of claims. The Department of Insurance shall then make a determination of whether the contract violation was also a violation of KRS 304.17A-700 to 304.17A-730 .
  3. Any Medicaid managed care organization that fails to comply with KRS 205.522 , 205.532 to 205.536 , and 304.17A-515 may be subject to fines, penalties, and sanctions, up to and including termination, as established under its Medicaid managed care contract with the department.

HISTORY: 2018 ch. 106, § 3, effective January 1, 2019.

205.535. Medicaid enrollee not automatically assigned to managed care organization.

The department shall not automatically assign a Medicaid enrollee to a managed care organization.

HISTORY: 2018 ch. 106, § 4, effective January 1, 2019.

205.536. Utilization review.

  1. A Medicaid managed care organization shall have a utilization review plan, as defined in KRS 304.17A-600 , that meets the requirements established in 42 C.F.R. pts. 431, 438, and 456. If the Medicaid managed care organization utilizes a private review agent, as defined in KRS 304.17A-600 , the agent shall comply with all applicable requirements of KRS 304.17A-600 to 304.17A-633 .
  2. In conducting utilization reviews for Medicaid benefits, each Medicaid managed care organization shall use the medical necessity criteria selected by the Department of Insurance pursuant to KRS 304.38-240 , for making determinations of medical necessity and clinical appropriateness pursuant to the utilization review plan required by subsection (1) of this section.

HISTORY: 2018 ch. 106, § 5, effective January 1, 2019.

205.540. Advisory Council for Medical Assistance — Membership — Expenses — Meetings — Qualifications of members.

  1. An Advisory Council for Medical Assistance shall be established in the state government. The council shall consist of twenty-two (22) members. The secretary for health and family services shall be an ex officio member. The other twenty-one (21) members of the council shall be appointed by the Governor and shall hold office for a term of four (4) years and until their successors are appointed and qualify, except that the members appointed to fill the first vacancy occurring for a term beginning on July 1, 1960, shall be as follows: Two (2) members shall be appointed for one (1) year, two (2) for two (2) years, two (2) for three (3) years, and three (3) for four (4) years, and the respective terms of the first members shall be designated by the Governor at the time of their appointments. Upon the expiration of the respective terms of the members first appointed, the term of each successor shall be for four (4) years and until his successor is appointed and qualified. Thirteen (13) of the appointments shall be made one (1) from each list of three (3) nominees submitted by the following organizations: the Kentucky State Medical Association; the Kentucky Dental Association; the Kentucky Hospital Association; the Kentucky Medical Equipment Suppliers Association; the Kentucky Pharmacists Association; the Kentucky Association of Health Care Facilities; the Kentucky Nurses’ Association; the State Board of Podiatry; the Kentucky Home Care Association; the Kentucky Optometric Association; the Kentucky Primary Care Association, the Kentucky Association of Hospice and Palliative Care; and the Kentucky Association of Homes and Services for the Aging, Inc. The other eight (8) appointive members shall be health care advocates knowledgeable about health care and the health care industry, and shall include three (3) medical assistance recipients; one (1) representative of a recognized consumer advocacy group representing the elderly; one (1) representative of a recognized consumer advocacy group representing persons reentering society following incarceration; and three (3) representatives of recognized consumer advocacy groups whose membership includes low-income persons, children and youth, women, minorities, and disabled persons.
  2. Each appointive member of the council shall serve without compensation but each council member not otherwise compensated for their time or expenses shall be entitled to reimbursement for their actual and necessary expenses in carrying out their duties with reimbursement for expenses being made in accordance with state regulations relating to travel reimbursement.
  3. Vacancies shall be filled for the unexpired term in the same manner as original appointments, maintaining representations as set out in subsection (1) of this section.
  4. The council shall elect a chairman, vice chairman, and secretary from among its members at its first regular meeting in each fiscal year and shall adopt rules governing its proceedings. The council shall hold a meeting at least once every three (3) months and such other special or regular meetings as may be desired.
  5. The eight (8) appointive members who are healthcare advocates shall not have a fiduciary relationship or interest in any health-care facility or service.

History. Enact. Acts 1960, ch. 68, Art. VII, § 5; 1968, ch. 191, § 1; 1970, ch. 78, § 2; 1972, ch. 203, § 42; 1974, ch. 74, Art. VI, §§ 48, 107(1), (15), (16); 1974, ch. 225, § 2; 1978, ch. 36, § 1, effective June 17, 1978; 1982, ch. 248, § 2, effective July 15, 1982; 1984, ch. 91, § 1, effective July 13, 1984; 1992, ch. 259, § 1, effective July 14, 1992; 1998, ch. 426, § 196, effective July 15, 1998; 2005, ch. 99, § 230, effective June 20, 2005; 2016 ch. 103, § 19, effective July 15, 2016; 2021 ch. 11, § 1.

Opinions of Attorney General.

It was the legislative intent in drafting this section to provide professional representation on the advisory council for the five associations named, and the appointment of a podiatrist as one of the four general members would be contingent upon podiatry as a profession not receiving vendor payments. OAG 67-179 .

The Formulary Subcommittee of the Advisory Council for Medical Assistance, a public agency, may not properly conduct closed meetings immediately before their regular public meetings to discuss and vote on the approval of drugs for the Medicaid Formulary. OAG 92-4 .

205.550. Subjects on which council advises.

  1. The council shall advise the Cabinet for Health and Family Services about health and medical care services.
  2. The council shall have the opportunity for participation in policy development and program administration and shall advise the Cabinet for Health and Family Services on such matters.
  3. The council shall give advice regarding how to further the participation of recipient members in the policy development and program administration of the Medical Assistance Program.

History. Enact. Acts 1960, ch. 68, Art. VII, § 6; 1960 (Ex. Sess.), ch. 2, § 2; 1974, ch. 74, Art. VI, §§ 49, 107(12); 1979 (Ex. Sess.), ch. 2, § 9, effective February 10, 1979; 1982, ch. 248, § 3, effective July 15, 1982; 1998, ch. 426, § 197, effective July 15, 1998; 2005, ch. 99, § 231, effective June 20, 2005.

205.5510. Definitions for KRS 205.5510 to 205.5520.

As used in KRS 205.5510 to 205.5520 , unless the context otherwise requires:

  1. “Department” means the Department for Medicaid Services;
  2. “Managed care organization” has the same meaning as in KRS 205.532 ;
  3. “Pharmacy benefit manager” has the same meaning as in KRS 304.9-020 ;
  4. “Spread pricing” means any technique by which a pharmacy benefit manager or other administrator of pharmacy benefits charges or claims an amount from an insurer or managed care organization for pharmacy or pharmacist services, including payment for a prescription drug, that is different than the amount the pharmacy benefit manager or other administrator pays to the pharmacy or pharmacist that provided the services; and
  5. “State pharmacy benefit manager” means the pharmacy benefit manager contracted by the department, pursuant to KRS 205.5512 , to administer pharmacy benefits for all Medicaid recipients enrolled in a managed care organization in the Commonwealth.

HISTORY: 2020 ch. 70, § 1, effective March 27, 2020.

205.5512. Selection of and contract with third-party administrator as pharmacy benefit manager for Medicaid managed care organizations — Requirements for department’s contracts, procurement process, disclosure of information, and legislative committee review.

  1. By December 31, 2020, the department, in accordance with KRS Chapter 45A, shall select and contract with a third-party administrator to serve as the state pharmacy benefit manager for every managed care organization with whom the department contracts for the delivery of Medicaid services.
  2. The state pharmacy benefit manager shall be responsible for administering all pharmacy benefits for Medicaid recipients enrolled in a managed care organization with whom the department contracts for the delivery of Medicaid services.
  3. Each contract entered into or renewed by the department for the delivery of Medicaid services by a managed care organization after the cabinet has selected and contracted with the state pharmacy benefit manager shall require the managed care organization to contract with and utilize the state pharmacy benefit manager for the purpose of administering all pharmacy benefits for Medicaid recipients enrolled with the managed care organization.
  4. As part of the procurement process to select the state pharmacy benefit manager, the department shall:
    1. Establish eligibility criteria that an entity shall meet in order to be eligible to become the state pharmacy benefit manager;
    2. Accept proposals from eligible entities seeking to become the state pharmacy benefit manager;
    3. Establish a master contract to be used by the department when contracting with the state pharmacy benefit manager, which shall:
      1. Establish the state pharmacy benefit manager’s fiduciary duty owed to the department;
      2. Comply with the provisions of KRS 205.5514(4);
      3. Require:
        1. The use of pass-through pricing; and
        2. The state pharmacy benefit manager to use the preferred drug list, reimbursement methodologies, and dispensing fees established by the department pursuant to KRS 205.5514(1); and
      4. Prohibit:
        1. The use of spread pricing; and
        2. The state pharmacy benefit manager from:
          1. Reducing payment for pharmacy or pharmacist services, directly or indirectly, under a reconciliation process to an effective rate of reimbursement. This prohibition shall include without limitation creating, imposing, or establishing direct or indirect remuneration fees, generic effective rates, dispensing effective rates, brand effective rates, any other effective rates, in-network fees, performance fees, pre-adjudication fees, post-adjudication fees, or any other mechanism that reduces, or aggregately reduces, payment for pharmacy or pharmacist services;
          2. Creating, modifying, implementing, or indirectly establishing any fee on a pharmacy, pharmacist, or a Medicaid recipient without first seeking and obtaining written approval from the department to do so;
          3. Requiring a Medicaid recipient to obtain a specialty drug from a specialty pharmacy owned by or otherwise associated with the state pharmacy benefit manager;
          4. Requiring or incentivizing a Medicaid recipient to use a pharmacy owned by or otherwise associated with the state pharmacy benefit manager; and
          5. Requiring a Medicaid recipient to use a mail-order pharmaceutical distributor or mail-order pharmacy; and
    4. Select and contract with a single third-party administrator to serve as the state pharmacy benefit manager to administer all pharmacy benefits for Medicaid recipients enrolled in a managed care organization with whom the department contracts for the delivery of Medicaid services.
  5. As part of the procurement process to select the state pharmacy benefit manager, an entity seeking to become the state pharmacy benefit manager shall disclose the following information:
    1. Any activity, policy, practice, contract including any national pharmacy contract, or agreement of the entity that may directly or indirectly present a conflict of interest in the entity’s relationship with the department or a managed care organization with whom the department contracts for the delivery of Medicaid services;
    2. Any direct or indirect fees, charges, or any kind of assessments imposed by the pharmacy benefit manager on pharmacies licensed in Kentucky:
      1. With which the pharmacy benefit manager shares common ownership, management, or control;
      2. Which are owned, managed, or controlled by any of the pharmacy benefit manager’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, manager, or holding company;
      3. Which share any common members on the board of directors; or
      4. Which share managers in common;
    3. Any direct or indirect fees, charges, or any kind of assessments imposed by the pharmacy benefit manager on pharmacies licensed in Kentucky which operate:
      1. More than ten (10) locations in the Commonwealth; or
      2. Ten (10) or fewer locations in the Commonwealth; and
    4. All common ownership, management, common members of a board of directors, shared managers, or control of a pharmacy benefit manager, or any of the pharmacy benefit manager’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, manager, or holding company with:
      1. A managed care organization and its affiliated companies;
      2. An entity that contracts on behalf of a pharmacy or any pharmacy services administration organization and its affiliated companies;
      3. A drug wholesaler or distributor and its affiliated companies;
      4. A third-party payor and its affiliated companies; and
      5. A pharmacy and its affiliated companies.
  6. The contract between the department and the state pharmacy benefit manager shall be submitted to the Government Contract Review Committee of the Legislative Research Commission for comment and review.

HISTORY: 2020 ch. 70, § 2, effective March 27, 2020.

205.5514. Department’s duties regarding state pharmacy benefit management.

  1. The department shall:
    1. Establish a single preferred drug list to be used by the state pharmacy benefit manager for each managed care organization with whom the department contracts for the delivery of Medicaid services; and
    2. Promulgate administrative regulations that establish:
      1. Reimbursement methodologies; and
      2. Dispensing fees which may take into account applicable guidance by the Centers for Medicare and Medicaid Services and which may, to the extent permitted under federal law, vary by pharmacy type, including rural and independently owned pharmacies, chain pharmacies, and pharmacies owned or contracted by a health care facility that is registered as a covered entity pursuant to 42 U.S.C. sec. 256 b.

        Reimbursement methodologies established by administrative regulations shall not discriminate against pharmacies owned or contracted by a health care facility that is registered as a covered entity pursuant to 42 U.S.C. sec. 256 b, to the extent allowable by the Centers for Medicare and Medicaid Services.

  2. The reimbursement methodologies and dispensing fees established by the department pursuant to subsection (1) of this section shall be used by the state pharmacy benefit manager for each managed care organization with whom the department contracts for the delivery of Medicaid services.
  3. The state pharmacy benefit manager shall administer, adjudicate, and reimburse pharmacy benefit claims submitted by pharmacies to the state pharmacy benefit manager in accordance with:
    1. The terms of any contract between a health care facility that is registered as a covered entity pursuant to 42 U.S.C. sec. 256 b and a Medicaid managed care organization;
    2. The terms and conditions of the contract between the state pharmacy benefit manager and the Commonwealth; and
    3. The reimbursement methodologies and dispensing fees established by the department, pursuant to subsection (1) of this section.
  4. The following shall apply to the state pharmacy benefit manager, the contract between the state pharmacy benefit manager and the department, and, where applicable, any contract between the state pharmacy benefit manager and a pharmacy:
    1. The department shall be responsible for reviewing and shall approve or deny:
      1. Any contract, any change in the terms of a contract, or suspension or termination of a contract between the state pharmacy benefit manager and a pharmacy licensed under KRS Chapter 315; and
      2. Any contract, any change in the terms of a contract, or suspension or termination of a contract between the state pharmacy benefit manager and an entity that contracts on behalf of a pharmacy licensed under KRS Chapter 315;
    2. The state pharmacy benefit manager shall comply with KRS 304.9-053 , 304.9-054 , and 304.9-055 ;
    3. After December 1, 2020, the state pharmacy benefit manager shall not enter into, renew, extend, or amend a national contract with any pharmacy that is inconsistent with:
      1. The terms and conditions of the contract between the state pharmacy benefit manager and the Commonwealth; or
      2. The reimbursement methodologies and dispensing fees established by the department, pursuant to subsection (1) of this section;
      1. When creating or establishing a pharmacy network for a managed care organization with whom the department contracts for the delivery of Medicaid services, the state pharmacy benefit manager shall not discriminate against any pharmacy or pharmacist that is: (d) 1. When creating or establishing a pharmacy network for a managed care organization with whom the department contracts for the delivery of Medicaid services, the state pharmacy benefit manager shall not discriminate against any pharmacy or pharmacist that is:
        1. Located within the geographic coverage area of the managed care organization; and
        2. Willing to agree to or accept reasonable terms and conditions established by the state pharmacy benefit manager, or other administrator for network participation, including obtaining preferred participation status.
      2. Discrimination prohibited by this paragraph shall include denying a pharmacy the opportunity to participate in a pharmacy network at preferred participation status; and
    4. A contract between the state pharmacy benefit manager and a pharmacy shall not release the state pharmacy benefit manager from the obligation to make any payments owed to the pharmacy for services rendered prior to the termination of the contract between the state pharmacy benefit manager and the pharmacy or removal of the pharmacy from the pharmacy network.

HISTORY: 2020 ch. 70, § 3, effective March 27, 2020.

205.5516. Compliance of payment arrangements with state and federal laws and regulations.

All payment arrangements between the department, managed care organizations, and the state pharmacy benefit manager shall comply with state and federal statutes, regulations adopted by the Centers for Medicare and Medicaid Services, and any other agreement between the department and the Centers for Medicare and Medicaid Services. The department may change a payment arrangement in order to comply with state and federal statutes, regulations adopted by the Centers for Medicare and Medicaid services, or any other agreement between the department and the Centers for Medicare and Medicaid services.

HISTORY: 2020 ch. 70, § 4, effective March 27, 2020.

205.5518. Required and prohibited actions by pharmacy benefit manager — Penalty for violation.

  1. Notwithstanding any provisions of law to the contrary, beginning on March 27, 2020, and continuing until December 31, 2020, a pharmacy benefit manager contracted with a managed care organization to administer Medicaid benefits shall not:
    1. Adjust, modify, change, or amend reimbursement methodologies, dispensing fees, and any other fees paid by the pharmacy benefit manager to pharmacies licensed in the Commonwealth;
    2. Create, modify, implement, or indirectly establish any fee on a pharmacy, pharmacist, or a Medicaid recipient in the Commonwealth; and
    3. Make any adjustments, modifications, or changes to a pharmacy network for the managed care organization with whom the pharmacy benefit manager has contracted to administer Medicaid benefits.
  2. Notwithstanding any provisions of law to the contrary, beginning on March 27, 2020, and continuing until December 31, 2020, a pharmacy benefit manager contracted with a managed care organization to administer Medicaid benefits shall:
    1. Administer, adjudicate, and, when appropriate, reimburse any pharmacy benefit claim submitted to the managed care organization prior to the termination of the contract between the pharmacy benefit manager and the managed care organization in accordance with the contract between the pharmacy benefit manager and the managed care organization; and
    2. Not be released from its obligation to make any payments owed to a pharmacy licensed in the Commonwealth for pharmacy services rendered prior to the termination of the contract between the pharmacy benefit manager and the managed care organization.
  3. The department shall impose a fine of twenty-five thousand dollars ($25,000) per day per separate violation on a pharmacy benefit manager who violates subsection (1) or (2) of this section.

HISTORY: 2020 ch. 70, § 5, effective March 27, 2020.

205.5520. Annual recommendations regarding pharmacy benefit reimbursement methodologies and dispensing fees.

By December 1, 2020, and at least annually thereafter, the Technical Advisory Committee on Pharmacy established in KRS 205.590 shall make recommendations to the department regarding the reimbursement methodologies and dispensing fees used by the state pharmacy benefit manager pursuant to KRS 205.5514 .

HISTORY: 2020 ch. 70, § 6, effective March 27, 2020.

205.558. Prescreening and admissions review system.

  1. To prevent inappropriate placement and to contain costs related thereto, the secretary for health and family services shall implement a statewide prescreening and admissions review system, including the imposition of a resource means test, for all long-term-care facilities and beds, as defined under KRS Chapter 216, and any acute-care hospital-based skilled-nursing or intermediate-care beds participating under Title XIX of the Social Security Act, regardless of the payment status of the resident upon admission. Any person having resources sufficient to cover the cost of care for at least three hundred sixty-five (365) days following admission may be admitted to a long-term care bed or facility if such person so desires; provided, however, that if a person:
    1. Is admitted to a long-term-care facility or acute-care hospital-based skilled-nursing or intermediate-care bed without participating in the prescreening and admissions review system; or
    2. Participates in the prescreening and admissions review system and is not authorized for placement in a long-term-care facility or acute-care hospital-based skilled-nursing or intermediate-care bed;

      such person is not eligible for medical assistance payment for skilled-nursing or intermediate-care for one (1) year after the date of the person’s admission to a skilled-nursing or intermediate-care facility or acute-care hospital-based skilled-nursing or intermediate-care bed unless the person subsequently participates in the prescreening and admissions review system and is authorized for admission to an intermediate-care or skilled-nursing facility or acute-care hospital-based skilled-nursing or intermediate-care bed.

  2. To implement the provisions of this section the cabinet shall establish preadmission screening teams composed of a nurse, social worker, and physician.
  3. Before preauthorization of any person for admission to an intermediate-care facility or skilled-care facility or acute-care hospital-based skilled-nursing or intermediate-care bed, the cabinet shall first make the following determinations:
    1. The health status and care needs of the person require immediate institutionalization in an intermediate-care facility or skilled-nursing facility or acute-care hospital-based skilled-nursing or intermediate-care bed;
    2. The person and his family have been fully advised of alternatives to institutional care and possible sources of reimbursement for such care;
    3. Alternatives to institutional care are not feasible; and
    4. Other such determinations as specified by administrative regulations promulgated by the cabinet under KRS Chapter 13A.
  4. Admission of a person to an intermediate-care facility, or a skilled-nursing facility without first obtaining prior authorization from the Cabinet for Health and Family Services shall constitute a Class B violation.
  5. The secretary for the cabinet shall promulgate such administrative regulations, subject to KRS Chapter 13A, as necessary to implement this section.

History. Enact. Acts 1986, ch. 466, § 3, effective July 15, 1986; 1998, ch. 426, § 198, effective July 15, 1998; 2005, ch. 99, § 232, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 1396 et seq.

Research References and Practice Aids

Cross-References.

Fines for violations, KRS 534.040 .

205.559. Requirements for Medicaid reimbursement to participating providers for telehealth consultations — Report of impact on health care delivery system required — Administrative regulations.

  1. The Cabinet for Health and Family Services and any regional managed care partnership or other entity under contract with the cabinet for the administration or provision of the Medicaid program shall provide Medicaid reimbursement for a telehealth consultation as defined in KRS 205.510 that is provided by a Medicaid-participating practitioner who is licensed in Kentucky.
    1. The cabinet shall establish reimbursement rates for telehealth consultations. A request for reimbursement shall not be denied solely because an in-person consultation between a Medicaid-participating practitioner and a patient did not occur. (2) (a) The cabinet shall establish reimbursement rates for telehealth consultations. A request for reimbursement shall not be denied solely because an in-person consultation between a Medicaid-participating practitioner and a patient did not occur.
    2. A telehealth consultation shall not be reimbursable under this section if it is provided through the use of an audio-only telephone, facsimile machine, or electronic mail.
  2. A health-care facility that receives reimbursement under this section for consultations provided by a Medicaid-participating provider who practices in that facility and a health professional who obtains a consultation under this section shall establish quality-of-care protocols and patient confidentiality guidelines to ensure that telehealth consultations meet all requirements and patient care standards as required by law.
  3. The cabinet shall not require a telehealth consultation if an in-person consultation with a Medicaid-participating provider is reasonably available where the patient resides, works, or attends school or if the patient prefers an in-person consultation.
  4. The cabinet shall request any waivers of federal laws or regulations that may be necessary to implement this section.
    1. The cabinet and any regional managed care partnership or other entity under contract with the cabinet for the administration or provision of the Medicaid program shall study the impact of this section on the health care delivery system in Kentucky and shall, upon implementation, issue an annual report to the Legislative Research Commission. This report shall include an analysis of: (6) (a) The cabinet and any regional managed care partnership or other entity under contract with the cabinet for the administration or provision of the Medicaid program shall study the impact of this section on the health care delivery system in Kentucky and shall, upon implementation, issue an annual report to the Legislative Research Commission. This report shall include an analysis of:
      1. The economic impact of this section on the Medicaid budget, including any costs or savings as a result of decreased transportation expenditures and office or emergency room visits;
      2. The quality of care as a result of telehealth consultations rendered under this section; and
      3. Any other issues deemed relevant by the cabinet.
    2. In addition to the analysis required under paragraph (a) of this subsection, the cabinet report shall compare telehealth reimbursement and delivery among all regional managed care partnerships or other entities under contract with the cabinet for the administration or provision of the Medicaid program.
  5. The cabinet shall promulgate an administrative regulation in accordance with KRS Chapter 13A to designate the claim forms, records required, and authorization procedures to be followed in conjunction with this section.

History. Enact. Acts 2000, ch. 376, § 4, effective July 15, 2001; 2005, ch. 99, § 233, effective June 20, 2005; 2007, ch. 24, § 26, effective June 26, 2007; 2018 ch. 187, § 3, effective July 1, 2019.

Legislative Research Commission Notes.

(7/15/2001). Under 2000 Ky. Acts ch. 376, sec. 24(1), this version of the statute takes effect “on July 15, 2001, or upon approval of any federal waivers, whichever first occurs.” Because federal waivers were not approved, the effective date is July 15, 2001.

205.559. Requirements for Medicaid reimbursement to participating providers for telehealth consultations — Report of impact on health care delivery system required — Administrative regulations.

  1. The Cabinet for Health and Family Services and any managed care organization with whom the Department for Medicaid Services contracts for the delivery of Medicaid services shall provide Medicaid reimbursement for covered telehealth services and telehealth consultations, if the telehealth service or telehealth consultation:
    1. Is provided by a Medicaid-participating practitioner, including those employed by a home health agency licensed pursuant to KRS Chapter 216, to a Medicaid recipient or another Medicaid-participating practitioner at a different physical location; and
    2. Meets all clinical, technology, and medical coding guidelines for recipient safety and appropriate delivery of services established by the Department for Medicaid Services or the provider’s professional licensure board.
    1. For rural health clinics, federally qualified health centers, and federally qualified health center look-alikes, reimbursement for covered telehealth services and telehealth consultations shall: (2) (a) For rural health clinics, federally qualified health centers, and federally qualified health center look-alikes, reimbursement for covered telehealth services and telehealth consultations shall:
      1. To the extent permitted under federal law, include an originating site fee in an amount equal to that which is permitted under 42 U.S.C. sec. 1395 m for Medicare-participating providers if the Medicaid beneficiary who received the telehealth service or telehealth consultation was physically located at the rural health clinic, federally qualified health center, or federally qualified health center look-alike at the time of service or consultation delivery and the provider of the telehealth service or telehealth consultation is not employed by the rural health clinic, federally qualified health center, or federally qualified health center look-alike; or
      2. If the telehealth service or telehealth consultation provider is employed by the rural health clinic, federally qualified health center, or federally qualified health center look-alike, include a supplemental reimbursement paid by the Department for Medicaid Services in an amount equal to the difference between the actual reimbursement amount paid by a Medicaid managed care organization and the amount that would have been paid if reimbursement had been made directly by the department.
    2. A request for reimbursement shall not be denied solely because:
      1. An in-person consultation between a Medicaid-participating practitioner and a patient did not occur; or
      2. A Medicaid-participating provider employed by a rural health clinic, federally qualified health center, or federally qualified health center look-alike was not physically located on the premises of the clinic or health center when the telehealth service or telehealth consultation was provided.
    3. Telehealth services and telehealth consultations shall not be reimbursable under this section if they are provided through the use of a facsimile machine, text, chat, or electronic mail unless the Department for Medicaid Services determines that telehealth can be provided via these modalities in ways that enhance recipient health and well-being and meet all clinical and technology guidelines for recipient safety and appropriate delivery of services.
    1. A health-care facility that receives reimbursement under this section for consultations provided by a Medicaid-participating provider who practices in that facility and a health professional who obtains a consultation under this section shall establish quality-of-care protocols, which may include a requirement for an annual in-person or face-to-face consultation with a patient who receives telehealth services, and patient confidentiality guidelines to ensure that telehealth consultations meet all requirements and patient care standards as required by law. (3) (a) A health-care facility that receives reimbursement under this section for consultations provided by a Medicaid-participating provider who practices in that facility and a health professional who obtains a consultation under this section shall establish quality-of-care protocols, which may include a requirement for an annual in-person or face-to-face consultation with a patient who receives telehealth services, and patient confidentiality guidelines to ensure that telehealth consultations meet all requirements and patient care standards as required by law.
    2. The Department for Medicaid Services and any managed care organization with whom the department contracts for the delivery of Medicaid services shall not deny reimbursement for telehealth services covered by this section based solely on quality-of-care protocols adopted by a health-care facility pursuant to paragraph (a) of this subsection.
  2. The cabinet shall not require a telehealth consultation if an in-person consultation with a Medicaid-participating provider is reasonably available where the patient resides, works, or attends school or if the patient prefers an in-person consultation.
  3. The cabinet shall request any waivers of federal laws or regulations that may be necessary to implement this section and Section 8 of this Act.
  4. Medicaid-participating practitioners and home health agencies are strongly encouraged to use audio-only encounters as a mode of delivering telehealth services only when no other approved mode of delivering telehealth services is available.
  5. As used in this section:
    1. “Federally qualified health center” means the same as in 42 U.S.C. sec. 1396 d;
    2. “Federally qualified health center look-alike” means an organization that meets all of the eligibility requirements of a federally qualified health center but does not receive federal grants issued pursuant to 42 U.S.C. sec. 254 b;
    3. “Originating site” means the site at which a Medicaid beneficiary is physically located at the time a telehealth service or telehealth consultation is provided; and
    4. “Rural health clinic” means the same as in 42 U.S.C. sec. 1395 x.

HISTORY: Enact. Acts 2000, ch. 376, § 4, effective July 15, 2001; 2005, ch. 99, § 233, effective June 20, 2005; 2007, ch. 24, § 26, effective June 26, 2007; 2018 ch. 187, § 3, effective July 1, 2019; 2021 ch. 67, § 7.

205.5591. Medicaid providers using telehealth — Duties of cabinet and managed care organizations — Reimbursement for covered services — Administrative regulations — Deductible, copayment, and reinsurance requirements — Policies and guidelines.

  1. The cabinet shall provide oversight, guidance, and direction to Medicaid providers delivering care using telehealth as defined in KRS 205.510 .
  2. The cabinet shall:
    1. Develop policies and procedures to ensure the proper use and security for telehealth, including but not limited to confidentiality and data integrity, privacy and security, informed consent, privileging and credentialing, reimbursement, and technology;
    2. Promote access to health care provided via telehealth;
    3. Maintain a list of Medicaid providers who may deliver telehealth services to Medicaid recipients throughout the Commonwealth;
    4. Require that specialty care be rendered by a health care provider who is recognized and actively participating in the Medicaid program; and
    5. Require that any required prior authorization requesting a referral or consultation for specialty care be processed by the patient’s primary care provider and that any specialist coordinate care with the patient’s primary care provider.
  3. The cabinet or a Medicaid managed care organization shall not:
    1. Require a Medicaid provider to be physically present with a Medicaid recipient, unless the provider determines that it is medically necessary to perform those services in person;
    2. Require prior authorization, medical review, or administrative clearance for telehealth that would not be required if a service were provided in person;
    3. Require a Medicaid provider to be employed by another provider or agency in order to provide telehealth services that would not be required if that service were provided in person;
    4. Require demonstration that it is necessary to provide services to a Medicaid recipient through telehealth;
    5. Restrict or deny coverage of telehealth based solely on the communication technology or application used to deliver the telehealth services; or
    6. Require a Medicaid provider to be part of a telehealth network.
  4. The Medicaid program or a Medicaid managed care organization shall require a telehealth provider to be licensed in Kentucky in order to receive reimbursement for telehealth services.
  5. The Medicaid program or a Medicaid managed care organization shall reimburse for covered services provided to a Medicaid recipient through telehealth, as defined in KRS 205.510 . The department shall promulgate administrative regulations to establish requirements for telehealth coverage and reimbursement, which shall be equivalent to the coverage for the same service provided in person unless the telehealth provider and the Medicaid program or a Medicaid managed care organization contractually agree to a lower reimbursement rate for telehealth services, or the department establishes a different reimbursement rate.
  6. Benefits for a service provided to a Medicaid recipient through telehealth may be made subject to a deductible, copayment, or coinsurance requirement. A deductible, copayment, or coinsurance applicable to a particular service provided through telehealth shall not exceed the deductible, copayment, or coinsurance required by the Medicaid program for the same service provided in person.
  7. Nothing in this section shall be construed to require the Medicaid program or a Medicaid managed care organization to:
    1. Provide coverage for telehealth services that are not medically necessary; or
    2. Reimburse any fees charged by a telehealth facility for transmission of a telehealth encounter.
  8. The cabinet shall maintain telehealth policies and guidelines to providing care that ensure that Medicaid-eligible citizens will have safe, adequate, and efficient medical care, and that prevent waste, fraud, and abuse of the Medicaid program.

HISTORY: 2018 ch. 187, § 1, effective July 1, 2019.

205.5591. Medicaid providers using telehealth — Duties of cabinet and managed care organizations — Reimbursement for covered services — Administrative regulations — Deductible, copayment, and reinsurance requirements — Policies and guidelines.

  1. The cabinet shall provide oversight, guidance, and direction to Medicaid providers delivering care using telehealth.
  2. The Department for Medicaid Services shall:
    1. Within thirty (30) days after the effective date of this Act:
      1. Promulgate administrative regulations in accordance with KRS Chapter 13A to establish requirements for telehealth coverage and reimbursement rates, which shall be equivalent to coverage requirements and reimbursement rates for the same service provided in person unless the telehealth provider and the department or a managed care organization contractually agree to a lower reimbursement rate for telehealth services; and
      2. Create, establish, or designate the claim forms, records required, and authorization procedures to be followed in conjunction with this section and Section 7 of this Act;
    2. Require that specialty care be rendered by a health care provider who is recognized and actively participating in the Medicaid program;
    3. Require that any required prior authorization requesting a referral or consultation for specialty care be processed by the patient’s primary care provider and that any specialist coordinate care with the patient’s primary care provider; and
    4. Require a telehealth provider to be licensed in Kentucky, or as allowed under the standards and provisions of a recognized interstate compact, in order to receive reimbursement for telehealth services.
  3. In accordance with Section 3 of this Act, the Department for Medicaid Services and any managed care organization with whom the department contracts for the delivery of Medicaid services shall not:
    1. Require a Medicaid provider to be physically present with a Medicaid recipient, unless the provider determines that it is medically necessary to perform those services in person;
    2. Require prior authorization, medical review, or administrative clearance for telehealth that would not be required if a service were provided in person;
    3. Require a Medicaid provider to be employed by another provider or agency in order to provide telehealth services that would not be required if that service were provided in person;
    4. Require demonstration that it is necessary to provide services to a Medicaid recipient through telehealth;
    5. Restrict or deny coverage of telehealth based solely on the communication technology or application used to deliver the telehealth services; or
    6. Require a Medicaid provider to be part of a telehealth network.
  4. Benefits for a service provided to a Medicaid recipient through telehealth may be made subject to a deductible, copayment, or coinsurance requirement. A deductible, copayment, or coinsurance applicable to a particular service provided through telehealth shall not exceed the deductible, copayment, or coinsurance required by the Medicaid program for the same service provided in person.
  5. Nothing in this section shall be construed to require the Medicaid program or a Medicaid managed care organization to:
    1. Provide coverage for telehealth services that are not medically necessary; or
    2. Reimburse any fees charged by a telehealth facility for transmission of a telehealth encounter.
  6. The cabinet, in implementing Sections 2 and 3 of this Act, shall maintain telehealth policies and guidelines to providing care that ensure that Medicaid-eligible citizens will have safe, adequate, and efficient medical care, and that prevent waste, fraud, and abuse of the Medicaid program.
  7. In order to comply with the deadline for the promulgation of administrative regulations established in subsection (2) of this section, the Department for Medicaid Services may promulgate emergency administrative regulations in accordance with KRS 13A.190 .

HISTORY: 2018 ch. 187, § 1, effective July 1, 2019; 2021 ch. 67, § 8.

205.5591 Medicaid providers using telehealth — Duties of cabinet and managed care organizations — Reimbursement for covered services — Administrative regulations — Deductible, copayment, and reinsurance requirements — Policies and guidelines.

  1. The cabinet shall provide oversight, guidance, and direction to Medicaid providers delivering care using telehealth as defined in KRS 205.510 .
  2. The cabinet shall:
    1. Develop policies and procedures to ensure the proper use and security for telehealth, including but not limited to confidentiality and data integrity, privacy and security, informed consent, privileging and credentialing, reimbursement, and technology;
    2. Promote access to health care provided via telehealth;
    3. Maintain a list of Medicaid providers who may deliver telehealth services to Medicaid recipients throughout the Commonwealth;
    4. Require that specialty care be rendered by a health care provider who is recognized and actively participating in the Medicaid program; and
    5. Require that any required prior authorization requesting a referral or consultation for specialty care be processed by the patient’s primary care provider and that any specialist coordinate care with the patient’s primary care provider.
  3. The cabinet or a Medicaid managed care organization shall not:
    1. Require a Medicaid provider to be physically present with a Medicaid recipient, unless the provider determines that it is medically necessary to perform those services in person;
    2. Require prior authorization, medical review, or administrative clearance for telehealth that would not be required if a service were provided in person;
    3. Require a Medicaid provider to be employed by another provider or agency in order to provide telehealth services that would not be required if that service were provided in person;
    4. Require demonstration that it is necessary to provide services to a Medicaid recipient through telehealth;
    5. Restrict or deny coverage of telehealth based solely on the communication technology or application used to deliver the telehealth services; or
    6. Require a Medicaid provider to be part of a telehealth network.
  4. The Medicaid program or a Medicaid managed care organization shall require a telehealth provider to be licensed in Kentucky in order to receive reimbursement for telehealth services.
  5. The Medicaid program or a Medicaid managed care organization shall reimburse for covered services provided to a Medicaid recipient through telehealth, as defined in KRS 205.510 . The department shall promulgate administrative regulations to establish requirements for telehealth coverage and reimbursement, which shall be equivalent to the coverage for the same service provided in person unless the telehealth provider and the Medicaid program or a Medicaid managed care organization contractually agree to a lower reimbursement rate for telehealth services, or the department establishes a different reimbursement rate.
  6. Nothing in this section shall be construed to require the Medicaid program or a Medicaid managed care organization to:
    1. Provide coverage for telehealth services that are not medically necessary; or
    2. Reimburse any fees charged by a telehealth facility for transmission of a telehealth encounter.
  7. The cabinet shall maintain telehealth policies and guidelines to providing care that ensure that Medicaid-eligible citizens will have safe, adequate, and efficient medical care, and that prevent waste, fraud, and abuse of the Medicaid program.

HISTORY: 2018 ch. 187, § 1, effective July 1, 2019; 2021 ch. 62, § 3.

205.560. Scope of care to be designated by administrative regulations — Reimbursements mandated or prohibited — Assessment of health care provider credentials — Participation of providers in Medical Assistance Program.

  1. The scope of medical care for which the Cabinet for Health and Family Services undertakes to pay shall be designated and limited by regulations promulgated by the cabinet, pursuant to the provisions in this section. Within the limitations of any appropriation therefor, the provision of complete upper and lower dentures to recipients of Medical Assistance Program benefits who have their teeth removed by a dentist resulting in the total absence of teeth shall be a mandatory class in the scope of medical care. Payment to a dentist of any Medical Assistance Program benefits for complete upper and lower dentures shall only be provided on the condition of a preauthorized agreement between an authorized representative of the Medical Assistance Program and the dentist prior to the removal of the teeth. The selection of another class or other classes of medical care shall be recommended by the council to the secretary for health and family services after taking into consideration, among other things, the amount of federal and state funds available, the most essential needs of recipients, and the meeting of such need on a basis insuring the greatest amount of medical care as defined in KRS 205.510 consonant with the funds available, including but not limited to the following categories, except where the aid is for the purpose of obtaining an abortion:
    1. Hospital care, including drugs, and medical supplies and services during any period of actual hospitalization;
    2. Nursing-home care, including medical supplies and services, and drugs during confinement therein on prescription of a physician, dentist, or podiatrist;
    3. Drugs, nursing care, medical supplies, and services during the time when a recipient is not in a hospital but is under treatment and on the prescription of a physician, dentist, or podiatrist. For purposes of this paragraph, drugs shall include products for the treatment of inborn errors of metabolism or genetic, gastrointestinal, and food allergic conditions, consisting of therapeutic food, formulas, supplements, amino acid-based elemental formula, or low-protein modified food products that are medically indicated for therapeutic treatment and are administered under the direction of a physician, and include but are not limited to the following conditions:
      1. Phenylketonuria;
      2. Hyperphenylalaninemia;
      3. Tyrosinemia (types I, II, and III);
      4. Maple syrup urine disease;
      5. A-ketoacid dehydrogenase deficiency;
      6. Isovaleryl-CoA dehydrogenase deficiency;
      7. 3-methylcrotonyl-CoA carboxylase deficiency;
      8. 3-methylglutaconyl-CoA hydratase deficiency;
      9. 3-hydroxy-3-methylglutaryl-CoA lyase deficiency (HMG-CoA lyase deficiency);
      10. B-ketothiolase deficiency;
      11. Homocystinuria;
      12. Glutaric aciduria (types I and II);
      13. Lysinuric protein intolerance;
      14. Non-ketotic hyperglycinemia;
      15. Propionic acidemia;
      16. Gyrate atrophy;
      17. Hyperornithinemia/hyperammonemia/homocitrullinuria syndrome;
      18. Carbamoyl phosphate synthetase deficiency;
      19. Ornithine carbamoyl transferase deficiency;
      20. Citrullinemia;
      21. Arginosuccinic aciduria;
      22. Methylmalonic acidemia;
      23. Argininemia;
      24. Food protein allergies;
      25. Food protein-induced enterocolitis syndrome;
      26. Eosinophilic disorders; and
      27. Short bowel syndrome;
    4. Physician, podiatric, and dental services;
    5. Optometric services for all age groups shall be limited to prescription services, services to frames and lenses, and diagnostic services provided by an optometrist, to the extent the optometrist is licensed to perform the services and to the extent the services are covered in the ophthalmologist portion of the physician’s program. Eyeglasses shall be provided only to children under age twenty-one (21);
    6. Drugs on the prescription of a physician used to prevent the rejection of transplanted organs if the patient is indigent; and
    7. Nonprofit neighborhood health organizations or clinics where some or all of the medical services are provided by licensed registered nurses or by advanced medical students presently enrolled in a medical school accredited by the Association of American Medical Colleges and where the students or licensed registered nurses are under the direct supervision of a licensed physician who rotates his services in this supervisory capacity between two (2) or more of the nonprofit neighborhood health organizations or clinics specified in this paragraph.
  2. Payments for hospital care, nursing-home care, and drugs or other medical, ophthalmic, podiatric, and dental supplies shall be on bases which relate the amount of the payment to the cost of providing the services or supplies. It shall be one (1) of the functions of the council to make recommendations to the Cabinet for Health and Family Services with respect to the bases for payment. In determining the rates of reimbursement for long-term-care facilities participating in the Medical Assistance Program, the Cabinet for Health and Family Services shall, to the extent permitted by federal law, not allow the following items to be considered as a cost to the facility for purposes of reimbursement:
    1. Motor vehicles that are not owned by the facility, including motor vehicles that are registered or owned by the facility but used primarily by the owner or family members thereof;
    2. The cost of motor vehicles, including vans or trucks, used for facility business shall be allowed up to fifteen thousand dollars ($15,000) per facility, adjusted annually for inflation according to the increase in the consumer price index-u for the most recent twelve (12) month period, as determined by the United States Department of Labor. Medically equipped motor vehicles, vans, or trucks shall be exempt from the fifteen thousand dollar ($15,000) limitation. Costs exceeding this limit shall not be reimbursable and shall be borne by the facility. Costs for additional motor vehicles, not to exceed a total of three (3) per facility, may be approved by the Cabinet for Health and Family Services if the facility demonstrates that each additional vehicle is necessary for the operation of the facility as required by regulations of the cabinet;
    3. Salaries paid to immediate family members of the owner or administrator, or both, of a facility, to the extent that services are not actually performed and are not a necessary function as required by regulation of the cabinet for the operation of the facility. The facility shall keep a record of all work actually performed by family members;
    4. The cost of contracts, loans, or other payments made by the facility to owners, administrators, or both, unless the payments are for services which would otherwise be necessary to the operation of the facility and the services are required by regulations of the Cabinet for Health and Family Services. Any other payments shall be deemed part of the owner’s compensation in accordance with maximum limits established by regulations of the Cabinet for Health and Family Services. Interest paid to the facility for loans made to a third party may be used to offset allowable interest claimed by the facility;
    5. Private club memberships for owners or administrators, travel expenses for trips outside the state for owners or administrators, and other indirect payments made to the owner, unless the payments are deemed part of the owner’s compensation in accordance with maximum limits established by regulations of the Cabinet for Health and Family Services; and
    6. Payments made to related organizations supplying the facility with goods or services shall be limited to the actual cost of the goods or services to the related organization, unless it can be demonstrated that no relationship between the facility and the supplier exists. A relationship shall be considered to exist when an individual, including brothers, sisters, father, mother, aunts, uncles, and in-laws, possesses a total of five percent (5%) or more of ownership equity in the facility and the supplying business. An exception to the relationship shall exist if fifty-one percent (51%) or more of the supplier’s business activity of the type carried on with the facility is transacted with persons and organizations other than the facility and its related organizations.
  3. No vendor payment shall be made unless the class and type of medical care rendered and the cost basis therefor has first been designated by regulation.
  4. The rules and regulations of the Cabinet for Health and Family Services shall require that a written statement, including the required opinion of a physician, shall accompany any claim for reimbursement for induced premature births. This statement shall indicate the procedures used in providing the medical services.
  5. The range of medical care benefit standards provided and the quality and quantity standards and the methods for determining cost formulae for vendor payments within each category of public assistance and other recipients shall be uniform for the entire state, and shall be designated by regulation promulgated within the limitations established by the Social Security Act and federal regulations. It shall not be necessary that the amount of payments for units of services be uniform for the entire state but amounts may vary from county to county and from city to city, as well as among hospitals, based on the prevailing cost of medical care in each locale and other local economic and geographic conditions, except that insofar as allowed by applicable federal law and regulation, the maximum amounts reimbursable for similar services rendered by physicians within the same specialty of medical practice shall not vary according to the physician’s place of residence or place of practice, as long as the place of practice is within the boundaries of the state.
  6. Nothing in this section shall be deemed to deprive a woman of all appropriate medical care necessary to prevent her physical death.
  7. To the extent permitted by federal law, no medical assistance recipient shall be recertified as qualifying for a level of long-term care below the recipient’s current level, unless the recertification includes a physical examination conducted by a physician licensed pursuant to KRS Chapter 311 or by an advanced practice registered nurse licensed pursuant to KRS Chapter 314 and acting under the physician’s supervision.
  8. If payments made to community mental health centers, established pursuant to KRS Chapter 210, for services provided to the intellectually disabled exceed the actual cost of providing the service, the balance of the payments shall be used solely for the provision of other services to the intellectually disabled through community mental health centers.
  9. No long-term-care facility, as defined in KRS 216.510 , providing inpatient care to recipients of medical assistance under Title XIX of the Social Security Act on July 15, 1986, shall deny admission of a person to a bed certified for reimbursement under the provisions of the Medical Assistance Program solely on the basis of the person’s paying status as a Medicaid recipient. No person shall be removed or discharged from any facility solely because they became eligible for participation in the Medical Assistance Program, unless the facility can demonstrate the resident or the resident’s responsible party was fully notified in writing that the resident was being admitted to a bed not certified for Medicaid reimbursement. No facility may decertify a bed occupied by a Medicaid recipient or may decertify a bed that is occupied by a resident who has made application for medical assistance.
  10. Family-practice physicians practicing in geographic areas with no more than one (1) primary-care physician per five thousand (5,000) population, as reported by the United States Department of Health and Human Services, shall be reimbursed one hundred twenty-five percent (125%) of the standard reimbursement rate for physician services.
  11. The Cabinet for Health and Family Services shall make payments under the Medical Assistance program for services which are within the lawful scope of practice of a chiropractor licensed pursuant to KRS Chapter 312, to the extent the Medical Assistance Program pays for the same services provided by a physician.
    1. The Medical Assistance Program shall use the appropriate form and guidelines for enrolling those providers applying for participation in the Medical Assistance Program, including those licensed and regulated under KRS Chapters 311, 312, 314, 315, and 320, any facility required to be licensed pursuant to KRS Chapter 216B, and any other health care practitioner or facility as determined by the Department for Medicaid Services through an administrative regulation promulgated under KRS Chapter 13A. A Medicaid managed care organization shall use the forms and guidelines established under KRS 304.17A-545 (5) to credential a provider. For any provider who contracts with and is credentialed by a Medicaid managed care organization prior to enrollment, the cabinet shall complete the enrollment process and deny, or approve and issue a Provider Identification Number (PID) within fifteen (15) business days from the time all necessary completed enrollment forms have been submitted and all outstanding accounts receivable have been satisfied. (12) (a) The Medical Assistance Program shall use the appropriate form and guidelines for enrolling those providers applying for participation in the Medical Assistance Program, including those licensed and regulated under KRS Chapters 311, 312, 314, 315, and 320, any facility required to be licensed pursuant to KRS Chapter 216B, and any other health care practitioner or facility as determined by the Department for Medicaid Services through an administrative regulation promulgated under KRS Chapter 13A. A Medicaid managed care organization shall use the forms and guidelines established under KRS 304.17A-545 (5) to credential a provider. For any provider who contracts with and is credentialed by a Medicaid managed care organization prior to enrollment, the cabinet shall complete the enrollment process and deny, or approve and issue a Provider Identification Number (PID) within fifteen (15) business days from the time all necessary completed enrollment forms have been submitted and all outstanding accounts receivable have been satisfied.
    2. Within forty-five (45) days of receiving a correct and complete provider application, the Department for Medicaid Services shall complete the enrollment process by either denying or approving and issuing a Provider Identification Number (PID) for a behavioral health provider who provides substance use disorder services, unless the department notifies the provider that additional time is needed to render a decision for resolution of an issue or dispute.
    3. Within forty-five (45) days of receipt of a correct and complete application for credentialing by a behavioral health provider providing substance use disorder services, a Medicaid managed care organization shall complete its contracting and credentialing process, unless the Medicaid managed care organization notifies the provider that additional time is needed to render a decision. If additional time is needed, the Medicaid managed care organization shall not take any longer than ninety (90) days from receipt of the credentialing application to deny or approve and contract with the provider.
    4. A Medicaid managed care organization shall adjudicate any clean claims submitted for a substance use disorder service from an enrolled and credentialed behavioral health provider who provides substance use disorder services in accordance with KRS 304.17A-700 to 304.17A-730 .
    5. The Department of Insurance may impose a civil penalty of one hundred dollars ($100) per violation when a Medicaid managed care organization fails to comply with this section. Each day that a Medicaid managed care organization fails to pay a claim may count as a separate violation.
  12. Dentists licensed under KRS Chapter 313 shall be excluded from the requirements of subsection (12) of this section. The Department for Medicaid Services shall develop a specific form and establish guidelines for assessing the credentials of dentists applying for participation in the Medical Assistance Program.

History. Enact. Acts 1960, ch. 68, Art. VII, § 7; 1960 (Ex. Sess.), ch. 2, § 3; 1970, ch. 78, § 3; 1972, ch. 256, § 16; 1974, ch. 74, Art. VI, §§ 50, 107(1), (14), (15), (19); 1974, ch. 225, § 3; 1976, ch. 141, § 1; 1978, ch. 99, § 1, effective June 17, 1978; 1978, ch. 140, § 3, effective June 17, 1978; 1980, ch. 29, § 1, effective July 15, 1980; 1980, ch. 315, § 3, effective July 15, 1980; 1982, ch. 133, § 1, effective July 15, 1982; 1982, ch. 248, § 4, effective July 15, 1982; 1986, ch. 154, § 1, effective July 15, 1986; 1986, ch. 306, § 1, effective July 15, 1986; 1986, ch. 310, § 1, effective July 15, 1986; 1986, ch. 466, § 1, effective July 15, 1986; 1990, ch. 482, § 8, effective July 13, 1990; 1996, ch. 304, § 1, effective July 15, 1996; 1998, ch. 426, § 199, effective July 15, 1998; 2000, ch. 290, § 1, effective July 14, 2000; 2000, ch. 457, § 1, effective July 14, 2000; 2005, ch. 99, § 234, effective June 20, 2005; 2005, ch. 144, § 4, effective June 20, 2005; 2007, ch. 34, § 1, effective June 26, 2007; 2007, ch. 90, § 1, effective June 26, 2007; 2008, ch. 119, § 1, effective July 15, 2008; 2010, ch. 85, § 34, effective July 15, 2010; 2010, ch. 141, § 12, effective July 15, 2010; 2013, ch. 118, § 8, effective April 4, 2013; 2015 ch. 66, § 4, effective March 25, 2015; 2016 ch. 10, § 1, effective April 1, 2016; 2018 ch. 112, § 7, effective July 14, 2018; 2018 ch. 143, § 17, § 17, effective July 14, 2018.

Legislative Research Commission Notes.

(7/14/2018). This statute was amended by 2018 Ky. Acts chs. 112 and 143, which do not appear to be in conflict and have been codified together.

(4/1/2016). 2016 Ky. Acts ch. 10, sec. 5 provided that that Act may be cited as Noah's Law. This statute was amended in Section 1 of that Act.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

Compiler's Notes.

The Social Security Act, referred to in subsection (5), is compiled as 42 USCS § 301 et seq.

Title XIX of the Social Security Act, referred to in subsection (9), is compiled as 42 USCS § 1396 et seq.

NOTES TO DECISIONS

1.Constitutionality.

The classification of drugs, as adopted by the department (now cabinet), had a reasonable basis and therefore does not offend the equal protection clause of the Constitution merely because it is not made with mathematical niceties or because in practice it results in same inequality. Scrivener v. Commonwealth, 539 S.W.2d 291, 1976 Ky. LEXIS 51 ( Ky. 1976 ).

2.Cabinet Authority.

Circuit court properly set aside a final order by the secretary of the Cabinet for Health and Family Service because the Cabinet acted in excess of its statutory authority by freezing a mental health provider's reimbursement rates for seven years without reference to its actual costs and failed to set forth sufficient findings to explain the deviation from the hearing officer's recommended findings concerning the amount which the provider was owed. Commonwealth v. RiverValley Behavioral Health, 465 S.W.3d 460, 2014 Ky. App. LEXIS 148 (Ky. Ct. App. 2014).

Reduction in a the reimbursement rate for a psychiatric children's hospital was arbitrary and erroneous because the methodology was not based on a calculation specifically related to similar psychiatric hospitals, as statutorily required, in that a rate reducing methodology from clinically dissimilar acute care hospitals was used to calculate reimbursement rates. Moreover, a minimum occupancy adjustment to the Medicaid reimbursement from the costs shown on the hospital's reports had no relation to the hospital's cost of providing services. N. Ky. Mental Health-Mental Retardation Reg'l Bd. v. Commonwealth, 538 S.W.3d 298, 2017 Ky. App. LEXIS 54 (Ky. Ct. App. 2017).

Although the words “relate to” are not defined by Ky. Rev. Stat. Ann. § 205.560(2), a plain reading of the statute clearly provides that payments must reasonably relate to the actual costs incurred for providing the services. Instead, the budget neutrality adjustments made by the Cabinet for Health and Family Services, as outlined in 907 Ky. Admin. Regs. 1:825, are arbitrary as they are partially based on historical costs, not actual costs. While the Cabinet can make downward adjustments that are rationally related to objective criteria like efficiency and economy, it cannot simply make arbitrary adjustments based on historical rates. Commonwealth v. Appalachian Reg'l Healthcare, Inc., 606 S.W.3d 623, 2019 Ky. App. LEXIS 40 (Ky. Ct. App. 2019).

Budget neutrality adjustment (BNA) in 907 Ky. Admin. Regs. 1:825 was facially invalid and arbitrary as it conflicted with Ky. Rev Stat. Ann. § 205.560(2) providing reimbursements for Medicaid providers that reflected actual costs. The BNA also violated federal law as its suppression of Medicaid reimbursement rates into percentages in the 70’s fell outside the range of what was reasonable and adequate. Because the BNA violated state and federal law, the imposition of it on Medicaid reimbursement rates was arbitrary and an abuse of administrative powers. Commonwealth v. Appalachian Reg'l Healthcare, Inc., 606 S.W.3d 623, 2019 Ky. App. LEXIS 40 (Ky. Ct. App. 2019).

Cabinet for Health and Family Services did not have carte blanche to set regulations that clearly conflicted with the legislative mandate that Medicaid reimbursement rates reasonably related to providers’ costs. Commonwealth v. Appalachian Reg'l Healthcare, Inc., 606 S.W.3d 623, 2019 Ky. App. LEXIS 40 (Ky. Ct. App. 2019).

3.Medical Necessity.

Circuit court properly reversed and remanded the Cabinet for Health and Family Services' denial of a hospital's request for reimbursement of Medicaid services because, while the Cabinet, in creating the medical assistance plan, chose not to cover or reimburse providers for days on which an inappropriate level of care was provided, the Cabinet established in the administrative appeals process that the testing and services provided to a patient were medically necessary, those services were provided in the appropriate location: a hospital emergency room, and the fact that the patient was admitted as an inpatient did not render the services provided to him medically unnecessary as that term was defined for purposes of Medicaid reimbursement. Commonwealth v. Owensboro Med. Health Sys., 500 S.W.3d 225, 2016 Ky. App. LEXIS 138 (Ky. Ct. App. 2016).

Opinions of Attorney General.

This section vests the Cabinet for Human Resources (now Health and Family Services) with the exclusive authority to designate the parameters within which Kentucky Medical Assistance Program payments may be made; therefore, the Cabinet for Human Resources (now Health and Family Services) is authorized to designate the types of dental and medical services which are payable under the Kentucky Medical Assistance Program and these services need not be identical for oral surgeons and physicians. OAG 84-138 .

It is a violation of subdivision (1)(e) of this section to require a co-payment for a service provided by an optometrist under the Kentucky Medicaid Program, but not require a co-payment for the same service when provided by an ophthalmologist. OAG 03-004 .

205.5601. Cabinet’s reimbursement for qualifying ground ambulance service transports.

Upon approval by the Centers for Medicare and Medicaid Services of the assessment imposed under KRS 142.318 for fee-for-service rates effective on or after July 1, 2020, the cabinet shall reimburse each ground ambulance provider that provided qualifying ground ambulance service transports during the relevant assessment period an amount not to exceed the emergency medical services ambulance rates adopted by the cabinet.

HISTORY: 2020 ch. 110, § 4, effective July 15, 2020.

205.5602. Duties of Department for Medicaid Services regarding ground ambulance service transports — Assessment amount and administration — Need for state plan or waiver amendment — Reports.

  1. For purposes of this section and KRS 205.5601 and 205.5603 :
    1. “Ground ambulance provider” means a Class I, II, or III ground ambulance provider described in KRS 311A.030 ;
    2. “Assessment” means the Medicaid ambulance service provider assessment imposed in KRS 142.318 ;
    3. “Board” means the Kentucky Board of Emergency Medical Services;
    4. “Commissioner” means the commissioner of the Department for Medicaid Services; and
    5. “Department” means the Department for Medicaid Services.
  2. The department shall:
    1. Promulgate administrative regulations to establish the standards and procedures necessary to implement the provisions of this section and KRS 205.5601 and 205.5603 ;
    2. Calculate an assessment on emergency ground transport collections pursuant to subsection (3) of this section;
    3. Administer assessment proceeds according to subsection (6) of this section;
    4. Apply uniformly to all assessed ground ambulance providers any annual changes to the assessment rate according to the process described in subsection (3) of this section; and
    5. Evaluate current ground ambulance provider reimbursement rates paid by managed care organizations and require increases consistent with:
      1. KRS 205.5601 and this section;
      2. Current fee-for-service reimbursement rates; and
      3. An adequate network of ambulance service providers.
    1. The assessment due from a ground ambulance provider on emergency ground transport collections shall be not less than one-half of one percent (0.5%) lower than the maximum limit for a provider assessment as approved by the Centers for Medicare and Medicaid Services. (3) (a) The assessment due from a ground ambulance provider on emergency ground transport collections shall be not less than one-half of one percent (0.5%) lower than the maximum limit for a provider assessment as approved by the Centers for Medicare and Medicaid Services.
    2. For illustrative purposes only, if the maximum limit for a provider assessment as approved by the Centers for Medicare and Medicaid Services is six percent (6%) of the emergency revenues collected by the ground ambulance provider, the minimum taxable limit under this section would be five and one-half percent (5.5%) of the emergency revenues collected.
  3. The assessment shall not generate more than the maximum amount as approved by the Centers for Medicare and Medicaid Services.
      1. Within ninety (90) days after July 15, 2020, the commissioner shall determine whether a state plan amendment or an amendment to any Kentucky federal Medicaid waiver is required to implement this section. (5) (a) 1. Within ninety (90) days after July 15, 2020, the commissioner shall determine whether a state plan amendment or an amendment to any Kentucky federal Medicaid waiver is required to implement this section.
      2. If the commissioner determines that a state plan amendment or an amendment to a Kentucky federal waiver is necessary, the commissioner is authorized to seek any necessary state plan or waiver amendment, and the assessment shall not take effect until the state plan or waiver amendment is approved.
    1. The assessment shall not be implemented until the first day of the calendar quarter after the Department for Medicaid Services receives notice of federal matching funds approval from the Centers for Medicare and Medicaid Services and has notified the Department of Revenue of that approval.
    2. The commissioner shall implement this section to the extent that it is not inconsistent with the state Medicaid plan or any Kentucky federal Medicaid waivers.
    3. Payments to ground ambulance providers shall begin within ninety (90) days of the later of the approval of federal matching funds, the state plan, or waiver amendment. The first monthly assessment payment shall be due sixty (60) days after the implementation of the enhanced fee schedule.
  4. The assessment shall be administered as follows:
    1. An annual amount of two hundred thousand dollars ($200,000) shall be returned to the department to offset the Medicaid administration expenses;
    2. The remaining portion of the assessment shall:
      1. Be utilized to increase the rates paid by a managed care organization for emergency ambulance services up to the amount paid by the fee-for-service Medicaid program for emergency ambulance services; or
      2. Be paid as supplemental payments to ground ambulance providers in a proportional amount according to the total Medicaid ambulance transports; and
    3. If any funds are remaining after the department’s duties have been completed under paragraph (b) of this subsection, the remaining funds shall be utilized by the department to increase non-emergency medical transport rates.
  5. Each ground ambulance provider shall report to the board, at the time and in the manner required by the board, ground emergency revenue collected to accomplish the purposes of this section and KRS 205.5603 .
    1. No more than one hundred eighty (180) days after the end of each calendar year, the board shall submit to the cabinet transport data for all ground ambulance providers licensed in Kentucky. (8) (a) No more than one hundred eighty (180) days after the end of each calendar year, the board shall submit to the cabinet transport data for all ground ambulance providers licensed in Kentucky.
    2. The data required by paragraph (a) of this subsection shall, at a minimum, include the number of emergency ground transports completed during the previous calendar year and the emergency revenue collected.

HISTORY: 2020 ch. 110, § 5, effective July 15, 2020.

205.5603. Ambulance service assessment fund — Appropriation and transfer of fund moneys — Sole purposes of fund — Effect of invalidity of KRS 205.5602.

  1. There is established in the State Treasury the ambulance service assessment fund for the purpose of depositing assessments imposed under KRS 142.318 .
  2. The fund shall consist of the assessments and any related penalties collected by the Department of Revenue, donations made to the fund from private sources, and appropriations made by the General Assembly.
  3. Moneys deposited into the fund are appropriated for the purpose of administering KRS 205.5602 and shall be transferred to the Department for Medicaid Services on a monthly basis for that purpose.
  4. Moneys in the fund shall not be diverted to the general fund or any other public fund. Moneys in the fund may only be used to:
    1. Increase fee-for-service rates for ground ambulance services above those in effect on July 15, 2020;
    2. Reimburse money to a ground ambulance provider that is erroneously collected from that provider; or
    3. Reimburse the cabinet in the amount of two hundred thousand dollars ($200,000) annually for the purpose of administrative expenses.
  5. If KRS 205.5602 is rendered invalid and void:
    1. To the extent that federal matching funds are not reduced due to the impermissibility of the assessments, the cabinet shall disburse the moneys remaining in the fund that were derived from the assessment imposed by KRS 142.318 pursuant to subsection (4) of this section; and
    2. Following disbursement of moneys in the fund pursuant to paragraph (a) of this subsection, the cabinet shall refund any remaining moneys to each ground ambulance provider in proportion to the amount paid by each provider during the most recently completed quarterly payment period.
  6. Notwithstanding KRS 45.229 , moneys in the fund not expended at the close of the fiscal year shall not lapse but shall be carried forward to the next fiscal year.
  7. Any interest earnings of the trust fund shall become part of the fund and shall not lapse.
  8. Moneys transferred to this fund are hereby appropriated for the purposes set forth in this section.

HISTORY: 2020 ch. 110, § 6, effective July 15, 2020.

Kentucky Independence Plus Through Consumer-Directed Services Program

205.5605. Definitions for KRS 205.5605 to 205.5607.

As used in KRS 205.5605 to 205.5607 , unless the context otherwise requires:

  1. “Budget allowance” means the amount of money made available each month to a consumer to purchase covered services and supports. The amount of money shall not exceed the amount that would have been allocated in the traditional Medicaid program for nonresidential and nonmedical services for the consumer;
  2. “Consumer” means a person who has chosen to participate in the program, has met the enrollment requirements, has a person-centered plan, and has received an approved budget allowance;
  3. “Covered services and supports” means those services and supports that are eligible for reimbursement under the program and that are approved for the consumer following a functional needs assessment and pursuant to a person-centered plan;
  4. “Fiscal intermediary” means an entity that is approved by the cabinet to provide service that helps the consumer manage his or her budget allowance, retains the funds, processes any employment and tax information, reviews records to ensure correctness, writes paychecks to providers, and delivers paychecks or electronically transfers funds to the consumer for distribution to providers or caregivers;
  5. “Provider” means:
    1. A person or agency licensed or otherwise permitted to render services eligible for reimbursement under this program for whom the consumer is not the employer of record; or
    2. A consumer-employed caregiver that renders services eligible for reimbursement under this program for whom the consumer is the employer of record;
  6. “Representative” means an uncompensated individual designated by the consumer to assist in managing the consumer’s budget allowance and needed services; and
  7. “Service advisor” means the person who provides technical assistance to a consumer in meeting responsibilities under KRS 205.5605 to 205.5607 .

History. Enact. Acts 2004, ch. 60, § 1, effective July 13, 2004.

Legislative Research Commission Notes.

(7/13/2004). 2004 Ky. Acts ch. 60, sec. 4, provides that 2004 Ky. Acts ch. 60, secs. 1 to 3, codified at KRS 205.5605 to 205.5607 , shall be known as the Kentucky Independence Plus Through Consumer-Directed Services Program Act of 2004.

205.5606. Kentucky Independence Plus Through Consumer-Directed Services Program — Consumer participation — Responsibilities of cabinet and fiscal intermediary — Background screening — Regulations.

  1. The Cabinet for Health and Family Services shall establish the Kentucky Independence Plus Through Consumer-Directed Services Program that shall provide an option within each of the home and community-based services waivers. The option within each of the waiver programs shall be based on the principles of consumer choice and control and that shall be implemented upon federal approval, if required. The program shall allow enrolled persons to assist with the design of their programs and choose their providers of services and to direct the delivery of services to meet their needs.
  2. The cabinet shall establish interagency cooperative agreements with any state agency as needed to implement and administer the program.
  3. A person who is enrolled in a Medicaid home and community-based waiver program may choose to participate in the consumer-directed services program.
  4. A consumer shall be allocated a monthly budget allowance based on the results of his or her assessed functional needs, his or her person-centered plan, and the financial resources of the program. The budget allowance shall be disbursed directly from a cabinet-approved fiscal intermediary on behalf of the consumer. The cabinet shall develop purchasing guidelines to assist each consumer in using the budget allowance to purchase needed, cost-effective services.
  5. A consumer shall use the budget allowance to pay for nonresidential and nonmedical home and community-based services and supports that meet the consumer’s needs and that constitute a cost-effective use of funds.
  6. A consumer shall be allowed to choose providers of services, including but not limited to when and how the services are provided. A provider may include a person otherwise known to the consumer, unless prohibited by federal law.
  7. If the consumer is the employer of record, the consumer’s roles and responsibilities shall include but not be limited to the following:
    1. Developing a job description;
    2. Selecting providers and submitting information for any required background screening;
    3. With assistance of the cabinet or its agents, developing a person-centered plan and communicating needs, preferences, and expectations about services being purchased;
    4. Providing the fiscal intermediary with all information necessary for provider payments and tax requirements; and
    5. Ending the employment of an unsatisfactory provider.
  8. If a consumer is not the employer of record, the consumer’s roles and responsibilities shall include but not be limited to the following:
    1. With assistance of the cabinet or its agents, developing a person-centered plan and communicating needs, preferences, and expectations about services being purchased;
    2. Ending the services of an unsatisfactory provider; and
    3. Providing the fiscal agent with all information necessary for provider payments and tax requirements.
  9. The roles and responsibilities of the cabinet or its agents shall include but not be limited to the following:
    1. Assessing each consumer’s functional needs, helping with the development of a person-centered plan, and providing ongoing assistance with the plan;
    2. Offering the services of service advisors who shall provide training, technical assistance, and support to the consumer as prescribed through an administrative regulation promulgated by the cabinet in accordance with KRS Chapter 13A;
    3. Approving fiscal intermediaries; and
    4. Establishing the minimum qualifications for all providers and being the final arbiter of the fitness of any individual to be a provider.
  10. The fiscal intermediary’s roles and responsibilities shall include but not be limited to the following:
    1. Providing recordkeeping services, including but not limited to maintaining financial records as required through administrative regulation promulgated in accordance with KRS Chapter 13A by the Cabinet for Health and Family Services; and
    2. Retaining the consumer-directed funds, processing employment and tax information, if any, reviewing records to ensure correctness, writing paychecks to providers, and delivering paychecks.
    1. Each person who provides services or supports under this section shall comply on an annual basis with any required background screening. A person shall be excluded from employment upon failure to meet the background screening requirements unless otherwise exempted through an administrative regulation promulgated by the cabinet in accordance with KRS Chapter 13A. (11) (a) Each person who provides services or supports under this section shall comply on an annual basis with any required background screening. A person shall be excluded from employment upon failure to meet the background screening requirements unless otherwise exempted through an administrative regulation promulgated by the cabinet in accordance with KRS Chapter 13A.
    2. The service advisor shall, as appropriate, complete background screening as required by this section.
  11. For purposes of this section, a person who has undergone screening, is qualified for employment under this section, and has not been unemployed for more than one hundred eighty (180) days following the screening shall not be required to be rescreened. Such person must attest under penalty of perjury to not having been convicted of a disqualifying offense since completing the screening.
  12. To implement this section:
    1. The cabinet shall be authorized to promulgate necessary administrative regulations in accordance with KRS Chapter 13A; and
    2. The cabinet shall take all necessary action to ensure state compliance with federal regulations. The cabinet shall apply for any necessary federal waivers or federal waiver amendments to implement the program within three (3) months following July 13, 2004, pending availability of funding.
  13. The cabinet, with consumer input, shall review and assess the implementation of the consumer-directed program. The cabinet shall provide a report that includes the review of the program and recommendations for improvements to the program upon request.

HISTORY: Enact. Acts 2004, ch. 60, § 2, effective July 13, 2004; 2005, ch. 99, § 235, effective June 20, 2005; 2017 ch. 80, § 34, effective June 29, 2017.

Opinions of Attorney General.

Medicaid recipients employing service providers under KRS 205.5606 are exempt from the requirements of KRS Chapter 342 by virtue of KRS 205.5607 , even though such providers might not be considered “domestic servants” under KRS 342.650(1). OAG 2007-01 .

205.5607. Applicability of KRS Chapter 342.

Notwithstanding any provision of law to the contrary, the provisions of KRS Chapter 342 shall not apply to the provision of any service under KRS 205.5606 between the provider and the state or any state agency or political subdivision, the provider and the consumer, or as arranged by the provider and any fiscal intermediary, representative, or service advisor.

History. Enact. Acts 2004, ch. 60, § 3, effective July 13, 2004.

Opinions of Attorney General.

Medicaid recipients employing service providers under KRS 205.5606 are exempt from the requirements of KRS Chapter 342 by virtue of KRS 205.5607 , even though such providers might not be considered “domestic servants” under KRS 342.650(1). OAG 2007-01 .

205.561. Report on the dispensing of prescription medications.

  1. The cabinet shall submit a report to the Governor and the Legislative Research Commission on the dispensing of prescription medications to persons eligible under KRS 205.560 upon request. The report shall also include current data on the most utilized and abused drugs in the Kentucky Medicaid program, a determination of factors causing high drug costs and drug usage rates of Medicaid recipients, and the effectiveness of the drug formulary and prior authorization process in managing drug costs. The report shall be reviewed by the Drug Management Review Advisory Board created under KRS 205.5636 .
  2. A reasonable fee for dispensing prescription medications shall be determined by the Department for Medicaid Services.

HISTORY: Enact. Acts 1984, ch. 404, § 40, effective July 13, 1984; 1998, ch. 561, § 7, effective July 15, 1998; 2000, ch. 521, § 28, effective July 14, 2000; 2002, ch. 8, § 1, effective Feburary 21, 2002; 2004, ch. 108, § 1, effective July 13, 2004; 2018 ch. 112, § 8, effective July 14, 2018.

Kentucky Pharmaceutical Assistance Program

205.5621. Definitions for KRS 205.5621 to 205.5625.

As used in KRS 205.5621 to 205.5625 :

  1. “Asset test” means the asset limits as defined by the Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Pub. L. No. 108-173;
  2. “Commissioner” means the commissioner of the Department for Medicaid Services;
  3. “Contractor” means the person, partnership, or corporate entity that has an approved contract with the department to administer the Kentucky Pharmaceutical Assistance Program;
  4. “Department” means the Department for Medicaid Services;
  5. “Enrollee” means a resident of this state who meets the conditions relating to eligibility for the Kentucky Pharmaceutical Assistance Program and whose application for enrollment has been approved by the department;
  6. “Federal poverty guidelines” means the federal poverty guidelines updated annually in the Federal Register by the United States Department of Health and Human Services under the authority of 42 U.S.C. sec. 9902(2) ;
  7. “Liquid assets” means assets used in the eligibility determination process and defined by the MMA;
  8. “Medicaid dual eligible” or “dual eligible” means a person who is eligible for Medicare and Medicaid as defined by the MMA;
  9. “Medicare Modernization Act” or “MMA” means the Medicare Prescription Drug, Improvement, and Modernization Act of 2003, Pub. L. No. 108-173;
  10. “Medicare Part D prescription drug benefit” means the prescription benefit provided under the MMA, as it may vary from one (1) PDP to another;
  11. “Participating pharmacy” means a pharmacy that elects to participate as a pharmaceutical provider and enters into a participating network agreement with the department;
  12. “Prescription drug plan” or “PDP” means a nongovernmental drug plan under contract with the Centers for Medicare and Medicaid Services to provide prescription benefits under the MMA;
  13. “Program” means the Kentucky Pharmaceutical Assistance Program established in KRS 205.5621 to 205.5625 ; and
  14. “Resident” means a person who has lived within this state for a period of at least ninety (90) consecutive days and who meets the conditions as set forth in KRS 205.5625 . A person shall be considered a resident until the person establishes a permanent residence outside of the state.

History. Enact. Acts 2005, ch. 136, § 6, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). Although 2005 Ky. Acts ch. 136, § 6 had a citation to “Sections 6 to 11 of this Act” in the introductory clause and subsection (13) of this statute, it is clear that “Sections 6 [this statute] to 10 [codified as KRS 205.5625 ] of this Act” was intended, since there was no Section 11 in the enacted version. This manifest clerical or typographical error has been corrected in codification pursuant to KRS 7.136(1)(h).

205.5622. Kentucky Pharmaceutical Assistance Program — Contingency for establishment — Purpose — Eligibility — Enrollment priority.

  1. The Kentucky Pharmaceutical Assistance Program may be established, contingent upon approval from the Centers for Medicare and Medicaid Services.
  2. If established, the program shall be administered by the department. The program shall coordinate prescription drug coverage with the prescription drug benefit under the MMA. A person shall be eligible for drug benefits under this program if the person:
    1. Is a resident who is:
      1. Sixty-five (65) years of age or older; or
      2. Disabled and receiving a Social Security benefit and is enrolled in the Medicare program;
    2. Has a household income at or below one hundred fifty percent (150%) of the federal poverty guidelines;
    3. Meets the asset test;
    4. Is not a member of a Medicare Advantage Plan that provides a prescription drug benefit; and
    5. Is not a member of a retirement plan that is receiving a benefit under the MMA.
    1. The department shall give initial enrollment priority to the Medicaid dual eligible population. A second enrollment priority shall be offered to Medicare eligible applicants who have annual household incomes up to one hundred fifty percent (150%) of the federal poverty guidelines and who meet the asset test. (3) (a) The department shall give initial enrollment priority to the Medicaid dual eligible population. A second enrollment priority shall be offered to Medicare eligible applicants who have annual household incomes up to one hundred fifty percent (150%) of the federal poverty guidelines and who meet the asset test.
    2. Enrollment for Medicaid dual eligible persons shall take effect no later than October 1, 2005. Medicaid dual eligible persons may be automatically enrolled into the program, except that they may choose to opt out of the program. The department shall determine the procedures for automatic enrollment into and election out of the program. Applicants meeting the qualifications set forth in KRS 205.5621 to 205.5625 may begin enrolling into the program at a time and in a manner as determined by the department.
  3. An individual or married couple meeting the eligibility requirements in subsection (1) of this section and not Medicaid dual eligible may apply for enrollment in the program by submitting an application to the department that attests to the age, residence, household income, and liquid assets of the individual or couple.

History. Enact. Acts 2005, ch. 136, § 7, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts ch. 136, § 7 contained two manifest clerical or typographical errors that have been corrected in this statute in codification pursuant to KRS 7.136(1)(h). The first error is that two subsections were numbered as “(2),” the second of which should be “(3),” and subsection (3) in the Act has been corrected as subsection (4) as a result. The second error is that 2005 Ky. Acts ch. 136, § 7 had a citation to “Sections 6 to 11 of this Act” in the subsection erroneously numbered as “(2),” which is now “(3)” in this statute. It is clear that “Sections 6 [codified as KRS 205.5621 ] to 10 [codified as KRS 205.5625 ] of this Act” was intended, since there was no Section 11 in the enacted version.

205.5623. Department’s powers in providing program benefits.

  1. In providing program benefits, the department may:
    1. Enter into a contract with one (1) or more prescription drug plans to coordinate the prescription benefits of the program and the federal law;
    2. Preliminarily enroll beneficiaries into a preferred Medicare Part D plan, with an opt-out provision for individuals. Individuals who opt out of the preferred PDP shall remain enrolled in the program unless they choose to disenroll from the program;
    3. Prescribe the application and enrollment procedures for prospective enrollees;
    4. Select, in accordance with applicable state law, a contractor to assist in the administration of the program or negotiate program administrative functions with a preferred PDP plan;
    5. Determine which drugs will be covered by the plan; and
    6. Negotiate with manufacturers for rebates.
  2. Program benefits shall begin January 1, 2006.
  3. For persons meeting eligibility requirements, the program may pay all or some of the deductibles, coinsurance payments, premiums, and copayments required under the Medicare Part D pharmacy benefit program.

History. Enact. Acts 2005, ch. 136, § 8, effective June 20, 2005.

205.5624. Payment of benefits — Limitations — Qualification for coverage.

  1. Benefits provided under the program shall be limited to the amount of appropriations.
  2. The program shall be the payor of last resort. The program shall cover costs for participants that are not covered by the Medicare Part D program.
  3. Except for dual eligibles during the transition period, during which they are being moved from Medicaid to a Medicare Part D program, applicants who are qualified for coverage of payments for prescription drugs under a public assistance program shall be ineligible for the program for so long as they are so qualified.
  4. Applicants who are qualified for full coverage of payments for prescription drugs under another plan of assistance or insurance shall be ineligible to receive benefits from the program for so long as they are eligible to receive pharmacy benefits from the other plan.
  5. Applicants who are qualified for partial payments for prescription drugs under another insurance plan shall be eligible for the program but may receive reduced assistance from the program.

History. Enact. Acts 2005, ch. 136, § 9, effective June 20, 2005; 2005, ch. 184, § 13, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). This statute was created by 2005 Ky. Acts ch. 136, § 9. Section 13 of another enactment, 2005 Ky. Acts ch. 184, instructed that the word “who” in subsection (2) should be replaced by the word “that.”

205.5625. Residency standards.

  1. A resident in the program shall be a person who has lived within this state for at least ninety (90) consecutive days immediately preceding the date that the person’s application to participate in the program is received by the department. The applicant shall have or intend to have a fixed place of abode in this state, with the present intent of maintaining a permanent home in this state for the indefinite future. The burden of establishing proof of residence within this state is on the applicant. A resident shall also include those persons residing in long-term care institutions located within this state.
  2. The department shall create standards for documenting proof of residence in this state. Documents used to demonstrate proof of residence shall show the applicant’s name and address.

History. Enact. Acts 2005, ch. 136, § 10, effective June 20, 2005.

Pharmaceutical Utilization Review

205.5631. Definitions for KRS 205.5631 to 205.5639.

  1. As used in KRS 205.5631 to 205.5639 , “commissioner” means the commissioner of the Department for Medicaid Services.
  2. As used in KRS 205.5632 , “new drug” means a drug that is approved for marketing by the Federal Food and Drug Administration under a product licensing application, new drug application, or a supplement to a new drug application, and that is a new chemical or molecular entity, but shall not mean the following:
    1. Drugs, classes of drugs, or medical uses identified in 42 U.S.C. sec. 1396 r-8(d)(2), as amended;
    2. Drugs that are considered to be less than effective by the Federal Food and Drug Administration or drugs that are considered to be identical, related, or similar to the less than effective drugs; and
    3. Drugs that are excluded from coverage by the Kentucky Medicaid program due to lack of compliance by the drug manufacturer with federal drug rebate requirements.

History. Enact. Acts 1998, ch. 561, § 1, effective July 15, 1998; 2002, ch. 7, § 2, effective February 21, 2002.

205.5632. Prior authorization requirements — Administrative regulations.

  1. Upon initial coverage by the Kentucky Medicaid program, a new drug shall be exempt from prior authorization unless:
    1. There has been a review of the drug and recommendation regarding prior authorization by the Pharmacy and Therapeutics Advisory Committee as provided under KRS 205.564 and a final determination regarding prior authorization by the secretary of the Cabinet for Health and Family Services; or
    2. The drug is in a specific class of drugs for which the Pharmacy and Therapeutics Advisory Committee has recommended, and the secretary of health and family services has determined, that all new drugs shall require prior authorization upon initial availability, in which case the drug shall require prior authorization and shall be scheduled for review by the Pharmacy and Therapeutics Advisory Committee within seventy-five (75) days.
  2. The Cabinet for Health and Family Services shall promulgate an administrative regulation in accordance with KRS Chapter 13A that describes the process by which drugs under this section shall be determined to require prior authorization.

History. Enact. Acts 1998, ch. 561, § 2, effective July 15, 1998; 2000, ch. 521, § 26, effective July 14, 2000; 2002, ch. 7, § 3, effective February 21, 2002; 2005, ch. 99, § 236, effective June 20, 2005.

205.5634. Coordination of use of utilization data — Identification of appropriate use of pharmaceuticals — Determination of need for educational intervention.

  1. The Drug Management Review Advisory Board shall coordinate the use of utilization data to identify appropriate use of pharmaceuticals and determine any need for educational interventions. Prospective drug utilization review and retrospective drug utilization review measures shall be utilized to monitor the success of the interventions. Interventions shall be evaluated for a period of not less than six (6) months.
  2. Implementation and performance of the duties of this section and KRS 205.5631 , 205.5632 , and 205.5636 and any drug review shall be performed by the staff of the Cabinet for Health and Family Services, or its contractors.

History. Enact. Acts 1998, ch. 561, § 3, effective July 15, 1998; 2002, ch. 7, § 4, effective February 21, 2002; 2005, ch. 99, § 237, effective June 20, 2005.

205.5636. Drug Management Review Advisory Board — Membership — Officers — Meetings.

  1. A Drug Management Review Advisory Board is hereby established and attached to the Cabinet for Health and Family Services for administrative purposes. The board shall consist of sixteen (16) members to be appointed by the secretary of the Cabinet for Health and Family Services and shall be constituted as follows:
    1. Five (5) members shall be physicians, one (1) each from the fields of family medicine, internal medicine, pediatrics, and geriatrics. The fifth physician appointed shall be from any other recognized field of medicine. Two (2) of the above indicated physicians shall be representatives of the two (2) current medical schools in the Commonwealth, the University of Kentucky and the University of Louisville Schools of Medicine;
    2. Five (5) members shall be pharmacists, at least one (1) of whom shall be designated as the representative of the University of Kentucky College of Pharmacy;
    3. Two (2) members shall be advanced practice registered nurses;
    4. One (1) member shall be an optometrist and one (1) member shall be a physician’s assistant;
    5. One (1) member shall be a representative of the Cabinet for Health and Family Services designated to serve on an ex officio basis; and
    6. One (1) nonvoting member shall be a member of the pharmaceutical manufacturing industry.
    1. The physician members of the board shall be appointed from a list of three (3) qualified physicians for each vacancy submitted by the Kentucky Medical Association. (2) (a) The physician members of the board shall be appointed from a list of three (3) qualified physicians for each vacancy submitted by the Kentucky Medical Association.
    2. The pharmacist members of the board shall be appointed from a list of three (3) qualified pharmacists for each vacancy submitted by the Kentucky Pharmacy Association.
    3. The advanced practice registered nurse members of the board shall be appointed from a list of three (3) for each vacancy, submitted by the Kentucky Nurses Association.
    4. The optometrist shall be appointed from a list of three (3) qualified optometrists submitted by the Kentucky Optometric Association.
    5. The physician’s assistant shall be appointed from a list of three (3) qualified physicians assistants submitted by the Kentucky Board of Medical Licensure.
  2. The secretary may appoint one (1) nonvoting industry representative to be selected from a list of three (3) members nominated from the Pharmaceutical Research and Manufacturers of America. The secretary may request additional names for appointments and current members may be considered for reappointment. All members of the board shall be licensed and actively practicing in their respective professions in the Commonwealth and shall have knowledge or expertise in at least one (1) of the following areas:
    1. The clinically appropriate prescribing, utilization, and evaluation of pharmaceuticals;
    2. The clinically appropriate dispensing and monitoring of pharmaceuticals;
    3. Drug utilization review, pharmacoeconomic and pharmacoepidemiological evaluation and intervention, pharmacotherapeutic intervention methods in disease management using treatment algorithms, critical paths, and other measures that have been well defined and validated; and
    4. Medical quality assurance.
  3. Three (3) of the initially appointed physician members, three (3) of the initially appointed pharmacist members, and one (1) of the initially appointed advanced practice registered nurses shall be appointed for a term of one (1) year. The remaining initial members shall be appointed for a term of two (2) years. Subsequent appointments shall be for a term of two (2) years. Members shall serve for no more than three (3) consecutive terms. The board shall designate a chair and vice chair. A member shall serve no more than two (2) consecutive terms as chair.
  4. The first meeting of the board shall take place within thirty (30) days of the appointment of all the members of the board.
  5. The board shall meet at least quarterly, or upon the call of the chair or the commissioner. A majority of the voting members of the board shall constitute a quorum. All meetings shall be conducted in accordance with the provisions of the Open Meetings Act, KRS 61.805 to 61.850 , and all balloting shall take place by roll call vote.
  6. Actions of the board shall require a majority vote of the members present or participating through distance communication technology. No member may vote on a matter where a conflict of interest may exist. The chair may vote on any matter before the board unless a conflict of interest exists.

History. Enact. Acts 1998, ch. 561, § 4, effective July 15, 1998; 2005, ch. 99, § 238, effective June 20, 2005; 2010, ch. 85, § 35, effective July 15, 2010.

205.5638. Duties and responsibilities of board.

  1. The Drug Management Review Advisory Board shall have at least the following duties and responsibilities:
    1. Review and make recommendations to the commissioner or designee on predetermined prospective drug use review standards submitted to the board by the Department for Medicaid Services or its contractor;
    2. Evaluate the use of the predetermined prospective drug use review standards and make recommendations to the commissioner or the commissioner’s designee concerning modification or elimination of existing standards and the need for additional standards;
    3. Make recommendations to the commissioner or the commissioner’s designee concerning guidelines governing written predetermined standards that pharmacies must use in conducting prospective drug use review if they do not use approved software;
    4. Oversee the retrospective drug use review contract and incorporate the results into predetermined retrospective drug use review standards;
    5. Review and make recommendations to the commissioner or the commissioner’s designee on predetermined retrospective drug use standards submitted to the board by the Department for Medicaid Services;
    6. Make recommendations to the commissioner or the commissioner’s designee concerning the modification or elimination of existing predetermined retrospective drug use review standards and the need for additional standards;
    7. Identify and develop educational topics on common drug therapy problems if needed to improve prescribing or dispensing practices of practitioners;
    8. Make recommendations to the commissioner or the commissioner’s designee concerning which mix of interventions would most effectively lead to an improvement in the quality of drug therapy;
    9. Conduct periodic reevaluations to determine the effectiveness of educational effort and, if necessary, modify the interventions;
    10. Recommend standards for the identification of suspected fraud and abuse;
    11. Prepare and submit to the commissioner an annual drug use review report that contains the following information:
      1. A description of the nature and scope of the retrospective drug utilization program including the identity of the contractor, the frequency of screening of claims data and the criteria and standards used, along with new or revised copies of the clinical criteria, and in subsequent years, a list of revised criteria and deleted criteria;
      2. A summary of nonpatient and provider specific educational activities including information on the use of each type of patient and provider specific intervention that indicates the guidelines for use and frequency of use by type of intervention and the effectiveness of each type of intervention on changes in prescribing or dispensing practices;
      3. An evaluation of the adequacy of prospective drug use review database software; and
      4. Details on policy guidelines adopted by the board pertaining to written criteria that pharmacies may use if they do not use a computer prospective drug utilization review database; and
    12. In advising the department, the board may consider the effectiveness of all interventions used to manage a particular disease over time, the stage and intensity of the disease, and the economic, clinical, and patient-prospective outcomes, including quality of life.
  2. The board shall function in accordance with the Kentucky Open Meetings Law and the Kentucky Open Records Act. The board may designate subcommittees to address specific issues and to report findings to the board. In conducting its business, the board shall utilize distance communication technologies whenever possible.
  3. Clerical and administrative support shall be provided the board through the Cabinet for Health and Family Services or by contract.

History. Enact. Acts 1998, ch. 561, § 5, effective July 15, 1998; 2002, ch. 7, § 5, effective February 21, 2002; 2005, ch. 99, § 239, effective June 20, 2005.

Research References and Practice Aids

Cross-References.

Open Meeting Law, KRS. 61.800 et seq.

Open Records Act, KRS 61.870 et seq.

205.5639. Effect of board recommendations — Written exceptions — Final decision — Appeal.

  1. Any recommendation by the board is advisory to the commissioner.
  2. Any interested party may request an opportunity to make a presentation or argument to the board on any item under consideration by the board. The Cabinet for Health and Family Services shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, establish requirements for presentations before the board.
  3. Any interested party who is aggrieved by a recommendation of the board to the commissioner or his designee may submit written exceptions consisting of only new information that was not available to be presented at the time of the board’s consideration of the matter. These written exceptions shall be submitted within ten (10) days of the recommendation. After the time for filing exceptions has expired, the commissioner or the commissioner’s designee shall consider all exceptions filed in a timely manner prior to acting upon the recommendation of the board. If the deadline for filing written exceptions falls on a Saturday, Sunday, or a state holiday, the exceptions may be filed the following day.
  4. In making a final decision on any recommendation of the board, the commissioner may seek additional and clarifying information from any source. Any additional information submitted to the commissioner shall be made a part of the administrative record supporting the final decision.
  5. An appeal from a decision of the commissioner may be made in accordance with KRS Chapter 13B by a manufacturer of the product. Unless held in abeyance or otherwise addressed by the hearing officer, the decision of the commissioner stands until final disposition of the issue.

History. Enact. Acts 1998, ch. 561, § 6, effective July 15, 1998; 2005, ch. 99, § 240, effective June 20, 2005.

205.564. Pharmacy and Therapeutics Advisory Committee — Membership — Duties — Information posted on Web site — Recommendations — Presentations by interested parties — Appeals — Administrative regulations.

  1. The Pharmacy and Therapeutics Advisory Committee is established and attached to the Department for Medicaid Services for administrative purposes.
  2. The committee shall have fifteen (15) members, as follows:
    1. Thirteen (13) voting members who shall be physicians currently participating in the Medicaid program who may legally prescribe a broad range of scheduled and nonscheduled drugs, as categorized by the U.S. Drug Enforcement Administration, or pharmacists who dispense prescriptions to Medicaid recipients, as follows:
      1. Three (3) licensed, practicing family practice physicians;
      2. Two (2) licensed, practicing physicians who are pediatricians;
      3. One (1) licensed, practicing physician who is an obstetrician/gynecologist or gynecologist;
      4. One (1) licensed, practicing internal medicine physician who is a primary care provider;
      5. One (1) licensed, practicing physician from any medical specialty;
      6. Two (2) licensed, practicing physicians who are psychiatrists, one (1) who is a practicing psychiatrist in a community mental health center and one (1) from either the School of Medicine, University of Louisville, or the College of Medicine, University of Kentucky; and
      7. Three (3) licensed, practicing pharmacists; and
    2. Two (2) nonvoting members, as follows:
      1. The medical director of the department; and
      2. A representative of the department’s pharmacy program, as designated by the commissioner.
  3. One (1) voting committee member shall be appointed, and may be reappointed, by the Governor from a list of three (3) nominees received from the President of the Senate, and one (1) voting committee member shall be appointed, and may be reappointed, by the Governor from a list of three (3) nominees received from the Speaker of the House of Representatives. The remaining eleven (11) voting committee members shall be appointed, and may be reappointed, by the Governor from a list of nominees submitted by the department. Terms of the voting committee members shall be three (3) years with no members serving more than two (2) consecutive terms, except that a member may continue to serve his or her term until a successor is appointed.
  4. The Pharmacy and Therapeutics Advisory Committee shall:
    1. Act in an advisory capacity to the Governor, the secretary of the Cabinet for Health and Family Services, and the Medicaid commissioner on the development and administration of an outpatient drug formulary;
    2. Perform drug reviews and make recommendations to the commissioner regarding specific drugs or drug classes to be placed on prior authorization or otherwise restricted, as determined through a process established by the cabinet;
    3. Provide for an appeals process to be utilized by a person or entity that disagrees with recommendations of the committee;
    4. Establish bylaws or rules for the conduct of committee meetings; and
    5. Function in accordance with the Kentucky Open Meetings Law and the Kentucky Open Records Law.
  5. Voting members of the committee shall elect a chair and vice chair by majority vote. A quorum shall consist of eight (8) voting members of the committee.
  6. The committee shall meet every other month for a total of at least six (6) times per calendar year or upon the call of the chair, the commissioner, the secretary of the Cabinet for Health and Family Services, or the Governor. The Department for Medicaid Services shall post the agenda on its Web site no later than fourteen (14) days prior to the date of a regularly scheduled meeting and no later than seventy-two (72) hours prior to the date of a specially called meeting. Options, including any recommendations, by the department for drug review or drug review placement shall be posted on the department’s Web site no later than seven (7) days prior to the date of the next regularly scheduled meeting and as soon as practicable prior to the date of the next specially called meeting.
  7. Members of the committee shall receive no compensation for service, but shall receive necessary and actual travel expenses associated with attending meetings.
  8. Any recommendation of the committee to the commissioner shall be posted to the Web site of the Department for Medicaid Services within seven (7) days of the date of the meeting at which the recommendation was made.
  9. A recommendation of the committee shall be submitted to the commissioner for a final determination. If the commissioner does not accept the recommendation of the committee, the commissioner shall present the basis for the final determination at the next scheduled meeting of the committee. The commissioner shall act on the committee’s recommendation within thirty (30) days of the date that the recommendation was posted on the Web site.
  10. Any interested party may request and may be permitted to make a presentation to the board on any item under consideration by the board. The Cabinet for Health and Family Services shall, by administrative regulation promulgated under KRS Chapter 13A, establish requirements for any presentation made to the board.
  11. The commissioner’s final determination shall be posted on the Web site of the Department for Medicaid Services.
  12. Any appeal from a decision of the commissioner shall be made in accordance with KRS Chapter 13B, except that the time for filing an appeal shall be within thirty (30) days of the date of the posting of the commissioner’s final determination on the Web site of the Department for Medicaid Services.
  13. The Cabinet for Health and Family Services shall promulgate an administrative regulation in accordance with KRS Chapter 13A to implement the provisions of this section.

History. Enact. Acts 2002, ch. 7, § 1, effective February 21, 2002; 2005, ch. 99, § 241, effective June 20, 2005; 2007, ch. 33, § 1, effective June 26, 2007; 2012, ch. 158, § 27, effective July 12, 2012.

Research References and Practice Aids

Cross-References.

Open Meeting Law, KRS 61.800 et seq.

Open Records Act, KRS 61.870 et seq.

205.5641. Prior authorization not required for medication-assisted therapies in pilot project — No restrictions on participating pharmacies and pharmacists.

  1. A prior authorization shall not be required for noncontrolled medication-assisted therapies for community pharmacies as part of the pilot project KRS 194A.800 .
  2. A pharmacy or pharmacist participating in the pilot project established pursuant to KRS 194A.800 shall not be barred, excluded, or have any other mandates, conditions, or restrictions placed on it by any Medicaid managed care organization, or its contracted pharmacy benefit manager, for participation in the pilot program established in KRS 194A.800 or from dispensing medications used in the medication-assisted treatment program.

HISTORY: 2018 ch. 133, § 2, effective July 14, 2018.

Miscellaneous Health Coverage Provisions

205.565. Cabinet to recognize unique costs of pediatric teaching hospital.

  1. For the purposes of this section, a “pediatric teaching hospital” is defined as an acute-care hospital as licensed under KRS Chapter 216B and which has designated and operates no less than one hundred fifty (150) beds for pediatric services and which is either operated by one (1) of the Commonwealth’s schools of medicine and which has a pediatric teaching program or which has an affiliation agreement for pediatric services, teaching, and research with a school of medicine for the Commonwealth.
  2. For purposes of inpatient hospital reimbursement under the Kentucky Medical Assistance Program, the Cabinet for Health and Family Services shall recognize the unique costs of any pediatric teaching hospital.

History. Enact. Acts 1986, ch. 246, § 1, effective July 15, 1986; 1998, ch. 426, § 200, effective July 15, 1998; 2005, ch. 99, § 242, effective June 20, 2005.

205.566. Electronic medical record database.

    1. To the extent allowable by federal law, any Medicaid-participating health care provider who provides services to any medical assistance recipient may, at the discretion of the health care provider, maintain in an electronic medical record database the medical record for each medical assistance recipient receiving services by the health care provider. (1) (a) To the extent allowable by federal law, any Medicaid-participating health care provider who provides services to any medical assistance recipient may, at the discretion of the health care provider, maintain in an electronic medical record database the medical record for each medical assistance recipient receiving services by the health care provider.
    2. An electronic signature shall be accepted for any medical record maintained under paragraph (a) of this subsection.
  1. Any electronic medical record database maintained under subsection (1) of this section shall be capable of printing a complete written medical record of each medical assistance recipient.
  2. Any provider who maintains an electronic medical record database under subsection (1) of this section shall:
    1. Notify the department of the existence of the electronic medical record database;
    2. Certify that the electronic medical record database will be confidential and that patient privacy will be protected;
    3. Institute best practices to prevent access to the medical record database by any person who would not otherwise be authorized to review or obtain a written version of the medical records; and
    4. Institute the best practices to assure the security of the database.

History. Enact. Acts 2002, ch. 363, § 1, effective July 15, 2002.

205.570. Respective functions of departments of economic security and health — Staff assistance for council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VII, §§ 8, 10; 1960 (Ex. Sess.), ch. 2, § 4; 1963 (2nd Ex. Sess.), ch. 2, § 5; 1972, ch. 256, § 17) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

205.575. Hospital indigent care assurance program. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1990, Ch. 482, § 27, effective July 13, 1990, 1991 (1st Ex. Sess.), Ch. 18, § 1, effective March 4, 1991) was repealed by Acts 1993 (2nd Ex. Sess.), Ch. 2, § 35, effective June 30, 1993. For present law see KRS 205.640 .

205.576. Assessment of cost-based providers — Use of assessments — Return to providers — Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1991 (1st Ex. Sess.), ch. 18, § 2) was repealed by Acts 1993 (2nd Ex. Sess.), ch. 2, § 34. For present law see 142.301 to 142.363 .

205.577. Assessment of medical providers — Use of assessments — Return to providers — Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1991 (1st Ex. Sess.), ch. 18, § 3) was repealed by Acts 1993 (2nd Ex. Sess.), ch. 2, § 34. For present law see 142.301 to 142.363 .

205.578. Legislative review of medicaid assessment improvement trust fund expenditure and transfers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1991 (1st Ex. Sess.), Ch. 18, § 4, effective March 4, 1991) was repealed by Acts 1993, (2nd Ex. Sess.), Ch. 2, § 35, effective June 30, 1993.

205.580. Respective functions of departments of economic security and health — Staff assistance for council. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VII, §§ 8, 10; 1960 (Ex. Sess.), ch. 2, § 4; 1963 (2nd Ex. Sess.), ch. 2, § 5; 1972, ch. 256, § 17) was repealed by Acts 1974, ch. 74, Art. VI, § 108.

205.590. Technical advisory committees.

  1. The following technical advisory committees shall be established for the purpose of acting in an advisory capacity to the Advisory Council for Medical Assistance with respect to the administration of the medical assistance program and in performing the function of peer review:
    1. A Technical Advisory Committee on Physician Services consisting of five (5) physicians appointed by the council of the Kentucky State Medical Association;
    2. A Technical Advisory Committee on Hospital Care consisting of five (5) hospital administrators appointed by the board of trustees of the Kentucky Hospital Association;
    3. A Technical Advisory Committee on Dental Care consisting of five (5) dentists appointed by the Kentucky Dental Association;
    4. A Technical Advisory Committee on Nursing Service consisting of five (5) nurses appointed by the board of directors of the Kentucky State Association of Registered Nurses;
    5. A Technical Advisory Committee on Nursing Home Care consisting of six (6) members of which five (5) members shall be appointed by the Kentucky Association of Health Care Facilities, and one (1) member shall be appointed by the Kentucky Association of Nonprofit Homes and Services for the Aging, Inc.;
    6. A Technical Advisory Committee on Optometric Care consisting of five (5) members appointed by the Kentucky Optometric Association;
    7. A Technical Advisory Committee on Podiatric Care consisting of five (5) podiatrists appointed by the Kentucky Podiatry Association;
    8. A Technical Advisory Committee on Primary Care consisting of five (5) primary care providers, two (2) of whom shall represent licensed health maintenance organizations, appointed by the Governor, until such time as an association of primary care providers is established, whereafter the association shall appoint the members;
    9. A Technical Advisory Committee on Home Health Care consisting of five (5) members appointed by the board of directors of the Kentucky Home Health Association;
    10. A Technical Advisory Committee on Consumer Rights and Client Needs consisting of seven (7) members, with one (1) member to be appointed by each of the following organizations: the American Association of Retired Persons Kentucky, the Family Resource Youth Services Coalition of Kentucky, the Kentucky Association of Community Health Workers, the Kentucky Legal Services Corporation, the Arc of Kentucky, the Department of Public Advocacy, and the National Association of Social Workers-Kentucky Chapter;
    11. A Technical Advisory Committee on Behavioral Health consisting of seven (7) members, with one (1) member to be appointed by each of the following organizations: the Kentucky Mental Health Coalition, the Kentucky Association of Regional Programs, the National Alliance on Mental Illness (NAMI) Kentucky, a statewide mental health consumer organization, the People Advocating Recovery (PAR), the Brain Injury Association of America-Kentucky Chapter, and the Kentucky Brain Injury Alliance;
    12. A Technical Advisory Committee on Children’s Health consisting of ten (10) members, with one (1) member to be appointed by each of the following organizations: the Kentucky Chapter of the American Academy of Pediatrics, the Kentucky PTA, the Kentucky Psychological Association, the Kentucky School Nurses Association, the Kentucky Association for Early Childhood Education, the Family Resource and Youth Services Coalition of Kentucky, the Kentucky Youth Advocates, the Kentucky Association of Hospice and Palliative Care, a parent of a child enrolled in Medicaid or the Kentucky Children’s Health Insurance Program appointed by the Kentucky Head Start Association, and a pediatric dentist appointed by the Kentucky Dental Association;
    13. A Technical Advisory Committee on Intellectual and Developmental Disabilities consisting of nine (9) members, one (1) of whom shall be a consumer who participates in a nonresidential community Medicaid waiver program, one (1) of whom shall be a consumer who participates in a residential community Medicaid waiver program, one (1) of whom shall be a consumer representative of a family member who participates in a community Medicaid waiver program, and one (1) of whom shall be a consumer representative of a family member who resides in an ICF/ID facility that accepts Medicaid payments, all of whom shall be appointed by the Governor; one (1) member shall be appointed by the Arc of Kentucky; one (1) member shall be appointed by the Commonwealth Council on Developmental Disabilities; one (1) member shall be appointed by the Kentucky Association of Homes and Services for the Aging; and two (2) members shall be appointed by the Kentucky Association of Private Providers, one (1) of whom shall be a nonprofit provider and one (1) of whom shall be a for-profit provider;
    14. A Technical Advisory Committee on Therapy Services consisting of six (6) members, two (2) of whom shall be occupational therapists and shall be appointed by the Kentucky Occupational Therapists Association, two (2) of whom shall be physical therapists and shall be appointed by the Kentucky Physical Therapy Association, and two (2) of whom shall be speech therapists and shall be appointed by the Kentucky Speech-Language-Hearing Association;
    15. A Technical Advisory Committee on Pharmacy consisting of seven (7) members, two (2) of whom shall be Kentucky licensed pharmacists who own fewer than ten (10) pharmacies in the Commonwealth and shall be appointed by the Kentucky Independent Pharmacy Alliance, two (2) of whom shall be Kentucky licensed pharmacists and shall be appointed by the Kentucky Pharmacy Association, and one (1) member to be appointed by each of the following organizations: the Kentucky Hospital Association, the Kentucky Primary Care Association, and the National Association of Chain Drug Stores; and
    16. A Technical Advisory Committee on Persons Returning to Society from Incarceration consisting of twelve (12) members of whom:
      1. One (1) shall be appointed by each of the following organizations: the Kentucky Jailers Association, the Kentucky Medical Association, the Kentucky Association of Nurse Practitioners and Nurse-Midwives, Community Action of Kentucky, the Homeless and Housing Coalition of Kentucky, the Kentucky Office of Drug Control Policy, a Kentucky civil legal aid program, the Kentucky Department of Corrections, the Kentucky Department of Public Advocacy, the Kentucky Association of Regional Programs, and the Kentucky Administrative Office of the Courts; and
      2. One (1) formerly incarcerated individual who is a current or former Medicaid recipient shall be appointed by Mental Health America of Kentucky.
  2. The members of the technical advisory committees shall serve until their successors are appointed and qualified.
  3. Each appointive member of a committee shall serve without compensation but shall be entitled to reimbursement for actual and necessary expenses in carrying out their duties with reimbursement for expenses being made in accordance with state regulations relating to travel reimbursement.

History. Enact. Acts 1960, ch. 68, Art. VII, § 11; 1970, ch. 78, § 4; 1972, ch. 256, § 18; 1974, ch. 225, § 4; 1976, ch. 119, § 2; 1978, ch. 36, § 2, effective June 17, 1978; 1982, ch. 248, § 5, effective July 15, 1982; 1984, ch. 91, § 2, effective July 13, 1984; 1992, ch. 259, § 2, effective July 14, 1992; 2011, ch. 55, § 1, effective June 8, 2011; 2012, ch. 146, § 63, effective July 12, 2012; 2012, ch. 158, § 28, effective July 12, 2012; 2014, ch. 11, § 1, effective July 15, 2014; 2020 ch. 70, § 7, effective March 27, 2020; 2021 ch. 11, § 2.

Opinions of Attorney General.

This section does not authorize the establishment of a technical advisory committee composed of podiatrists or representing the Kentucky podiatry association. OAG 67-179 .

205.591. “Fair market value” of applicant’s property if used to determine eligibility.

If the Department for Medicaid Services considers the fair market value of an applicant’s property for purposes of determining eligibility, “fair market value” means:

  1. An estimate of the value of an asset if sold at the prevailing price at the time it was actually transferred, based on:
    1. The most recent certified assessed value of the property as listed by the local property valuation administrator; or
    2. The professional opinion of an independent, licensed appraiser; or
  2. The price brought on the property at a public auction conducted by a licensed auctioneer.

HISTORY: 2017 ch. 138, § 3, effective June 29, 2017.

205.592. Eligibility of pregnant women and children up to age 1 to participate in Kentucky Medical Assistance Program.

Beginning October 1, 1990, pregnant women and children up to age one (1) shall be eligible for participation in the Kentucky Medical Assistance Program if:

  1. They have family income up to but not exceeding one hundred and eighty-five percent (185%) of the nonfarm income official poverty guidelines as promulgated by the Department of Health and Human Services of the United States as revised annually; and
  2. They are otherwise eligible for the program.

History. Enact. Acts 1990, ch. 482, § 9, effective July 13, 1990.

205.593. Prohibition against health insurer’s considering individual’s eligibility for or receipt of medical assistance in enrollment or payment of benefits — Application of claims payment requirements to Medicaid services.

  1. In enrolling an individual or making any payments for benefits to the individual or on the individual’s behalf, health insurers are prohibited from taking into account that the individual is eligible for or is provided medical assistance.
  2. KRS 304.17A-700 to 304.17A-730 and KRS 205.593 , 304.14-135 , and 304.99-123 apply to any provider partnership, health maintenance organization, or other managed care organization under contract with the Department for Medicaid Services to manage care and process health care claims for services delivered to Medicaid recipients covered under Medicaid managed care.

History. Enact. Acts 1994, ch. 366, § 1, effective July 15, 1994; 2000, ch. 436, § 19, effective July 14, 2000.

Opinions of Attorney General.

The Office of Insurance may not limit the applicability of the provisions of KRS 304.17A-700 to 304.17A-730 , KRS 205.593 , KRS 304.14-135 , and KRS 304.99-123 (“Prompt Pay Law”) only to health care providers that participate with or have contracts with a particular insurer. The “Prompt Pay Law” requires an insurer to pay or deny a “clean claim” within the allotted time without reference to the provider’s contractual relationship with the insurer. OAG 2004-11 .

205.594. Health coverage for child under medical child support order — Duties of health insurers.

As used in KRS 205.593 to 205.598 , the term “insurer” includes a group health plan, as defined in Section 607(1) of the Employment Retirement Income Security Act of 1974, a health maintenance organization, and an entity offering a health service benefit plan.

  1. Health insurers shall be prohibited from denying enrollment of a child under the health coverage of the child’s parent on the grounds that:
    1. The child was born out of wedlock;
    2. The child is not claimed as a dependent on the parent’s federal income tax return; or
    3. The child does not reside with the parent or in the health insurer’s area.
  2. If a parent is required by a court or administrative order to provide health coverage for a child and the parent is eligible for family health coverage through an insurer, the insurer shall be required:
    1. To permit the parent to enroll under the family coverage any child who is otherwise eligible for the coverage without regard to any enrollment season restrictions;
    2. If a parent is enrolled but fails to make application to obtain coverage for the child, to enroll the child under family coverage upon application by the child’s other parent, custodial parent, or by the Cabinet for Health and Family Services; and
    3. Not to disenroll, or eliminate coverage of, a child unless the insurer is provided satisfactory written evidence that:
      1. A court or administrative order requiring coverage of the child is no longer in effect; or
      2. The child is or will be enrolled in comparable health coverage through another insurer which will take effect not later than the effective date of the disenrollment.

History. Enact. Acts 1994, ch. 366, § 2, effective July 15, 1994; 1998, ch. 426, § 201, effective July 15, 1998; 2005, ch. 99, § 243, effective June 20, 2005.

Compiler’s Notes.

Section 607(1) of the Employment Retirement Income Security Act of 1974 (ERISA), referred to in the introductory paragraph, is compiled as 29 USCS § 1167(1).

205.595. Health coverage for child under medical child support order — Duties of employers.

If a parent is required by a court or administrative order to provide health coverage for a child and the parent is eligible for family health coverage through an employer doing business in the Commonwealth, the employer is required:

  1. To permit the parent to enroll under family coverage any child who is otherwise eligible for the coverage, without regard to any enrollment season restrictions;
  2. In the case where the noncustodial parent provides health care coverage and changes employment, to accept a notice of transfer of the provision to enroll from the Cabinet for Health and Family Services, the custodial parent or the noncustodial parent, and to enroll the child in the noncustodial parent’s health care coverage, unless the noncustodial parent contests the notice pursuant to KRS Chapter 13B;
  3. If a parent is enrolled but fails to make application to obtain coverage for the child, to enroll the child under family coverage upon application by the child’s other parent, custodial parent, or by the Cabinet for Health and Family Services;
  4. Not to disenroll or eliminate coverage of a child unless:
    1. The employer is provided satisfactory written evidence that a court or administrative order requiring coverage of the child is no longer in effect, or that the child is or will be enrolled in comparable health coverage which will take effect no later than the effective date of the disenrollment; or
    2. The employer has eliminated family health coverage for all of its employees; and
  5. To withhold from the employee’s compensation the employee’s share, if any, of premiums for health coverage, except that the amount withheld may not exceed the maximum amount permitted to be withheld under Section 303(b) of the Federal Consumer Credit Protection Act, and to pay the share of premiums to the insurer.

History. Enact. Acts 1994, ch. 366, § 3, effective July 15, 1994; 1998, ch. 255, § 3, effective July 15, 1998; 1998, ch. 426, § 202, effective July 15, 1998; 2005, ch. 99, § 244, effective June 20, 2005.

Compiler’s Notes.

Section 303(b) of the Federal Consumer Credit Protection Act, referred to in subsection (5), is compiled as 15 USCS § 1673(b).

205.596. Prohibition against health insurer’s imposing requirements on state agency assigned rights of individual eligible for medical assistance that are different from those applicable to agent or assignee of other covered individual.

Health insurers are prohibited from imposing requirements on a state agency which has been assigned the rights of an individual eligible for medical assistance and covered for health benefits from the insurer that are different from requirements applicable to an agent or assignee of any other individual covered.

History. Enact. Acts 1994, ch. 366, § 4, effective July 15, 1994.

205.597. Health coverage through insurer of noncustodial parent of child under medical child support order.

If a child has health coverage through the insurer of a noncustodial parent, the insurer is required:

  1. To provide information to the custodial parent as necessary for the child to obtain benefits for the coverage;
  2. To permit the custodial parent or provider, with the custodial parent’s approval, to submit claims for covered services without the approval of the noncustodial parent; and
  3. To make payment on claims submitted in accordance with subsection (2) of this section directly to the custodial parent, the provider, or the Medical Assistance Program.

History. Enact. Acts 1994, ch. 366, § 5, effective July 15, 1994.

205.598. Withholding of income and state tax refund of person required by court to provide cost of child’s health service — Priority of claims for child support over costs of reimbursement of child medical support.

  1. The Cabinet for Health and Family Services shall withhold the wages, salary, or other employment income of, and require withholding amounts from state tax refunds to, any person who:
    1. Is required by court or administrative order to provide coverage of the costs of health services to a child who is eligible for medical assistance;
    2. Has received payment from a third party for the costs of the services for the child; but
    3. Has not used these payments to reimburse either the other parent or guardian of the child, or the provider of the services.
  2. Any claims for current or past-due child support income shall take priority over the claims for the costs of reimbursing the Medical Assistance Program for child medical support.

History. Enact. Acts 1994, ch. 366, § 6, effective July 15, 1994; 1998, ch. 426, § 203, effective July 15, 1998; 2005, ch. 99, § 245, effective June 20, 2005.

205.600. County medical review committees. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VII, § 12; 1970, ch. 78, § 5; 1974, ch. 74, Art. VI, § 107(2)) was repealed by Acts 1982, ch. 248, § 7, effective July 15, 1982.

205.604. Authority of counties and cities to contract with hospitals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1963 (2nd Ex. Sess.), ch. 2, § 7) was repealed by Acts 1972, ch. 256, § 20.

205.610. Dedication of federal-state medical care fund. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 68, Art. VII, § 13; 1960 (Ex. Sess.), ch. 2, § 5) was repealed by Acts 1972, ch. 256, § 20.

205.615. Use of allowable Medicaid funding for trauma care costs.

It shall be a priority of the Department for Medicaid Services to use any additional funding allocated to the Medicaid program to provide annual supplemental payments to increase the percentage of cost covered by Medicaid reimbursement with the goal of covering full allowable costs for covered services provided to Medicaid patients by acute care hospitals that are verified as trauma centers under KRS 211.490 to 211.496 and to physicians who provide care to patients presenting in an emergency room of a verified trauma center.

History. Enact. Acts 2008, ch. 25, § 5, effective July 15, 2008.

205.617. Expansion of Medicaid coverage for screening and treatment of breast or cervical cancer or precancerous conditions — Short title.

  1. The Department for Medicaid Services shall expand Medicaid coverage to offer benefits to uninsured women who:
    1. Are under age sixty-five (65);
    2. Are not otherwise eligible for Medicaid;
    3. Have been screened for breast or cervical cancer or precancerous conditions, or any combination of these conditions, through the Centers for Disease Control and Prevention’s National Breast and Cervical Cancer Early Detection Program or through the Department for Public Health’s Women’s Cancer Screening Program;
    4. Are in need of treatment for breast or cervical cancer or precancerous conditions, or any combination of these conditions, as a result of a diagnosis of those conditions in a program identified in paragraph (c) of this subsection;
    5. Are not otherwise covered under creditable coverage, as defined in 42 U.S.C. sec. 300 gg(c); and
    6. Meet any other eligibility-required criteria established under the Federal Breast and Cervical Cancer Prevention and Treatment Act of 2000.
  2. No later than three (3) months after April 10, 2008, the department shall submit to the secretary of the United States Department for Health and Human Services a request for approval of a plan amendment to extend coverage as authorized under subsection (1) of this section.
  3. Within three (3) months following receipt of federal approval of a plan amendment, the department shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement the requirements of this section. If federal approval has not been received within six (6) months after April 10, 2008, for the plan amendment, the department shall report the status of the request for approval and the steps being taken by the department to secure federal approval.
  4. Medical assistance provided under the plan amendment shall be limited to medical assistance provided during the period in which a woman who meets the requirements of subsection (1) of this section requires treatment for breast or cervical cancer or precancerous conditions, or any combination of these conditions. In the case of any covered woman whose medical assistance has been terminated due to a cure or remission of a condition diagnosed under subsection (1)(c) of this section, medical assistance shall be reinstituted for any subsequent periods of recurrence or metastasis or any future conditions establishing eligibility under subsection (1) of this section.
  5. This section shall be known as the Kentucky Breast and Cervical Cancer Treatment Act of 2008.

History. Enact. Acts 2008, ch. 63, § 1, effective April 10, 2008.

Compiler’s Notes.

The Federal Breast and Cervical Cancer Prevention and Treatment Act of 2000 referenced herein is compiled at 42 USCS §§ 1396a, 1396b, and 1396d, and 42 USCS § 1396r-1b, and appears in part as a note to 42 USCS § 1396a.

205.618. Coverage for tobacco cessation medications and services.

  1. Notwithstanding any provision of law to the contrary, the Department for Medicaid Services or a managed care organization contracted to provide Medicaid services shall, at a minimum, provide coverage for all United States Food and Drug Administration-approved tobacco cessation medications, all forms of tobacco cessation services recommended by the United States Preventive Services Task Force, including but not limited to individual, group, and telephone counseling, and any combination thereof.
  2. The following conditions shall not be imposed on any tobacco cessation services provided pursuant to this section:
    1. Counseling requirements for medication;
    2. Limits on the duration of services, including but not limited to annual or lifetime limits on the number of covered attempts to quit; or
    3. Copayments or other out-of-pocket cost sharing, including deductibles.
  3. Utilization management requirements, including prior authorization and step therapy, shall not be imposed on any tobacco cessation services provided pursuant to this section, except in the following circumstances where prior authorization may be required:
    1. For a treatment that exceeds the duration recommended by the most recently published United States Public Health Service clinical practice guidelines on treating tobacco use and dependence; or
    2. For services associated with more than two (2) attempts to quit within a twelve (12) month period.
  4. Nothing in this section shall be construed to prohibit the Department for Medicaid Services or a managed care organization contracted to provide Medicaid services from providing coverage for tobacco cessation services in addition to those recommended or to deny coverage for services that are not recommended by the United States Preventive Services Task Force.

HISTORY: 2017 ch. 49, § 2, effective June 29, 2017.

205.619. Medicaid plan amendment to permit establishing of Kentucky Long-Term Care Partnership Insurance Program.

  1. By October 30, 2008, the Cabinet for Health and Family Services shall submit to the Center for Medicare and Medicaid Services an amendment to the State Medicaid Plan to permit the establishment of a Kentucky Long-Term Care Partnership Insurance Program that provides for the disregard of any assets or resources in an amount equal to the insurance benefit payments made to or on behalf of an individual who is a beneficiary of the partnership insurance program that meets the requirements of KRS 304.14-640 and 304.14-642 .
  2. The secretary of the cabinet shall notify in writing the commissioner of the Department of Insurance and the co-chairs of the Interim Joint Committee on Health and Welfare and the Interim Joint Committee on Banking and Insurance within two (2) business days of the submission of the plan amendment and of the receipt of the response by the federal agency.
  3. Upon approval by the federal government of the state plan amendment, the Department for Medicaid Services, in conjunction with the Department of Insurance, shall establish the Kentucky Long-Term Care Partnership Insurance Program in accordance with KRS 304.14-640 and 304.14-642 .
  4. The department shall:
    1. Provide consultation, information, and materials to the Department of Insurance to assist in the development and issuance of uniform training materials in accordance with KRS 304.14-642 (4); and
    2. Collaborate in the preparation of the report required in KRS 304.14-642 (6).

History. Enact. Acts 2008, ch. 16, § 4, effective July 15, 2008; 2010, ch. 24, § 303, effective July 15, 2010.

Legislative Research Commission Notes.

(7/15/2010). Pursuant to 2010 Ky. Acts ch. 24, sec. 1938, the Reviser of Statutes has changed a reference to the “executive director” of insurance in subsection (2) of this section to the “commissioner” of insurance to reflect the reorganization of certain parts of the Executive Branch, as set forth in Executive Order 2009-535 and confirmed by the General Assembly in 2010 Ky. Acts ch. 24.

205.620. Time of payment. [Repealed.]

Compiler’s Notes.

This section (Acts 1960 (Ex. Sess.), ch. 2, § 7) was repealed by Acts 1966, ch. 255, § 283.

205.621. Increased reimbursement for Medicaid.

  1. Reimbursement for physicians and dentists providing services to Medicaid recipients shall be increased to reflect budgeted provider profiles beginning October 1, 1990.
  2. Beginning October 1, 1992, reimbursement to physicians and dentists shall be increased annually in increments which represent a minimum seventy-five percent (75%) of the most recently reported annual change in the consumer price index as computed by the United States Department of Labor.

History. Enact. Acts 1990, ch. 482, § 13, effective July 13, 1990.

205.622. Billing of third party by vendor for medical services.

Prior to billing the Kentucky Medical Assistance Program, all participating vendors shall submit billings for medical services first to a third party when such vendor has knowledge that such third party may be liable for payment of the services.

History. Enact. Acts 1980, ch. 252, § 3, effective July 15, 1980.

205.623. Information on claims paid for insurance policyholders and dependents — Use of data — Confidentiality of information — Prohibited fees.

  1. All health insurers and administrators as defined under KRS Chapter 304 shall provide upon request to the Department for Medicaid Services, by electronic means and in the format prescribed by the department, policy and coverage information and claims paid data on Medicaid-eligible policyholders and dependents. Any request from the department shall include a list of data elements that shall be included on the electronic file from the insurer or administrator.
  2. All health insurers and administrators as defined under KRS Chapter 304 shall provide upon request to the department, by electronic means and in the format prescribed by the department, identifying information on all policyholders and dependents to match with the Medicaid management information system to determine which policyholders and dependents also participate in the Kentucky Medical Assistance Program. The identifying information shall include the name, address, date of birth, and Social Security number as these items appear in the companies’ files and as the department may require.
  3. No health insurer or administrator shall be required to provide information under this section if doing so would violate any provision of federal law.
  4. All information obtained by the department pursuant to this section shall be confidential and shall not be open for public inspection.
  5. The department shall not be charged a fee by a third party for information requested under this section, nor shall the department be charged a fee by a third party for the processing and adjudication of the department’s claim for recovery, reclamation, or validation of eligibility.

History. Enact. Acts 1994, ch. 506, § 5, effective July 15, 1994; 1996, ch. 353, § 5, effective July 15, 1996; 1998, ch. 426, § 204, effective July 15, 1998; 2005, ch. 99, § 246, effective June 20, 2005; 2008, ch. 71, § 5, effective July 15, 2008.

205.624. Assignment to cabinet by recipient of rights to third-party payments — Right of recovery by cabinet.

  1. An applicant or recipient shall be deemed to have made to the cabinet an assignment of his rights to third-party payments to the extent of medical assistance paid on behalf of the recipient under Title XIX of the Social Security Act. The applicant or recipient shall be informed in writing by the cabinet of such assignment.
  2. The cabinet shall have the right of recovery which a recipient may have for the cost of hospitalization, pharmaceutical services, physician services, nursing services, and other medical services not to exceed the amount of funds expended by the cabinet for such care and treatment of the recipient under the provisions of Title XIX of the Social Security Act.
    1. If a payment for medical assistance is made, the cabinet, to enforce its right, may:
      1. Intervene or join in an action or proceeding brought by the injured, diseased, or disabled person, the person’s guardian, personal representative, estate, dependents, or survivors against a third party who may be liable for the injury, disease, or disability, or against contractors, public or private, who may be liable to pay or provide medical care and services rendered to an injured, diseased, or disabled recipient, in state or federal court; or
      2. Institute and prosecute legal proceedings against a third party who may be liable for the injury, disease, or disability, or against contractors, public or private, who may be liable to pay or provide medical care and services rendered to an injured, diseased, or disabled recipient, in state or federal court, either alone or in conjunction with the injured, diseased, or disabled person, the person’s guardian, personal representative, estate, dependents, or survivors; or
      3. Institute the proceedings in its own name or in the name of the injured, diseased, or disabled person, the person’s guardian, personal representative, estate, dependents, or survivors.
    2. The injured, diseased, or disabled person may proceed in his own name, collecting costs without the necessity of joining the cabinet or the Commonwealth as a named party, provided the injured, diseased, or disabled person shall notify the cabinet of the action or proceeding entered into upon commencement of the action or proceeding. The injured, diseased, or disabled person must notify the cabinet of any settlement or judgment of his or her claim.
    3. In the case of an applicant for or recipient of medical assistance whose eligibility is based on deprivation of parental care or support due to absence of a parent from the home, the cabinet may:
      1. Initiate a civil action or other legal proceedings to secure repayment of medical assistance expenditures for which the absent parent is liable; and
      2. Provide for the payment of reasonable administrative costs incurred by such other state or county agency requested by the cabinet to assist in the enforcement of securing repayment from the absent parent.
  3. Each insurer issuing policies or contracts under Subtitle 17, 18, 32, or 38 of KRS Chapter 304 shall cooperate fully with the Cabinet for Health and Family Services or an authorized designee of the cabinet in order for the cabinet to comply with the provisions of subsection (1) of this section.

History. Enact. Acts 1980, ch. 252, § 4, effective July 15, 1980; 1994, ch. 96, § 18, effective July 15, 1994; 1994, ch. 316, § 18, effective July 15, 1994; 1998, ch. 426, § 205, effective July 15, 1998; 2005, ch. 99, § 247, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the Social Security Act, referred to in subsections (1) and (2), is compiled as 42 USCS § 1396 et seq.

NOTES TO DECISIONS

1.Generally.

When a Medicaid recipient’s settlement with the liable third-party prevents the Kentucky Department of Medicaid Services (DMS) from pursuing reimbursement against a liable third-party through the assignment provision in KRS 205.624 , then there is an implied exception to the anti-lien and anti-recovery provisions of the Social Security Act that allows DMS to proceed against the Medicaid recipient under KRS 205.626 and 205.628 , but only for the medical damages portion of the settlement. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

Circuit court properly granted summary judgment in favor of an insurer, denied an injured pedestrian’s motion to alter, amend, or vacate the decision, and dismissed his claim that the insurer failed to pay basic reparations benefits (BRB) because the pedestrian failed to submit proof of loss to the insurer within two years of the accident, what the pedestrian insisted was a medical bill was, in fact, a billing statement that showed his medical expenses were fully paid, he failed to present medical bills he said were at his disposal, his own affidavit alone was too little and certainly too late, and he lost the right to pursue BRB to the extent he accepted Medicaid benefits and, by operation of law assigned the right to Medicaid. Joiner v. Ky. Farm Bureau Mut. Ins. Co., 582 S.W.3d 74, 2019 Ky. App. LEXIS 133 (Ky. Ct. App. 2019).

2.Recovery of benefits.

State officials were granted summary judgment on a Medicaid recipient’s claim that KRS 205.624 , 205.626 , and 205.628 , which subjected a settlement he received from an insurer to reimbursement, violated 42 U.S.C.S. § 1396p where the forced assignment and reimbursement provisions of the Social Security Act (SSA) created an implied exception to the anti-lien and anti-recovery provisions of the SSA that was limited to payments for medical care. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

205.626. Time assignment becomes enforceable — Payment to cabinet — Attorney’s fees.

  1. The assignment provided for by KRS 205.624 shall be binding and enforceable after the third parties have actual notice of the assignment. The third party shall be discharged from liability under the assignment when it makes payment to a vendor for medical care and services rendered on behalf of a recipient.
  2. Any settlement, judgment, or award obtained by a recipient or the recipient’s legal representative against a third party is subject to the cabinet’s claim for reimbursement for medical assistance paid on behalf of the recipient.
  3. The attorney may receive a percentage not to exceed twenty-five percent (25%) of the amount paid to the cabinet that has been recovered in reimbursement from the third party. The amount paid to the cabinet shall be excluded by the attorney when computing the total amount recovered on behalf of the client and in final computation of the client’s bill.

History. Enact. Acts 1980, ch. 252, § 6, effective July 15, 1980; 1994, ch. 506, § 1, effective July 15, 1994.

NOTES TO DECISIONS

1.Generally.

When a Medicaid recipient’s settlement with the liable third-party prevents the Kentucky Department of Medicaid Services (DMS) from pursuing reimbursement against a liable third-party through the assignment provision in KRS 205.624 , then there is an implied exception to the anti-lien and anti-recovery provisions of the Social Security Act that allows DMS to proceed against the Medicaid recipient under KRS 205.626 and 205.628 , but only for the medical damages portion of the settlement. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

2.Recovery of benefits.

State officials were granted summary judgment on a Medicaid recipient’s claim that KRS 205.624 , 205.626 , and 205.628 , which subjected a settlement he received from an insurer to reimbursement, violated 42 U.S.C.S. § 1396p where the forced assignment and reimbursement provisions of the Social Security Act (SSA) created an implied exception to the anti-lien and anti-recovery provisions of the SSA that was limited to payments for medical care. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

205.627. Pro rata diminishment of cabinet’s subrogation claim for reimbursement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 506, § 4, effective July 15, 1994) was repealed by Acts 1996, ch. 353, § 6, effective July 15, 1996.

205.628. Liability of recipient.

An applicant or recipient of medical assistance shall be liable to the Kentucky Medical Assistance Program for any payment received from a third party to the extent of medical assistance paid on the recipients’ behalf under Title XIX of the Social Security Act.

History. Enact. Acts 1980, ch. 252, § 7, effective July 15, 1980; 1994, ch. 506, § 2, effective July 15, 1994.

Compiler’s Notes.

Title XIX of the Social Security Act is compiled as 42 USCS § 1396 et seq.

NOTES TO DECISIONS

1.Generally.

When a Medicaid recipient’s settlement with the liable third-party prevents the Kentucky Department of Medicaid Services (DMS) from pursuing reimbursement against a liable third-party through the assignment provision in KRS 205.624 , then there is an implied exception to the anti-lien and anti-recovery provisions of the Social Security Act that allows DMS to proceed against the Medicaid recipient under KRS 205.626 and 205.628 , but only for the medical damages portion of the settlement. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

2.Recovery of benefits.

State officials were granted summary judgment on a Medicaid recipient’s claim that KRS 205.624 , 205.626 , and 205.628 , which subjected a settlement he received from an insurer to reimbursement, violated 42 U.S.C.S. § 1396p where the forced assignment and reimbursement provisions of the Social Security Act (SSA) created an implied exception to the anti-lien and anti-recovery provisions of the SSA that was limited to payments for medical care. Madison v. Lawrence, 2012 U.S. Dist. LEXIS 135065 (W.D. Ky. Apr. 19, 2012).

205.629. Notification of cabinet in actions seeking recovery for recipient.

In any action seeking to recover damages on behalf of a recipient, the cabinet shall receive notice from the recipient’s attorney in the same manner as provided in KRS 411.188(2) for notifying parties with subrogation rights.

History. Enact. Acts 1994, ch. 506, § 3, effective July 15, 1994.

205.630. Prohibited activity by cabinet — Injunctive relief.

  1. The cabinet is prohibited from collecting, attempting to collect, or threatening to collect moneys due from any individual person for services rendered at a cabinet facility as a means of coercing or attempting to coerce the person into removing any person for whom they are responsible from a cabinet facility, changing the level of care or treatment of the person or removing the person from one cabinet facility to another, or to a private facility.
  2. Any person who believes that the cabinet is violating the provisions of this section may apply for injunctive relief to the Circuit Court where he resides, where the facility is located, where the patient resides, or to the Franklin Circuit Court.

History. Enact. Acts 1980, ch. 252, § 8, effective July 15, 1980.

205.631. Life settlement proceeds for long-term care services not considered as resource or asset for Medicaid eligibility — Notice of exhaustion of proceeds — Medicaid and applied income payments to begin immediately upon exhaustion of life settlement proceeds — Administrative regulations.

    1. To the extent allowable under state or federal law, the proceeds of a life settlement received pursuant to KRS 304.15-726 shall not be considered as a resource or asset in determining a Medicaid applicant’s or recipient’s eligibility for Medicaid and shall only be used as allowed for long-term-care services in accordance with KRS 304.15-726 . (1) (a) To the extent allowable under state or federal law, the proceeds of a life settlement received pursuant to KRS 304.15-726 shall not be considered as a resource or asset in determining a Medicaid applicant’s or recipient’s eligibility for Medicaid and shall only be used as allowed for long-term-care services in accordance with KRS 304.15-726.
    2. No state or federal Medicaid funds may be used for the recipient’s care until available proceeds from the life settlement are utilized for the recipient’s care, excluding the amount retained for final expenses in accordance with KRS 304.15-726.
    3. The recipient, as defined in KRS 304.15-726, shall provide notice, in a manner prescribed by the cabinet, that the life settlement proceeds in the irrevocable account established pursuant to KRS 304.15-726 are exhausted or will become exhausted on a specified date.
  1. The cabinet shall ensure that Medicaid and applied income payments shall begin on the day following exhaustion of the life settlement proceeds if notice is provided to the cabinet as required by subsection (1)(c) of this section.
  2. The cabinet may promulgate administrative regulations defining a service or support deemed a long-term-care service for the purposes of KRS 304.15-726 . The cabinet shall promulgate an administrative regulation prescribing the manner in which a recipient, as defined in KRS 304.15-726 , shall provide notice to the cabinet in accordance with subsection (1)(c) of this section.
  3. The cabinet shall provide to all applicants as part of the application for enrollment in the Medicaid program:
    1. Written notice of the options provided in KRS 304.15-726 ; and
    2. Information about options that do not allow a life insurance policy to be considered as an asset or resource in determining eligibility for medical assistance.
  4. The cabinet shall provide information about the options in KRS 304.15-726 to other state and local, public and private agencies and organizations in cooperation with one (1) or more nonprofit organizations, pursuant to an agreement between the state and each nonprofit organization. Costs for materials and distribution of information required by this subsection shall not be the responsibility of the state, unless required by law.

History. Enact. Acts 2014, ch. 60, § 2, effective July 15, 2014.

205.6310. Cabinet to establish system to reduce unnecessary hospital emergency room utilization and costs.

The Cabinet for Health and Family Services shall establish a system within the Medical Assistance Program to reduce unnecessary hospital emergency room utilization and costs by redefining and controlling hospital emergency utilization. The cabinet shall establish by promulgation of administrative regulations, pursuant to KRS Chapter 13A, the following:

  1. Criteria and procedures, at least annually updated, that differentiate children and adults, and which conform to the Federal Emergency Medical Treatment and Active Labor Act (42 U.S.C. sec. 1395 dd), as amended, and any other applicable federal law or regulation for determining if a medical emergency exists;
  2. Reimbursement rates that provide for nominal reimbursement of emergency room care for care that does not meet the criteria established for a medical emergency;
  3. Reimbursement, at rates determined by the cabinet, for ancillary services which, based upon the symptoms of the patient, are medically appropriate to determine if a medical emergency exists;
  4. Except for emergency room services rendered to children under the age of six (6), prohibition of reimbursement at hospital emergency room rates for diagnosis and treatment for a condition that does not meet the criteria established for a medical emergency; and
  5. The provisions of this section shall apply to any managed care program for Medicaid recipients.

The cabinet or its designated peer review organization shall review all claims for payment of nonemergency hospital care and deny payment for any ancillary services determined as not medically appropriate.

History. Enact. Acts 1994, ch. 512, § 72, effective July 15, 1994; 1998, ch. 426, § 206, effective July 15, 1998; 2005, ch. 99, § 248, effective June 20, 2005.

NOTES TO DECISIONS

1.No Private Cause of Action.

Circuit court properly granted summary judgment to a Medicaid managed care organization (MCO) and dismissed a hospital's cross-motion and cross-motion and petition seeking a declaratory judgment because the state anti-dumping statute did not provide the hospital with a private right of action to sue the MCO, the provider agreement contract between the hospital and the MCO stated that the hospital had to exhaust all administrative remedies and submit to arbitration before seeking any other remedy, and the private right of action statute did not give rise to a cause of action for violation of a federal statute, thus eliminating the Emergency Medical Treatment and & Women in Active Labor Act as a basis for the suit. Harrison Mem'l Hosp., Inc. v. Wellcare Health Ins. Co. of Ky., 509 S.W.3d 69, 2016 Ky. App. LEXIS 136 (Ky. Ct. App. 2016).

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6311. Substance use disorder treatment benefit — Administrative regulations — Contracts with Medicaid managed care organizations — Annual report.

  1. The Department for Medicaid Services shall provide a substance use disorder benefit consistent with federal laws and regulations which shall include a broad array of treatment options for those with heroin and other substance use disorders.
  2. The department shall promulgate administrative regulations to implement this section and to expand the behavioral health network to allow providers to provide services within their licensure category.
  3. Providers of peer-mediated, recovery-oriented, therapeutic community models of care shall have the opportunity to contract with managed care organizations to be reimbursed for any portion of those services that are provided by licensed or certified providers in accordance with approved billing codes.
  4. A Medicaid managed care organization shall:
    1. Authorize treatment for each diagnosis related to substance use disorder and co-occurring mental health and substance use disorder covered by Medicaid that is identified within the most updated edition of the Diagnostic and Statistical Manual of Mental Disorders issued by the American Psychiatric Association that meets the criteria for medical necessity and level of care; and
    2. Approve coverage and payment for continuing care at the appropriate level of care.
  5. Beginning January 1, 2016, the Department for Medicaid Services shall provide an annual report to the Legislative Research Commission detailing the number of providers of substance use disorder treatment, the type of services offered by each provider, the geographic distribution of providers, and a summary of expenditures on substance use disorder treatment services provided by Medicaid.

HISTORY: 2015 ch. 66, § 5, effective March 25, 2015.

205.6312. Medical recipients to pay allowable nominal copayments — Administrative regulations.

  1. The cabinet shall institute nominal copayments or similar charges to be paid by medical assistance recipients, their spouses, or parents, under the provisions of Section 1916 of Title XIX of the Federal Social Security Act, 42 U.S.C. sec. 1396 o.
  2. Copayments or similar charges shall not be imposed for the following services:
    1. All services provided to children under eighteen (18) years of age;
    2. All services furnished to pregnant women, if the services relate to the pregnancy or to any other medical condition which may complicate the pregnancy;
    3. Emergency services including hospital, clinic, office, or other facility services which are necessary to prevent the death or serious impairment of the individual;
    4. Services furnished to institutionalized individuals if the individual is required, as a condition of receiving services, to spend all but a minimal amount of income for personal needs;
    5. Services furnished for an individual who is receiving hospice care as defined under Section 1905 of Title XIX of the Federal Social Security Act, 42 U.S.C. sec. 1396 d(o); and
    6. Other services excluded from cost sharing by federal law or regulation.
  3. Standard nominal copayments per service, not to exceed amounts allowable under Section 1916 of Title XIX of the Federal Social Security Act, 42 U.S.C. sec. 1396 o shall be collected by the provider and charged for the following services:
    1. Ambulance services which are provided to recipients in need of nonemergency health transportation services;
    2. Nonemergency services delivered in a hospital emergency room; and
    3. Prescription and over-the-counter drugs, subject to the limitation under subsection (6) of this section.
  4. No provider participating in the Medical Assistance Program shall deny services to any eligible recipient due to the inability of a recipient to make the required copayment. This provision shall not excuse the recipient from liability for payment of the charge.
  5. The cabinet shall promulgate administrative regulations under KRS Chapter 13A to implement the provisions of this section.
  6. Any copayment for a prescription or over-the-counter drug shall not exceed one dollar ($1).

History. Enact. Acts 1994, ch. 512, § 73, effective July 15, 1994; 1996, ch. 371, § 30, effective July 15, 1996; 2002, ch. 53, § 1, effective July 15, 2002; 2003, ch. 46, § 1, effective March 12, 2003.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, G, 3, b, (6) at 881.

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6312. Medical recipients to pay allowable nominal copayments — Administrative regulations.

Notwithstanding any state law to the contrary, the cabinet or a managed care organization contracted by the cabinet to provide Medicaid services pursuant to this chapter shall not institute copayments, cost sharing, or similar charges to be paid by any medical assistance recipients, their spouses, or parents, for any assistance provided pursuant to this chapter, federal law, or any federal Medicaid waiver.

HISTORY: Enact. Acts 1994, ch. 512, § 73, effective July 15, 1994; 1996, ch. 371, § 30, effective July 15, 1996; 2002, ch. 53, § 1, effective July 15, 2002; 2003, ch. 46, § 1, effective March 12, 2003; 2021 ch. 62, § 1.

205.6313. Medicaid reimbursement for primary care practitioners at community mental health centers.

  1. For the purposes of this section:
    1. “Advanced practice registered nurse” has the same meaning as in KRS 314.011 ;
    2. “Physician” has the same meaning as in KRS 311.550 ; and
    3. “Physician assistant” has the same meaning as in KRS 311.840 .
  2. The Cabinet for Health and Family Services and any regional managed care partnership or other entity under contract with the cabinet for the administration or provision of the Medicaid program shall provide Medicaid reimbursement for primary care services provided by a licensed physician, advanced practice registered nurse, or physician assistant employed by a community mental health center established pursuant to KRS 210.370 to 210.480 , if the community mental health center is in compliance with the Centers for Medicare and Medicaid Services regulations on enhanced primary care reimbursements.
  3. Primary care services provided by a physician, advanced practice registered nurse, or physician assistant in a community mental health center shall be subject to the same reimbursement rates as established by the Department for Medicaid Services for primary care providers operating in Kentucky.
  4. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement this section.

History. Enact. Acts 2014, ch. 124, § 2, effective July 15, 2014.

205.6314. Review of reimbursement rates for emergency transportation providers — Promulgation of administrative regulations relating to emergency transportation providers.

The Cabinet for Health and Family Services shall review the Medical Assistance Program reimbursement rates for emergency transportation providers to determine if existing rates are fair and reasonable. Notwithstanding this review, the cabinet shall by promulgation of administrative regulation, pursuant to KRS Chapter 13A, do the following:

  1. Prescribe reimbursement rates for emergency transportation providers to ensure that emergency rates are paid only for transporting medical assistance recipients to the emergency room of a hospital in emergency situations;
  2. Establish, in nonemergency cases, lower medical assistance reimbursement rates for emergency transportation providers for the transportation of stretcher patients from nursing homes to physician offices or hospitals; and
  3. Establish a verification system that requires medical providers to confirm that medical assistance recipients have appointments for medical services and that medical services were medically necessary and were obtained prior to payment by the cabinet to the emergency transportation provider.

History. Enact. Acts 1994, ch. 512, § 74, effective July 15, 1994; 1998, ch. 426, § 207, effective July 15, 1998; 2005, ch. 99, § 249, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6315. Requirements when private peer review organization is contracted with to conduct reviews of levels of care.

When the cabinet contracts with any private peer review organization to conduct utilization reviews of the levels of care of the state’s Medicaid program recipients, the following shall apply:

  1. In determining the appropriate level of care of a Medicaid beneficiary who is a patient in a nursing facility setting, and prior to any change that reduces a Medicaid beneficiary’s eligibility for covered services, the contracted peer review organization shall assure that:
    1. An in-person assessment of the Medicaid beneficiary is made; and
    2. A licensed physician has reviewed the written documentation of the peer review organization’s evaluation and provided a written review of the evaluation to be a part of the patient’s record.
  2. If the level of care is changed for a Medicaid beneficiary who is a resident or patient in a nursing facility setting or a Medicaid beneficiary who receives community-based waiver services, and the change makes that beneficiary ineligible for the Medicaid covered service, the peer review organization shall notify the commissioner of Medicaid in the cabinet, and shall provide a written notification sent by registered return receipt mail to the affected Medicaid beneficiary, nursing facility, affected Medicaid beneficiary’s attending physician, and the affected beneficiary’s responsible party.
  3. If the level of care for a Medicaid beneficiary results in an adverse determination, the affected Medicaid beneficiary, or the responsible person or party, may appeal through an application for reconsideration to be filed with the cabinet within ten (10) days from the date of receipt of the registered return receipt written notification. If the responsible party’s registered return receipt mail is undeliverable, the attending physician may initiate the appeal on behalf of the affected Medicaid beneficiary.
    1. All benefits which the affected Medicaid recipient, and the nursing facility are eligible for shall be continued during that ten (10) day time frame; and
    2. As long as the affected Medicaid recipient is engaged in an appeal of an adverse determination from a peer review organization, all benefits for which the affected Medicaid recipient and nursing facility are eligible shall be continued until an appropriate residential setting is secured, in any event, not to exceed ninety (90) days from the date of the request for a hearing, or until a final determination is made by a hearing officer.
    1. If the level of care is lowered for a Medicaid beneficiary who is a resident or patient in a nursing facility setting, an independent examination may be conducted by the resident’s attending physician. (4) (a) If the level of care is lowered for a Medicaid beneficiary who is a resident or patient in a nursing facility setting, an independent examination may be conducted by the resident’s attending physician.
    2. If the resident’s attending physician conducts an independent examination, the attending physician shall make a recommendation concerning the appropriate level of care and forward, in writing, the results of the examination and the recommendation to the peer review organization, the affected recipient, the nursing facility, and the responsible party.
  4. For the purposes of this section, “responsible person or party” shall mean an individual authorized by the resident of the facility to act for the resident as an official delegate or agent. The responsible person may be a guardian, payee, family member, or any other individual who has arranged for the care of the resident and assumed this responsibility. The responsible party may or may not be related to the resident. A responsible person or party is not a guardian unless so appointed by the court.
  5. The peer review organization shall:
    1. Inform the patient and guardian, responsible party, or family member, upon initial qualification for Medicaid covered services, and with the written notification of an adverse determination from a peer review organization:
      1. Of the manner in which notification of any adverse decision will be made;
      2. Of the process for securing a timely review of any adverse decision;
      3. That a request for reconsideration must be postmarked no later than ten (10) days after receipt of the initial written notification of any adverse decision;
      4. Of the toll-free line that will be provided for questions regarding reviews; and
      5. Of the process for appealing an adverse reconsideration to the cabinet;
    2. Provide a written peer review organization physician review of all adverse determinations;
    3. Provide for an attending physician review of all adverse determinations as outlined in subsection (4) of this section;
    4. Inform the commissioner of all information related to an appeal of an adverse action; and
    5. Provide the information identified in paragraph (a) of this subsection, at the time of an adverse determination notification, to any affected nursing facility in which a Medicaid beneficiary resides.

History. Enact. Acts 1998, ch. 205, § 1, effective July 15, 1998.

205.6316. Review of procedures for medical assistance reimbursement of pharmacists to reduce fraud and abuse — Dispensing fee.

The Cabinet for Health and Family Services shall review the procedures for medical assistance reimbursement of pharmacists to reduce fraud and abuse. The cabinet shall by promulgation of administrative regulation, pursuant to KRS Chapter 13A, establish the following:

  1. Point-of-sale computer technology, with integration of data at the physician’s office and the pharmacy, that will permit prospective drug utilization review;
  2. Usage parameters by drug class to enable medical necessity and appropriateness reviews to be conducted prior to payment;
  3. A dialog among the Department for Medicaid Services, the Kentucky Medical Board of Licensure, and the Kentucky Board of Pharmacy, to develop recommendations for legislation for the 1996 Regular Session of the General Assembly that will strengthen the generic substitution laws for prescription medication; and
  4. A dispensing fee for each prescription.

History. Enact. Acts 1994, ch. 512, § 75, effective July 15, 1994; 1998, ch. 426, § 208, effective July 15, 1998; 2000, ch. 521, § 29, effective July 14, 2000; 2002, ch. 8, § 2, effective February 21, 2002; 2004, ch. 108, § 2, effective July 13, 2004; 2005, ch. 99, § 250, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6317. Department for Medicaid Services to develop strategies for reimbursing and paying persons participating in the Supports for Community Living Waiver Program — Allocation of slots — Administrative regulations — Funding.

  1. As used in this section:
    1. “Supports for Community Living Waiver Program” means funding from the Department for Medicaid Services to serve individuals with an intellectual disability or other developmental disabilities who qualify for intermediate care and choose to live in a community-based setting and includes funding for a self-determination model that provides the ability for the individual receiving services and supports to personally control, with appropriate assistance, a targeted amount of dollars; and
    2. “Slots” means the dedication of provider or financial resources for services to persons with an intellectual disability or other developmental disabilities.
  2. The Department for Medicaid Services shall develop and implement flexible reimbursement and payment strategies that reflect the individually determined needs for services and supports by persons with an intellectual disability and other developmental disabilities participating in the Supports for Community Living Waiver Program.
  3. The Department for Medicaid Services shall allocate slots to the fourteen (14) community mental health regions based on percentage of total population.
  4. The Department for Medicaid Services shall reallocate underutilized slots to address statewide needs and shall reallocate slots in emergency situations to address unmet needs for services and supports.
  5. The Department for Medicaid Services shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement the requirements of this section.
  6. Funds for the Supports for Community Living Waiver Program shall be appropriated only for direct services to qualified individuals and any unexpended funds shall not lapse but shall be carried forward to the next fiscal year and shall be used for the same purpose.

History. Enact. Acts 2000, ch. 403, § 4, effective April 14, 2000; 2002, ch. 162, § 6, effective July 15, 2002; 2003, ch. 108, § 1, effective June 24, 2003; 2010, ch. 141, § 13, effective July 15, 2010; 2012, ch. 146, § 64, effective July 12, 2012; 2020 ch. 36, § 39, effective July 15, 2020.

NOTES TO DECISIONS

1.Cabinet’s Authority.

Circuit court properly found that the Cabinet for Health and Family Services, Department for Medicaid Services exceeded its statutory authority by rejecting a hearing officer’s recommendation that a participant should be re-certified for the Supports for Community Living Services program where the Cabinet improperly grafted the mental retardation IQ requirement onto the definition of developmental disability. Commonwealth v. Bratcher, 424 S.W.3d 430, 2014 Ky. App. LEXIS 93 (Ky. Ct. App. 2014).

205.63171. Short title for KRS 205.6317.

KRS 205.6317 may be cited as the Kevin Webb and Kim Brown Self-Determination Act.

History. Enact. Acts 2003, ch. 108, § 3, effective June 24, 2003.

205.6318. Cabinet to establish integrated system to enhance program integrity of Medical Assistance Program.

The Cabinet for Health and Family Services shall review the available technology associated with the medical assistance system to determine which technology is best suited to enhance program service operation, monitoring ability, and fraud and abuse detection. This shall include the ability to provide on-line access to data files to allow cross-analysis of provider and recipient utilization patterns. The cabinet shall by promulgation of administrative regulations, pursuant to KRS Chapter 13A, establish an integrated system to enhance program integrity, using a combination of staff, computer technology, and contractual services to identify potential fraud, abuse, and misutilization of services. This system shall:

  1. Utilize statisticians, program specialists, accountants, nurses, and other medical specialists to review the Medical Assistance Program to identify patterns of provider and recipient behavior that contributes to unnecessary or abusive use of program services;
  2. Utilize computer capability through contractual services or the purchase of computer software to detect the unbundling of claims and other techniques used by providers to enhance reimbursement;
  3. Impose utilization controls on the expenditures in respiratory, physical, speech, and occupational therapy and durable medical equipment provided to nursing-home residents, through the use of established medical criteria or preauthorization of ancillary therapies;
  4. Establish state audit and edit requirements that exceed the federal audit and edit requirements;
  5. Obtain access to necessary data from the fiscal agent of each medical provider;
  6. Review the efficiency and effectiveness of the fraud and abuse detection and investigation process to determine whether changes shall be made;
  7. Direct that fraud and abuse detection and investigation components shall be active in initiating investigations. The fraud and abuse detection, investigation, and prosecution functions shall be integrated, with access to information in files maintained by the Department for Community Based Services and the Department for Medicaid Services;
  8. Review penalties for deterrent value for medical providers that are found to have abused Medicaid regulations and statutes; and
  9. Provide for a proactive effort to reduce costs for institutionalized program participants. Program officials shall seek to implement innovative or experimental demonstration programs that aim to control costs.

History. Enact. Acts 1994, ch. 512, § 76, effective July 15, 1994; 1998, ch. 426, § 209, effective July 15, 1998; 2000, ch. 14, § 33, effective July 14, 2000; 2005, ch. 99, § 251, effective June 20, 2005.

205.632. Pilot project to create coverage provisions and reimbursement criteria for telemonitoring services based on evidence-based best practices provided by a qualified medical provider or community action agency.

  1. As used in this section:
    1. “Department” means the Department for Medicaid Services;
    2. “Evidence-based best practices” means the integration of the best available research with clinical expertise in the context of patient characteristics and patient and family caregiver preferences;
    3. “Qualified medical provider” means a credentialed and enrolled Medicaid-participating healthcare provider, hospital, rural health center, or licensed home health agency as defined in KRS 216.935 ; and
    4. “Telemonitoring services” means services that require scheduled remote monitoring of data related to a patient’s health where the monitoring is conducted at the patient’s place of residence or other site determined by the department.
  2. Not later than July 1, 2017, the department shall establish a pilot project in which it creates coverage provisions and reimbursement criteria for telemonitoring services based on evidence-based best practices provided by a qualified medical provider or a community action agency as defined in KRS 273.410 .
  3. In order to effectuate the pilot project, the department may:
    1. Submit a state plan amendment, waiver, or waiver amendment for approval to the Centers for Medicare and Medicaid Services in order to provide coverage for medically necessary telemonitoring services performed for a Medicaid beneficiary;
    2. Request funding from the General Assembly to support telemonitoring services rendered by a qualified medical provider or a community action agency under this section;
    3. Ensure that clinical information gathered by a qualified medical provider or a community action agency while providing telemonitoring services is shared with the patient’s treating health care professionals; and
    4. Promulgate administrative regulations in accordance with KRS Chapter 13A for the implementation and administration of this section.

HISTORY: 2016 ch. 126, § 1, effective July 15, 2016.

205.6320. Cabinet to strengthen managed care component of KenPAC Program and to establish standards for access and quality for organizations serving Medicaid recipients.

  1. The Cabinet for Health and Family Services shall seek to strengthen the managed care component of the KenPAC Program. The cabinet shall by promulgation of administrative regulation, pursuant to KRS Chapter 13A, establish the following:
    1. Inclusion of noninstitutionalized blind, aged, and disabled recipients in an effort to reduce inappropriate usage as permitted by federal Medicaid regulations;
    2. Financial incentives for KenPAC physicians who effectively manage the care of their patients. These incentives may include an increase in the case management fee for demonstrated effective case management, or through other arrangements that encourage the effective and efficient management of patients. Clear and concise administrative regulations promulgated under KRS Chapter 13A shall be established by the cabinet to determine physician qualification for the incentives;
    3. A pilot project to establish an oversight and education program in the KenPAC system to assist with patient education regarding the appropriate and effective use of the system and to assist providers with more efficient management of patients;
    4. Criteria to avoid duplication of the provision of early and periodic screening, diagnosis, and treatment-type services to children in the KenPAC Program;
    5. A review of the feasibility of a demonstration project to allow health maintenance organizations to bid on the provision of services to KenPAC participants;
    6. Extension of KenPAC to all counties within the state. The cabinet shall determine the feasibility of working with state-supported medical schools to obtain physicians in the counties where KenPAC does not operate; and
    7. More stringent reporting and verification requirements in contracts with KenPAC physicians regarding verification of services provided to KenPAC patients.
  2. The secretary shall promulgate by administrative regulation standards for access and quality which any health maintenance organizations serving Medicaid recipients shall meet. The secretary shall not provide Medicaid services through a health maintenance organization which does not demonstrate the capacity to meet the standards. The standards shall address at least the following subjects:
    1. Access to care including patient to physician ratios, availability of appropriate specialists, distance to care, travel and waiting times, and physical and language barriers;
    2. Internal and external methods for monitoring quality of care;
    3. Data collection and reporting, including provision of data on utilization, outcomes, enrollee satisfaction, and the number, type, and resolution of grievances and complaints, with subpopulation data for at-risk populations;
    4. Due-process procedures including written notice of appeal rights, timelines for resolution of complaints, and expedited appeals processes;
    5. Consumer representation and patient advocacy; and
    6. Marketing practices including prohibited practices and standards for advertisements and printed marketing materials.

History. Enact. Acts 1994, ch. 512, § 77, effective July 15, 1994; 1996, ch. 371, § 31, effective July 15, 1996; 1998, ch. 426, § 210, effective July 15, 1998; 2005, ch. 99, § 252, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6322. Cabinet to seek to prohibit sheltering of assets in long-term-care cases.

The Cabinet for Health and Family Services shall seek to prohibit the sheltering of assets in medical assistance long-term-care cases by promulgation of administrative regulations, pursuant to KRS Chapter 13A, that establish the following:

  1. Consideration of assets placed in Medicaid-qualifying trusts as a prohibited transfer of resources, to the extent prohibited by federal law;
  2. Revision of Medicaid policy to provide that assets funding the purchase of an annuity shall be treated as a transfer of resources unless the annuity is actuarially sound as defined in administrative regulations promulgated by the cabinet pursuant to KRS Chapter 13A;
  3. Revision of Medicaid policy to treat income-producing property as an available resource to the extent allowed by federal law;
  4. Review of Medicaid eligibility procedures and operation to improve eligibility verification and detection of fraud and abuse; and
  5. Review of the feasibility of instituting a photographic identification card, possibly in conjunction with other entitlement programs, to reduce fraud and abuse through misuse of Medicaid identification cards.

History. Enact. Acts 1994, ch. 512, § 78, effective July 15, 1994; 1996, ch. 371, § 32, effective July 15, 1996; 1998, ch. 426, § 211, effective July 15, 1998; 2005, ch. 99, § 253, effective June 20, 2005.

NOTES TO DECISIONS

1.Construction.

In an action against the Commonwealth, the Medicaid Services agency, and its officers based on the state's beneficiary requirements for an annuity, which conflicted with the revised version of 42 U.S.C.S. § 1396p(c)(1)(F), the deceased's children had standing only as co-administrators of her estate as it was deprived of funds, which was the required type of injury in fact, redressable, and traceable to the agency. Singleton v. Kentucky, 176 F. Supp. 3d 704, U.S. Dist. LEXIS 43383 (E.D. Ky.), rev'd, 843 F.3d 238, 2016 U.S. App. LEXIS 21694 (6th Cir. Ky. 2016 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6324. Cabinet to enhance third-party resource collection capacity.

The Cabinet for Health and Family Services shall by promulgation of administrative regulations enhance third-party resource collection capacity in Medicaid cases through utilization of in-house personnel and selective contracting for high-volume or high-technological services.

History. Enact. Acts 1994, ch. 512, § 79, effective July 15, 1994; 1998, ch. 426, § 212, effective July 15, 1998; 2005, ch. 99, § 254, effective June 20, 2005.

205.6326. Review of Medicaid reimbursement systems — Implementation of a standardized patient assessment tool and consistent quality-of-care mandates.

The Cabinet for Health and Family Services shall review all medical assistance reimbursement systems for appropriateness and cost-effectiveness. The review shall include:

  1. Review of cost-based reimbursement policies for hospitals and nursing homes to determine the effectiveness and appropriateness of alternate systems. Consideration shall be given to the use of modified diagnostic-related groups and resource utilization groups systems, using capitated payment methods; and
  2. Review of reimbursement rates for physicians to determine whether savings or cost containment would be better achieved through using a relative-based resource value scale system, a capitated payment method, or other alternative methods of reimbursement; and
  3. For all Medicaid-covered long-term-care services, implementation of a standardized patient assessment tool and consistent quality-of-care mandates.

History. Enact. Acts 1994, ch. 512, § 80, effective July 15, 1994; 1998, ch. 426, § 213, effective July 15, 1998; 2005, ch. 99, § 255, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6328. Quarterly reports to General Assembly regarding Medicaid program changes — Expiration provision. [Expired]

  1. The Cabinet for Human Resources shall establish a system for the reporting to the General Assembly, on a quarterly basis, through December 31, 1996, as to the progress in implementing the provisions of KRS 205.6310 to 205.6332 , the findings of any reports or studies authorized by KRS 205.6310 to 205.6332 , and recommendations regarding the reports or studies.
  2. As each item identified in subsection (1) of this section has been completed, that item shall not be included on the next quarterly report, but shall be identified as having been completed.
  3. This section expires on January 1, 1997.

History. Enact. Acts 1994, ch. 512, § 81, effective July 15, 1994; 1996, ch. 371, § 34, effective July 15, 1996.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6330. Promotion of access to preventive health services by low-income Kentuckians through local health departments — Cabinet to establish program as a provider of last resort. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1994, ch. 512, § 82, effective July 15, 1994) was repealed by Acts 1996, ch. 371, § 64, effective July 15, 1996.

205.6332. System for monitoring use of covered services using appropriate technology and identification card.

The Department for Medicaid Services shall develop and implement a system for monitoring the use of Medical Assistance Program covered services by medical assistance recipients using appropriate technology in conjunction with an identification card to monitor recipient utilization of the following services at the option of the commissioner of the Department for Medicaid Services:

  1. All drugs and durable medical equipment prescribed for and dispensed to the recipient;
  2. All medical-assistance-covered physician office visits made by the recipient; and
  3. Any other Medical Assistance Program covered service provided to the medical assistance recipient as defined by administrative regulation promulgated pursuant to KRS Chapter 13A and under this chapter.

History. Enact. Acts 1994, ch. 512, § 83, effective July 15, 1994; 1996, ch. 371, § 33, effective July 15, 1996.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.6333. Reimbursement for in-network suppliers of durable medical equipment, prosthetics, orthotics, and supplies — Reimbursement rate — Timeframe for claim submissions.

    1. As used in this section, “durable medical equipment” means equipment which: (1) (a) As used in this section, “durable medical equipment” means equipment which:
      1. Can withstand repeated use;
      2. Is primarily and customarily used to serve a medical purpose;
      3. Generally is not useful to a person in the absence of an illness or injury; and
      4. Is appropriate for use in the home.
    2. As used in this section, “durable medical equipment” does not include:
      1. Enteral nutrition;
      2. Eye prosthetics;
      3. Home infusion;
      4. Orthotics;
      5. Prosthetics; or
      6. Automated external defibrillators under Healthcare Common Procedure Codes K0606 and E0617.
  1. The Department for Medicaid Services shall reimburse a supplier of durable medical equipment, prosthetics, orthotics, and supplies at no less than ninety percent (90%) of the state Medicaid program durable medical equipment fee schedule and shall require Medicaid managed care organizations to reimburse the same amount as the Department for Medicaid Services reimburses for the same service or item of durable medical equipment, prosthetics, orthotics, and supplies. This subsection shall apply to those healthcare codes and services included in Section 1903(i)(27) of Title XIX of the Social Security Act.
  2. The department shall require Medicaid managed care organizations to reimburse suppliers of durable medical equipment, prosthetics, orthotics, and supplies for manually priced items in the Medicaid program durable medical equipment fee schedule at the manufacturer’s suggested retail price minus eighteen percent (18%) pricing where there is a manufacturer’s suggested retail price, and at invoice price plus twenty percent (20%) for miscellaneous Healthcare Common Procedure Coding System codes where there is no manufacturer’s suggested retail price.
  3. The department shall require Medicaid managed care organizations to cover, at a minimum, the same Healthcare Common Procedure Coding System codes and the same quantities of medical supplies, equipment, or services as are established on the Kentucky Medicaid program durable medical equipment fee schedule or Kentucky Medicaid medical policy.
  4. The department shall ensure that the allowable timeframe for claim submissions by suppliers of durable medical equipment, prosthetics, orthotics, and supplies shall equal the timeframe allowed for any discrepancy during the Medicaid managed care organization audit or recoupment process for that claim.
  5. The reimbursement for suppliers of durable medical equipment established pursuant to this section shall only be available to a durable medical equipment supplier who is an in-network provider of the beneficiary’s Medicaid managed care organization.

HISTORY: 2019 ch. 176, § 1, effective June 27, 2019.

205.6334. Request for necessary waivers of federal law.

The Cabinet for Health and Family Services shall request any waivers of federal law that are necessary to implement the provisions of KRS 205.6310 to 205.6332 .

History. Enact. Acts 1994, ch. 512, § 84, effective July 15, 1994; 1998, ch. 426, § 214, effective July 15, 1998; 2005, ch. 99, § 256, effective June 20, 2005.

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

Yates, Brown, Hartung, Murray and Bombard, Health Care Reform in Kentucky — Setting the Stage for the Twenty-First Century?, 27 N. Ky. L. Rev. 319 (2000).

205.6336. Certification to Interim Joint Committee on Appropriations and Revenue of general fund savings realized from procedures adopted to control health-care costs — Transfer of savings to trust fund. [Repealed]

HISTORY: Enact. Acts 1994, ch. 512, § 92, effective July 15, 1994; 1998, ch. 426, § 215, effective July 15, 1998; 2000, ch. 14, § 34, effective July 14, 2000; 2005, ch. 99, § 53, effective June 20, 2005; 2012, ch. 146, § 65, effective July 12, 2012; 2012, ch. 158, § 29, effective July 12, 2012; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

205.6338. Implementation of pilot projects to provide health care to frail elderly Medicaid-eligible individuals.

  1. Within one (1) year of obtaining necessary waivers from the Federal Health Care Financing Administration, the Secretary of the Cabinet for Health Services shall take all necessary steps to implement from one (1) to three (3) pilot projects to provide health-care services to frail elderly Medicaid-eligible individuals through fully integrated managed-care systems for the elderly similar to the Program of All-Inclusive Care for the Elderly (PACE) program currently being replicated on a national basis with the approval of Congress.
  2. Within ninety (90) days of July 15, 1994, the Secretary of the Cabinet for Health Services shall request the appropriate waivers from the Federal Health Care Financing Administration to implement a PACE program or a similar program in Kentucky.

History. Enact. Acts 1994, ch. 512, § 116, effective July 15, 1994; 1998, ch. 426, § 216, effective July 15, 1998.

Legislative Research Commission Notes.

(7/15/98). References in this statute to the former Cabinet for Human Resources have been changed to the Cabinet for Health Services under 1998 Ky. Acts ch. 426, sec. 629, and KRS 7.136(2).

Research References and Practice Aids

Northern Kentucky Law Review.

Costich, The Kentucky Health Reform Act, 22 N. Ky. L. Rev. 381 (1995).

205.634. Payments prohibited to out-of-state health facility providing services without required certificate of need — Nonreimbursement of out-of-state providers of residential care for children — Exception — Administrative regulations.

  1. No medical assistance payments shall be made under this chapter to any out-of-state health facility or health service providing services within the geographic boundaries of the Commonwealth who does not have a certificate of need if the health facility or health service would be required to obtain a certificate of need under KRS Chapter 216B if the facility or service were located within the geographic boundaries of the Commonwealth.
  2. The Department for Medicaid Services and the Department for Community Based Services shall not reimburse an out-of-state provider of residential care for children whose care is paid by state general funds or state administered federal funds, unless the Department for Medicaid Services or the Department for Community Based Services or a designated agent thereof has determined that there is no provider within the Commonwealth that is capable and willing to provide comparable services at a comparable cost per child to those that would be delivered by the out-of-state provider. An exception may be made if:
    1. The identified in-state resource is farther away from the child’s parent or guardian than a similar out-of-state resource; or
    2. The services offered by the out-of-state resource is deemed by either department or a designated agent thereof to be more appropriate for the individual child than the services offered by the in-state provider.
  3. Prior to promulgating administrative regulations governing the determination of the availability of providers of residential care within the Commonwealth, the Department for Medicaid Services and the Department for Community Based Services shall establish uniform conditions, requirements, and exceptions for the determination of the availability of providers of residential care within the Commonwealth.
  4. Each department shall promulgate an administrative regulation in accordance with KRS Chapter 13A that contains the uniform conditions, requirements, and exceptions for the determination of the availability of providers of residential care within the Commonwealth established under subsection (3) of this section.

History. Enact. Acts 1996, ch. 371, § 35, effective July 15, 1996; 1998, ch. 527, § 5, effective July 15, 1998; 2000, ch. 14, § 35, effective July 14, 2000.

205.635. Skilled nursing services provided to Medicaid recipients by adult day health care programs.

An adult day health care program shall be required to provide skilled nursing services to Medicaid recipients only during the posted hours of operation.

History. Enact. Acts 2002, ch. 277, § 1, effective July 15, 2002; 2002, ch. 295, § 2, effective April 9, 2002.

Legislative Research Commission Notes.

(7/15/2002). This statute was created by 2002 Ky. Acts chs. 277 and 295 with identical language. The two sections have been codified together.

205.637. Enhanced Medicaid payments to county-owned or operated hospitals — Payments to other hospitals.

    1. A county-owned or operated hospital shall receive an enhanced Medicaid payment in an amount, calculated from the most recent cost report filed by that hospital with the department as of June 30 of each year, equal to the difference between the amount of total payments made to the hospital by the department or a managed care entity for covered services provided to Medicaid beneficiaries, including services attributable to recipients in Medicaid managed care programs, during the state fiscal year and the hospital’s cost for the services determined by the department under Medicare payment principles. Reimbursement under this section shall be made in a single payment. From July 1 through August 1 of each year, the Department for Medicaid Services shall calculate the payment due to be made to each county-owned or operated hospital and shall make the payment to each hospital no later than August 15 of each state fiscal year. The department shall make an enhanced payment to each county-owned or operated hospital in state fiscal year 1998 using cost reports filed with the department on or before June 30, 1998, for the hospitals’ latest fiscal year. (1) (a) A county-owned or operated hospital shall receive an enhanced Medicaid payment in an amount, calculated from the most recent cost report filed by that hospital with the department as of June 30 of each year, equal to the difference between the amount of total payments made to the hospital by the department or a managed care entity for covered services provided to Medicaid beneficiaries, including services attributable to recipients in Medicaid managed care programs, during the state fiscal year and the hospital’s cost for the services determined by the department under Medicare payment principles. Reimbursement under this section shall be made in a single payment. From July 1 through August 1 of each year, the Department for Medicaid Services shall calculate the payment due to be made to each county-owned or operated hospital and shall make the payment to each hospital no later than August 15 of each state fiscal year. The department shall make an enhanced payment to each county-owned or operated hospital in state fiscal year 1998 using cost reports filed with the department on or before June 30, 1998, for the hospitals’ latest fiscal year.
    2. A payment described in this section is not due to a county-owned or operated hospital unless an intergovernmental transfer is made. A county-owned or operated hospital may make an intergovernmental transfer, or an intergovernmental transfer may be made on behalf of the hospital by a county, budget unit of a county governmental agency, or lending institution if it is not prohibited by state or federal law.
    3. An intergovernmental transfer shall be made to the enhanced Medicaid payment fund by August 2 of each state fiscal year in an amount equal to eighty percent (80%) of the amount determined under paragraph (a) of this subsection and shall be matched with federal funds.
    4. An enhanced Medicaid payment shall be made to each county-owned or operated hospital participating in the intergovernmental transfer program in an amount equal to one hundred percent (100%) of the hospital’s Medicaid shortfall as determined under paragraph (a) of this subsection.
    5. The department shall determine the Medicaid shortfall for all other hospitals that are not county-owned or operated or are not state-university-owned or operated hospitals, which shall be equal to the difference between total payments made by the department or a managed care entity for covered services provided to Medicaid beneficiaries, including those enrolled in managed care, during the state fiscal year and the hospital’s costs for the services as determined by the department under Medicare payment principles. Funds remaining from the enhanced Medicaid program shall be distributed to each hospital which is not county-owned or operated or is not state-university-owned or operated on a pro rata basis. If funds remain in the enhanced Medicaid payment fund after making enhanced Medicaid payments required by this subsection, the remaining funds shall be available for use by the department for funding the regular Medicaid program.
  1. The enhanced Medicaid payment authorized under subsection (1) of this section shall not be implemented as part of the disproportionate share hospital program or if federal financial participation is not available.
  2. The Cabinet for Health and Family Services shall promulgate administrative regulations to implement the provisions of this section.

History. Enact. Acts 1998, ch. 545, § 2, effective July 15, 1998; 2005, ch. 99, § 257, effective June 20, 2005.

205.638. Portion of hospital provider tax collections to fund enhancements to inpatient payments to hospitals.

Notwithstanding KRS 205.640 or any other provision of the Kentucky Revised Statutes to the contrary, the amount of twenty-six million six hundred seventy-three thousand seven hundred sixty-four dollars ($26,673,764) from hospital provider tax collections under KRS 142.303 during state fiscal year 2008-2009 and continuing annually thereafter, shall be matched with federal funds and used solely to continue the enhancements implemented in state fiscal years 2006 and 2007 to inpatient payments to hospitals in the Commonwealth, including those hospitals paid under managed care arrangements. Any payments due pursuant to this section shall be made by July 30 of each state fiscal year.

History. Enact. Acts 2007, ch. 9, § 2, effective June 26, 2007.

205.639. Definitions for KRS 205.639 to 205.640.

As used in KRS 205.639 to 205.640 , unless the context otherwise requires:

  1. “Acute care hospital” means an acute care hospital licensed under KRS 216B.0425 except that it shall not include a critical access hospital, private psychiatric hospital, or state mental hospital;
  2. “Comprehensive physical rehabilitation hospital” means an in-state freestanding rehabilitation hospital that also meets the criteria for an inpatient rehabilitation facility under 42 C.F.R. sec. 412.29;
  3. “Critical access hospital” means a hospital licensed as a critical access hospital under KRS 216.380 ;
  4. “Department” means the Department for Medicaid Services;
  5. “Essential hospital” means an acute care hospital that qualifies as a Medicaid inpatient utilization rate (MIUR) hospital, a low-income utilization rate (LIUR) hospital, or a critical access hospital;
  6. “Final disproportionate share hospital payment” or “final DSH payment” means the state fiscal year DSH payment for a hospital determined by the department using the hospital’s examined Medicaid DSH survey and which is reconciled to the hospital’s initial state fiscal year DSH payment and limited to the hospital’s hospital-specific DSH limit;
  7. “Hospital-specific disproportionate share hospital limit” or “Hospital-specific DSH limit” means the limitation required under 42 U.S.C. sec. 1396 r-4(g) and corresponding regulations that a DSH payment may not exceed a hospital’s uncompensated costs of providing inpatient hospital and outpatient hospital services to Medicaid-eligible individuals and uninsured individuals;
  8. “Initial disproportionate share hospital payment” or “Initial DSH payment” means the state fiscal year DSH payment made to a hospital by the department using data, subject to limited review, from the hospital’s Medicaid DSH survey or proxy information and which is subject to reconciliation when the hospital’s Medicaid DSH survey is examined;
  9. “Long-term acute hospital” means an in-state hospital that is certified as a long-term care hospital under 42 U.S.C. sec. 1395 ww(d)(1)(B)(iv);
  10. “Low-income utilization rate” or “LIUR” means, for a hospital, the sum of:
    1. A fraction expressed as a percentage, rounded to the nearest hundredth:
      1. The numerator of which is the sum for a period of the total Medicaid revenues paid to the hospital for patient services, regardless of whether the services were furnished on a fee-for-service basis or through a managed care entity, and the amount of cash subsidies for patient services received directly from state and local governments; and
      2. The denominator of which is the total amount of revenues of the hospital for patient services, including the amount of cash subsidies, in the period; and
    2. A fraction expressed as a percentage rounded to the nearest hundredth:
      1. The numerator of which is the total amount of the hospital’s charges for inpatient hospital services which are attributable to charity care in a period, less the portion of any cash subsidies described in subparagraph 1. of paragraph (a) of this subsection in the period reasonably attributable to inpatient hospital services, and which shall not include contractual allowances and discounts other than for indigent patients not eligible for medical assistance; and
      2. The denominator of which is the total amount of the hospital’s charges for inpatient hospital services in the hospital in the period;
  11. “Low-income utilization rate hospital” or “LIUR hospital” means an acute care hospital whose low-income utilization rate exceeds one hundred twenty percent (120%) of the state average low-income utilization rate rounded to the nearest hundredth for all acute care hospitals, critical access hospitals, private psychiatric hospitals, and university hospitals combined, as reported on the hospitals’ Medicaid DSH surveys;
  12. “Medicaid disproportionate share hospital survey” or “Medicaid DSH survey” means the report required to be submitted by each hospital receiving Medicaid disproportionate share payments pursuant to 42 C.F.R. sec. 447.299;
  13. “Medicaid uncompensated care” means the same as in 42 C.F.R. sec. 447.299(c)(11);
  14. “Medicaid inpatient utilization rate” or “MIUR” means, for a hospital, a fraction expressed as a percentage rounded to the nearest hundredth for which the numerator shall be the number of in-state and out-of-state inpatient Medicaid days where Medicaid is the primary payor, covered under fee-for-service and managed care, and for which the denominator shall be the total number of inpatient days for the hospital as reported on the hospital’s Medicaid DSH survey. However, for a pediatric teaching hospital, as defined in KRS 205.565 , the calculation shall exclude from the numerator and the denominator the hospital’s inpatient Medicaid days utilized in the calculation of an intensity operating allowance (IOA) payment. Supplemental information will be requested to support the IOA days included in the Medicaid DSH survey submission;
  15. “Medicaid inpatient utilization rate hospital” or “MIUR hospital” means an acute care hospital whose MIUR equals or exceeds one (1) standard deviation above the mean MIUR rounded to the nearest hundredth for all acute care hospitals, critical access hospitals, private psychiatric hospitals, and university hospitals combined, as determined from the hospitals’ Medicaid DSH surveys;
  16. “Paid claims listing” or “PCL” means a report created for a hospital by the department, or by a Medicaid managed care organization using the same format as the department, with claim level payment information prescribed by the department in sufficient detail to permit reconciliation with the hospital’s internal data for each Medicaid recipient or managed care enrollee having a discharge date or service date, as applicable, for inpatient or outpatient services within a hospital’s fiscal year;
  17. “Private psychiatric hospital” means a psychiatric hospital licensed under KRS Chapter 216B that is not a state mental hospital and is not a distinct part unit of a licensed acute care hospital or operated under the same provider number as a licensed acute care hospital;
  18. “State mental hospital” means a psychiatric hospital licensed under KRS Chapter 216B that is owned or operated by the Commonwealth;
  19. “Total uncompensated care costs” means the same as in 42 C.F.R. sec. 447.299(c)(16);
  20. “Uninsured uncompensated care costs” means the same as in 42 C.F.R. sec. 447.299(c)(15); and
  21. “University hospital” means a state university teaching hospital, owned or operated by either the University of Kentucky School of Medicine or the University of Louisville School of Medicine.

HISTORY: Enact. Acts 2000, ch. 310, § 1, effective April 4, 2000; 2018 ch. 76, § 1, effective July 14, 2018.

205.640. Medical Assistance Revolving Trust Fund (MART) — Distribution of disproportionate share funds — Authority for administrative regulations — Duties of hospitals receiving funds from MART.

  1. The commissioner of Medicaid services shall adopt a disproportionate share program consistent with the requirements of Title XIX of the Social Security Act which shall include to the extent possible, but not limited to, the provisions of this section.
  2. The Medical Assistance Revolving Trust Fund (MART) shall be established in the State Treasury and all provider tax revenues collected pursuant to KRS 142.301 to 142.363 shall be deposited in the State Treasury and transferred on a quarterly basis to the Department for Medicaid Services for use as specified in this section. All investment earnings of the fund shall be credited to the fund. Provider tax revenues collected in accordance with KRS 142.301 to 142.363 may be used to fund the provisions of KRS 216.2920 to 216.2929 and to supplement the medical assistance-related general fund appropriations for fiscal year 1994 and subsequent fiscal years. Notwithstanding the provisions of KRS 48.500 and 48.600 , the MART fund shall be exempt from any state budget reduction acts.
    1. Beginning in state fiscal year 2000-2001 and continuing annually thereafter, provider tax revenues and state and federal matching funds shall be used to fund the disproportionate share program established by administrative regulations promulgated by the Cabinet for Health and Family Services. Disproportionate share funds shall be divided into three (3) pools for distribution as follows: (3) (a) Beginning in state fiscal year 2000-2001 and continuing annually thereafter, provider tax revenues and state and federal matching funds shall be used to fund the disproportionate share program established by administrative regulations promulgated by the Cabinet for Health and Family Services. Disproportionate share funds shall be divided into three (3) pools for distribution as follows:
      1. An acute care pool, composed of critical access hospitals, comprehensive physical rehabilitation hospitals, long-term acute hospitals, and acute care hospitals that do not qualify as a university hospital, shall receive an initial and a final allocation determined by subtracting from the state’s total DSH allotment:
        1. The allocation required in subparagraph 2. of this paragraph for the psychiatric pool; and
        2. The initial or final, as applicable, DSH payments to be made to hospitals in the university pool in subparagraph 3. of this paragraph;
      2. A psychiatric pool, composed of private psychiatric hospitals and state mental hospitals, shall receive the percentage allowable by federal law pursuant to 42 U.S.C. sec. 1396 r-4(h), up to nineteen and eight-hundredths percent (19.08%) of the total disproportionate share funds, with the allocation between each respective group of hospitals established by the biennial budget; except, however, that the allocation to state mental hospitals shall not exceed ninety-two and three-tenths percent (92.3%) of the total allotment to the psychiatric pool. If there are remaining funds within the psychiatric pool after all private psychiatric hospitals reach their hospital-specific DSH limit, state mental hospitals may exceed the ninety-two and three-tenths percent (92.3%) limit but may not exceed their hospital-specific DSH limit;
      3. A university hospital pool, composed of university hospitals, shall receive thirty-seven percent (37%) of the state’s DSH allotment; except, however, that initial and final DSH payments to university hospitals shall be determined according to paragraph (e) of this subsection and not exceed the pool’s overall allotment;
      4. If there are any remaining disproportionate share funds from the psychiatric pool, fifty-four percent (54%) of those funds shall be distributed to the acute care pool and forty-six percent (46%) shall be distributed to the university pool. If the university hospitals are unable to absorb additional DSH payment dollars, remaining funds shall be distributed to the acute care pool; and
      5. If, in any year, university hospitals fail to provide state matching funds necessary to secure federal financial participation for the funds allocated to university hospitals under this subsection, the portion of the funding allocation that is not matched by university hospitals shall be made available to the acute care pool.
    2. The MART fund shall be used to compensate acute care hospitals, private psychiatric hospitals, state mental hospitals, critical access hospitals, comprehensive physical rehabilitation hospitals, long-term acute care hospitals, and university hospitals participating in the disproportionate share program for uncompensated care costs.
    3. An individual hospital shall receive distributions if the hospital meets the requirements of the disproportionate share program pursuant to 42 U.S.C. sec. 1396 r-4.
      1. An individual hospital shall not receive an initial DSH payment unless the hospital submits a Medicaid DSH survey by the deadline established by subsection (8)(a) of this section, unless the deadline has been extended by the commissioner of the department. Extension requests shall be received at least ten (10) days prior to the deadline. Extensions shall be limited to rare circumstances which prevent the hospital from meeting the deadline despite due diligence. Extensions shall be granted for no more than thirty (30) calendar days from the original due date for the Medicaid DSH survey. Failure to submit a DSH survey in a timely manner or other required information for receipt of an initial DSH payment shall result in an individual hospital’s final DSH payment being reduced by twenty percent (20%). (d) 1. An individual hospital shall not receive an initial DSH payment unless the hospital submits a Medicaid DSH survey by the deadline established by subsection (8)(a) of this section, unless the deadline has been extended by the commissioner of the department. Extension requests shall be received at least ten (10) days prior to the deadline. Extensions shall be limited to rare circumstances which prevent the hospital from meeting the deadline despite due diligence. Extensions shall be granted for no more than thirty (30) calendar days from the original due date for the Medicaid DSH survey. Failure to submit a DSH survey in a timely manner or other required information for receipt of an initial DSH payment shall result in an individual hospital’s final DSH payment being reduced by twenty percent (20%).
      2. A hospital newly enrolled in the Medicaid program, which does not have at least six (6) months of cost report information necessary to calculate an initial DSH payment, may submit a limited DSH survey for the purpose of determining if the hospital is eligible to receive an initial DSH payment.
    4. Distributions shall be made as follows:
      1. For state fiscal year 2018-2019, the department shall use the examined state fiscal year 2014-2015 DSH survey to calculate an initial DSH payment. Providers who did not receive a DSH payment for state fiscal year 2014-2015 shall be eligible to submit data for the purpose of the 2019 payment, subject to limited review. For state fiscal year 2019-2020, and each year thereafter, the department shall use the Medicaid DSH survey covering the hospital’s fiscal year ending in the calendar year preceding July 1 of the applicable state fiscal year to calculate an initial DSH payment. Using the surveys submitted in accordance with this subsection, payments shall be made as follows:
        1. Each university hospital in the university pool shall receive an initial DSH payment equal to one hundred percent (100%) of the hospital’s total uncompensated care costs if the total initial DSH payments to all hospitals in the university pool do not exceed the maximum allotment to the university pool as set forth in subsection (3)(a) of this section. If the total uncompensated care costs for the pool exceed the pool’s maximum allotment, the initial uncompensated care factor for university hospitals shall be determined by calculating the percentage of each hospital’s total uncompensated care costs toward the sum of the total uncompensated care costs of all hospitals in the university pool, and each hospital’s initial DSH payment shall be calculated by multiplying the hospital’s initial uncompensated care factor by the total funds allocated to the university hospital pool;
        2. For each private psychiatric and state mental hospital in the psychiatric pool, the department shall calculate an initial uncompensated care factor. The initial uncompensated care factor for a private psychiatric or state mental hospital shall be determined by calculating the percentage of each hospital’s total uncompensated care costs toward the sum of the total uncompensated care costs for all private psychiatric or state mental hospitals in the psychiatric pool, as appropriate. Each hospital’s initial DSH payment shall be calculated by multiplying the hospital’s initial uncompensated care factor by the total funds allocated to private psychiatric or state mental hospitals in the psychiatric pool, as appropriate. No individual hospital’s initial DSH payment shall exceed the hospital’s hospital-specific DSH limit;
        3. For each hospital in the acute care pool, the department shall make an initial determination of whether the acute care hospital qualifies as an essential hospital and calculate an initial uncompensated care factor for each hospital. The initial uncompensated care factor for each hospital in the acute care pool shall be determined by calculating the percentage of each hospital’s total uncompensated care costs toward the sum of the total uncompensated care costs for all hospitals in the acute care pool except that the initial uncompensated care factor for an essential hospital shall be calculated using two hundred percent (200%) of the hospital’s total uncompensated care costs. Each hospital’s initial DSH payment shall be calculated by multiplying the hospital’s initial uncompensated care factor by the total funds allocated to the acute care pool. No individual hospital’s initial DSH payment shall exceed the hospital’s hospital-specific DSH limit;
        4. For any hospital that is newly enrolled in the Medicaid program and lacks at least six (6) months of cost report information, the department shall calculate a proxy amount for the hospital’s uncompensated care costs. A newly enrolled hospital’s uncompensated care costs proxy amount shall be determined by first dividing the total uncompensated care costs for all non-newly enrolled hospitals in the appropriate pool by the total number of hospital beds, excluding swing beds, reported on the Medicaid cost reports by those hospitals and then multiplying the resulting uncompensated care cost per bed by the new hospital’s total number of hospital beds, excluding swing beds. Any uncompensated care costs proxy amounts calculated for newly enrolled hospitals shall be used in the determination of initial uncompensated care factors for all other hospitals in the appropriate pool;
        5. The department may make adjustments to a Medicaid DSH survey filed by a hospital to correct information that is incomplete or inaccurate as determined by limited review. If the department makes adjustments to a hospital’s Medicaid DSH survey, the department shall provide written notice to the hospital;
        6. If a hospital has a negative uncompensated care cost, its uncompensated care costs shall be excluded from the calculation of any uncompensated care costs proxy amount for newly enrolled hospitals and uncompensated care factors for the appropriate pool;
        7. By September 30 of each year, the department shall calculate an initial DSH payment pursuant to subparagraph 1. of this paragraph and shall notify each hospital of their calculation. The notice shall, at minimum, contain the following for each hospital:
          1. Uninsured uncompensated care costs;
          2. Total uncompensated care costs;
          3. The status of the MIUR and LIUR calculations;
          4. The uncompensated care factor; and
          5. The estimated initial annual payment amount;
        8. Hospitals shall notify the department by October 31 of any adjustments in the department’s initial calculations;
        9. The department shall make any necessary adjustments and shall issue an initial DSH payment to each hospital in one (1) lump-sum payment on or before November 30, for the disproportionate share funds available during the corresponding federal fiscal year. If the federal disproportionate share allotment for the Commonwealth has not been published through the Federal Register by November 15, the department may pay a portion but no less than ninety percent (90%)of the expected annual payment prior to the publication of the annual federal allotment. If a partial initial payment is made, the remaining amount shall be paid within sixty (60) days after the date upon which notice of the Commonwealth’s federal allotment is published through the Federal Register; and
        10. An initial DSH payment shall not be subject to appeal;
        1. Each hospital’s total initial DSH payment shall be reconciled to a final DSH payment using the examined Medicaid DSH surveys and shall correspond to the applicable state fiscal year DSH payment year. 2. a.  Each hospital’s total initial DSH payment shall be reconciled to a final DSH payment using the examined Medicaid DSH surveys and shall correspond to the applicable state fiscal year DSH payment year.
        2. Using the surveys submitted in accordance with subsection (8)(a) of this section, the department shall make a final determination of whether an acute care hospital qualifies as a MIUR or as a LIUR hospital. Any qualifying hospital will be deemed an essential hospital. Critical access hospital status will also be confirmed to make a final determination of essential hospital status.
        3. The department shall calculate a final DSH payment as follows:
          1. Each university hospital shall receive a final DSH payment equal to one hundred percent (100%) of the hospital’s total uncompensated costs so long as the total final DSH payments to all university hospitals do not exceed the maximum allotment to the university pool as set forth in subsection (3)(a) of this section. If total uncompensated care cost for the pool exceeds the pool’s maximum allotment, the final uncompensated care factor for university hospitals shall be determined by calculating the percentage of each hospital’s total uncompensated care costs toward the sum of the total uncompensated care costs for all hospitals within the university pool. In this event, each hospital’s final DSH payment shall be calculated by multiplying the hospital’s uncompensated care factor by the total fund allocated to the hospitals within the respective pool under subsection (3)(a) of this section;
          2. For hospitals in the acute care pool and the psychiatric pool, the department shall recalculate each hospital’s uncompensated care factor using examined data. The final uncompensated care factor for each hospital that qualifies as an essential hospital shall be computed using two hundred percent (200%) of the hospital’s total uncompensated care costs using examined data;
          3. If a hospital has a negative uncompensated care cost, their uncompensated care cost will be excluded in the calculation of uncompensated care factors; and
          4. The department shall compare each hospital’s initial DSH payment with the hospital’s final DSH payment and with the hospital’s hospital-specific DSH limit to determine if any underpayment or an overpayment exists.
        4. By September 30 of the fourth year following the year in which an initial DSH payment is made, the department shall provide each hospital with a final DSH reconciliation report which, at a minimum, shall indicate the following:
          1. A hospital’s final MIUR and LIUR status;
          2. Final uncompensated care factor and underlying data;
          3. Final DSH payment; and
          4. If applicable, the amount of any overpayment to be paid to the department and the due date for repayment.
        5. If an overpayment is identified, repayment shall be made by January 31 of the following year, which is five (5) years following the year in which an initial DSH payment is made.
        6. Hospitals shall notify the department by October 31 of any corrections to the department’s calculations.
        7. If a hospital’s initial DSH payment was less than the hospital’s final DSH payment, the department shall pay the hospital the amount of the difference. Final DSH payments shall be issued by the department within sixty (60) days of the due date for the repayment of funds from hospitals with a DSH overpayment. If all repayments have not yet been received by the due date, the department shall distribute the funds collected as of the due date, and shall issue additional payments on a timely basis upon collection of all remaining outstanding overpayments.
        8. Any funds remaining after the reconciliation process shall be redistributed pursuant to subparagraph 3. of this paragraph; and
      2. Disproportionate share payments remaining after reconciling each hospital’s initial DSH payment with the hospital’s final DSH payment shall be distributed to other hospitals in the acute care pool, university pool, or to private psychiatric hospitals in the psychiatric pool as follows:
        1. Funds shall first be distributed to all hospitals in the same pool as the hospitals from which the overpayments were recovered, and the funds shall be distributed in a proportional manner in relation to each hospital’s remaining total uncompensated care costs in accordance with the hospital’s examined DSH survey for the applicable DSH year;
        2. In the proportional distribution, the distribution factor for each hospital that qualifies as an essential hospital shall be computed using two hundred percent (200%) of the hospital’s total remaining uncompensated care costs; and
        3. If DSH funds remain after making this distribution to other hospitals in the same pool, funds shall be distributed proportionally to hospitals in the acute care pool, university pool, and private psychiatric hospitals in the psychiatric pool in relation to each hospital’s remaining total uncompensated care costs in accordance with the hospital’s examined Medicaid DSH survey for the applicable DSH year.
  3. Notwithstanding any other provision to the contrary, total annual disproportionate share payments made to state mental hospitals, university hospitals, acute care hospitals, critical access hospitals, comprehensive physical rehabilitation hospitals, long-term acute care hospitals, and private psychiatric hospitals in each state fiscal year shall be equal to the maximum amount of disproportionate share payments established under the Federal Balanced Budget Act of 1997 and any amendments thereto. Disproportionate share payments made to a hospital shall not exceed the hospital’s total uncompensated costs or the hospital’s hospital-specific DSH limit.
  4. The secretary of the Cabinet for Health and Family Services shall promulgate administrative regulations, pursuant to KRS Chapter 13A, for the administration and implementation of this section.
  5. All hospitals receiving reimbursement under this section shall display prominently a sign which reads as follows: “This hospital will accept patients regardless of race, creed, ethnic background, or ability to pay.”
  6. The hospital shall, upon request by the Cabinet for Health and Family Services, submit any supporting documentation to substantiate compliance with the audit requirements established by 42 C.F.R. sec. 455.
    1. An in-state hospital participating in the Medicaid Program shall submit a Medicaid DSH survey corresponding to the hospital’s cost reporting period to the department no later than sixty (60) days following the hospital’s submission of their annual cost report, unless an extension has been granted by the commissioner. Extension requests shall be received ten (10) days prior to the deadline. Extensions shall be limited to rare circumstances which prevent the hospital from meeting the deadline despite its due diligence. Extensions shall be granted for no more than thirty (30) calendar days from the original due date. A new in-state hospital lacking six (6) months of cost report information necessary to calculate an initial DSH payment shall submit a limited DSH survey to determine eligibility no later than the September 1 immediately prior to the department’s initial DSH payment calculation. A hospital may submit corrections to an applicable Medicaid DSH survey prior to the scheduled start date of the department’s desk review. (8) (a) An in-state hospital participating in the Medicaid Program shall submit a Medicaid DSH survey corresponding to the hospital’s cost reporting period to the department no later than sixty (60) days following the hospital’s submission of their annual cost report, unless an extension has been granted by the commissioner. Extension requests shall be received ten (10) days prior to the deadline. Extensions shall be limited to rare circumstances which prevent the hospital from meeting the deadline despite its due diligence. Extensions shall be granted for no more than thirty (30) calendar days from the original due date. A new in-state hospital lacking six (6) months of cost report information necessary to calculate an initial DSH payment shall submit a limited DSH survey to determine eligibility no later than the September 1 immediately prior to the department’s initial DSH payment calculation. A hospital may submit corrections to an applicable Medicaid DSH survey prior to the scheduled start date of the department’s desk review.
    2. The department shall notify each hospital in advance of the desk review of the opportunity to submit corrections to the Medicaid DSH survey.
    3. The department and each Medicaid managed care organization shall supply a paid claims listing (PCL) to each hospital within ninety (90) days of the last day of the hospital’s fiscal year end date and a second set of data twelve (12) months after the hospital’s fiscal year end date. The PCL shall include all claims with discharge dates or service dates, as applicable, within the hospital’s fiscal year that are paid from the first day of the hospital’s fiscal year to ninety (90) days or twelve (12) months, respectively, after the end of the hospital’s fiscal year. For all hospitals, the department and each Medicaid managed care organization shall provide separate reports for adjudicated claims associated with both inpatient services and outpatient services provided to eligible members. If the PCL data is inaccurate or unavailable, providers shall complete the DSH survey using internal data.
    4. The department shall specify a timetable for hospitals to update DSH audit survey data.

HISTORY: Enact. Acts 1993 (2nd Ex. Sess.), ch. 2, § 20, effective June 8, 1993; 1994, ch. 512, § 85, effective July 15, 1994; 1998, ch. 82, § 21, effective July 15, 1998; 1998, ch. 426, § 217, effective July 15, 1998; 1998, ch. 545, § 1, effective July 15, 1998; 2000, ch. 310, § 2, effective April 4, 2000; 2001, ch. 164, § 9, effective June 21, 2001; 2005, ch. 99, § 258, effective June 20, 2005; 2005, ch. 120, § 14, effective June 20, 2005; 2010, ch. 142, § 1, effective July 15, 2010; 2018 ch. 76, § 2, effective July 14, 2018.

Legislative Research Commission Notes.

(7/1/2006). The amendments to this statute made in 2005 Ky. Acts ch. 107, sec. 1, have not taken effect. Section 2 of 2005 Ky. Acts ch. 107 states: “This Act shall become effective upon certification to the Reviser of Statutes from the secretary of the Cabinet for Health Services that necessary federal approval of the proposed distribution of disproportionate share funds outlined in subsection (3) of Section 1 has been obtained. This Act shall not become effective if certification is not received prior to July 1, 2006.” The Reviser of Statutes did not receive certification by that date.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 82, 426, and 545. Where these Acts are not in conflict, they have been codified together. Where a conflict exists, between ch. 426 and ch. 545, Acts ch. 545, which was a nonrevisory Act, prevails under KRS 7.136(3).

NOTES TO DECISIONS

1.Relationship to Federal Law.

Kentucky Hospital Care Program (KHCP) patient days were properly excluded from calculation of the Medicare Disproportionate Share Hospital (DSH) adjustment because KHCP patients were not eligible for Medicaid; the phrase “eligible for medical assistance under a State plan approved under subchapter XIX of this chapter” under 42 U.S.C.S. § 1395ww was synonymous with “eligible for Medicaid.” Owensboro Health, Inc. v. United States HHS, 832 F.3d 615, 2016 FED App. 0190P, 2016 U.S. App. LEXIS 14680 (6th Cir. Ky. 2016 ).

205.6401. Penalty for failure of Medicaid managed care organization to provide accurate paid claims listing.

A Medicaid managed care organization that does not provide a hospital with an accurate and complete paid claims listing as required under KRS 205.640(8)(c) shall be subject to a penalty of one thousand dollars ($1,000) per day, starting on the first day after the report was due and continuing until the report is provided.

HISTORY: 2018 ch. 76, § 3, effective July 14, 2018.

205.6403. Administrative regulations to comply with change in federal law — Payments contingent on federal participation.

  1. If federal law governing disproportionate share hospital payments changes, the Department for Medicaid Services may promulgate administrative regulations in accordance with KRS Chapter 13A to comply with the changes.
  2. All payments specified in KRS 205.640 are contingent upon the receipt of federal financial participation, availability of state funds, and Centers for Medicare and Medicaid Services’ approval.

HISTORY: 2018 ch. 76, § 4, effective July 14, 2018.

205.6405. Definitions for KRS 205.6405 to 205.6408.

As used in KRS 205.6405 to 205.6408 :

  1. “Assessment” means the hospital assessment authorized by KRS 205.6406 ;
  2. “Commissioner” means the commissioner of the Department for Medicaid Services;
  3. “Department” means the Department for Medicaid Services;
  4. “Excess disproportionate share taxes” means any excess provider tax revenues collected under KRS 142.303 that are not needed to fund the state share of hospital disproportionate share payments under KRS 205.640 due to federal disproportionate share allotments being reduced and limited to the portion of provider tax revenues collected under KRS 142.303 necessary to fund the state share of the difference between the unreduced disproportionate share allotment and the reduced disproportionate share allotment;
  5. “Intergovernmental transfer” means any transfer of money by or on behalf of a public agency for purposes of qualifying funds for federal financial participation in accordance with 42 C.F.R. sec. 433.51;
  6. “Long-term acute hospital” means an in-state hospital that is certified as a long-term care hospital under 42 U.S.C. sec. 1395 ww(d)(1)(B)(iv);
  7. “Managed care” means the provision of Medicaid benefits through managed care organizations under contract with the department pursuant to 42 C.F.R. sec. 438;
  8. “Managed care gap” means the difference between the maximum actuarially sound amount that can be included in managed care rates for hospital inpatient services provided by qualifying hospitals and out-of-state hospitals and the amount of total payments for hospital inpatient services provided by qualifying hospitals and out-of- state hospitals paid by managed care organizations. For purposes of the managed care gap, total payments shall include only those supplemental payments made to a qualifying hospital and shall exclude payments established under KRS 205.6405 to 205.6408 ;
  9. “Managed care organization” means an entity contracted with the department to provide Medicaid benefits pursuant to 42 C.F.R. sec. 438;
  10. “Non-state government-owned hospital” means the same as non-state government- owned or operated facilities in 42 C.F.R. sec. 447.272 and represents one (1) group of hospitals for purposes of estimating the upper payment limit;
  11. “University hospital” means a state university teaching hospital, owned or operated by either the University of Kentucky College of Medicine or the University of Louisville School of Medicine, including a hospital owned or operated by a related organization pursuant to 42 C.F.R. sec. 413.17;
  12. “Pediatric teaching hospital” means the same as in KRS 205.565 ;
  13. “Private hospitals” means the same as privately owned and operated facilities in 42 C.F.R. sec. 447.272 and represents one (1) group of hospitals for purposes of estimating the upper payment limit;
  14. “Program year” means the state fiscal year during which an assessment is assessed and rate improvement payments are made;
  15. “Psychiatric access hospital” means an in-state psychiatric hospital licensed under KRS Chapter 216B that:
    1. Is not located in a Metropolitan Statistical Area;
    2. Provides at least sixty-five thousand (65,000) days of inpatient care as reflected in the department’s hospital rate data for state fiscal year 1998-1999;
    3. Provides at least twenty percent (20%) of inpatient care to Medicaid-eligible recipients as reflected in the department’s hospital rate data for state fiscal year 1998-1999; and
    4. Provides at least five thousand (5,000) days of inpatient psychiatric care to Medicaid recipients in a state fiscal year;
  16. “Qualifying hospital” means a Medicaid-participating, in-state hospital licensed under KRS Chapter 216B, including a long-term acute hospital, but excluding a university hospital and a state mental hospital defined in KRS 205.639 . The department may, but is not required to, exclude critical access hospitals from the definition of “qualifying hospital” for purposes of calculating the quarterly assessments. Notwithstanding the permission referenced in this subsection, or any other provision of the law to the contrary, the department may include critical access hospitals for purposes of calculating and paying the quarterly supplemental payments authorized in KRS 205.6406 ;
  17. “Qualifying hospital disproportionate share percentage” means a percentage equal to the amount of hospital provider taxes paid pursuant to KRS 142.303 by qualifying hospitals in state fiscal year 2016-2017 divided by the amount of hospital provider taxes paid pursuant to KRS 142.303 by all hospitals in state fiscal year 2016-2017;
  18. “University hospital disproportionate share percentage” means a percentage equal to the amount of hospital provider taxes paid pursuant to KRS 142.303 by university hospitals and state mental hospitals, as defined in KRS 205.639 , in state fiscal year 2016-2017 divided by the amount of hospital provider taxes paid pursuant to KRS 142.303 by all hospitals in fiscal year 2016-2017;
  19. “Upper payment limit” or “UPL” means the methodology permitted by federal regulation to achieve the maximum allowable amount on aggregate hospital Medicaid payments to non-state government-owned hospitals and private hospitals under 42 C.F.R. sec. 447.272. A separate UPL shall be estimated for non-state government-owned hospitals and private hospitals; and
  20. “UPL gap” means the difference between the UPL and amount of total fee-for- service payments paid by the department for hospital inpatient services provided by non-state government-owned hospitals and private hospitals to Medicaid beneficiaries and excluding payments established under KRS 205.6405 to 205.6408 . A separate UPL gap shall be estimated for the non-state government-owned hospitals and private hospitals.

HISTORY: 2019 ch. 114, § 1, effective June 27, 2019; 2021 ch. 60, § 1, effective March 22, 2021.

205.6406. Hospital rate improvement programs — Calculation and payment of assessment on hospitals to provide state matching dollars for federal Medicaid funds — Supplemental payments to hospitals — Federal participation and approval required for implementation of programs.

  1. To the extent allowable under federal law, the department shall develop the following programs to increase Medicaid reimbursement for inpatient hospital services provided by a qualifying hospital to Medicaid recipients:
    1. A program to increase inpatient reimbursement to qualifying hospitals within the Medicaid fee-for-service program in an aggregate amount equivalent to the UPL gap; and
    2. A program to increase inpatient reimbursement to qualifying hospitals within the Medicaid managed care program in an aggregate amount equivalent to the managed care gap.
  2. On an annual basis prior to the start of each program year, the department shall determine:
    1. The maximum allowable UPL for inpatient services provided in the Kentucky Medicaid fee-for-service program;
    2. The fee-for-service UPL gap for applicable ownership groups;
    3. A per discharge uniform add-on amount to be applied to Medicaid fee-for- service discharges at qualifying hospitals for that program year, determined by dividing the UPL gap for the applicable ownership group by total fee-for- service hospital inpatient discharges at qualifying hospitals in the data used to calculate the UPL gap. Claims for discharges that already receive an enhanced rate at qualifying hospitals that also are classified as a pediatric teaching hospital or as a psychiatric access hospital shall be excluded from the calculation of the per discharge uniform add-on, unless the department is required to include these claims to obtain federal approval;
    4. The maximum managed care gap for inpatient services; and
    5. A per discharge uniform add-on amount to be applied to Medicaid managed care discharges at qualifying hospitals for that program year in an amount that is calculated by dividing the managed care gap by total managed care in-state qualifying hospital inpatient discharges in the data used to calculate the managed care gap. Claims for discharges that already receive an enhanced rate at qualifying hospitals that also are classified as a pediatric teaching hospital or as a psychiatric access hospital shall be excluded from the calculation of the per discharge uniform add-on, unless the department is required to include these claims to obtain federal approval.

      At least thirty (30) days prior to the beginning of each program year, the department shall provide each qualifying hospital the opportunity to verify the base data to be utilized in both the fee-for-service and managed care gap calculations, with data sources and methodologies identified.

  3. On a quarterly basis in the program year, the department shall:
    1. Calculate a fee-for-service quarterly supplemental payment for each qualifying hospital using fee-for-service claims for inpatient discharges paid in the quarter to the qualifying hospital multiplied by the uniform add-on amount determined in subsection (2)(c) of this section;
    2. Calculate a managed care quarterly supplemental payment for each qualifying hospital to be paid by each managed care organization using managed care encounter claims for inpatient discharges received in the quarter multiplied by the uniform add-on amount determined in subsection (2)(e) of this section;
    3. Make the quarterly supplemental payment calculated under paragraph (a) of this subsection;
    4. Provide each managed care organization with a listing of the supplemental payments to be paid by each managed care organization to each qualifying hospital;
    5. Provide each managed care organization with a supplemental capitation payment to cover the managed care organization’s quarterly supplemental payments to be paid to qualifying hospitals in the quarter;
    6. Determine the amount of state funds necessary to obtain federal matching funds that, in the aggregate, equal the total quarterly supplemental payments to be paid to all qualifying hospitals in both the fee-for-service and the Medicaid managed care programs;
    7. Determine a per discharge hospital assessment for the quarter for each qualifying hospital, which shall be calculated by first applying towards the state share calculated under paragraph (f) of this subsection the qualifying hospital disproportionate share percentage of the excess disproportionate share taxes and then dividing the remaining state share by the total discharges reported by all in-state qualifying hospitals on the Medicare cost report filed by those qualifying hospitals in the calendar year two (2) years prior to the program year;
    8. Determine each qualifying hospital’s quarterly assessment by multiplying the assessment established in paragraph (g) of this subsection by the hospital’s total discharges from the qualifying hospital’s Medicare cost report filed in the calendar year two (2) years prior to the program year; and
    9. Provide each qualifying hospital with a notice sent on the same day as the distribution to managed care organizations of the supplemental capitation payments pursuant to paragraph (e) of this subsection, of the qualifying hospital’s quarterly assessment, that shall state the total amount due from the assessment, the date payment is due, the total number of paid claims for inpatient discharges used to calculate the qualifying hospital’s quarterly supplemental payments, and the amount of quarterly supplemental payments due to be received by the qualifying hospital from the department and each Medicaid managed care organization.
  4. In calculating the quarterly supplemental payments under subsection (3)(a) and (b) of this section for qualifying hospitals that are also classified as a pediatric teaching hospital or as a psychiatric access hospital, no add-on shall be applied to the paid claims for the services for which that hospital also receives supplemental payments pursuant to state plan methodologies and managed care contracts in effect on January 1, 2019.
  5. Each qualifying hospital shall receive four (4) quarterly supplemental payments in the program year, as determined under subsection (3) of this section.
  6. Medicaid managed care organizations shall pay the supplemental payments to qualifying hospitals within five (5) business days of receiving the supplemental capitation payment from the department.
  7. A qualifying hospital shall pay its quarterly assessment no later than fifteen (15) days from the date the qualifying hospital is notified of the assessment from the department. A non-state government-owned hospital may make payment of its assessment through an intergovernmental transfer. The department may delay or withhold a portion of the supplemental payment if a hospital is delinquent in its payment of a quarterly assessment.
  8. The department shall complete the actions required under subsection (3) of this section expeditiously and within the same quarter as all required information is received.
  9. Qualifying hospitals may notify the department of errors in the data used to make a quarterly supplemental payment by providing documentation within thirty (30) days of receipt of a quarterly supplemental payment from a Medicaid managed care organization. If the department agrees that an error occurred in a qualifying hospital’s quarterly supplemental payment, the department shall reconcile the payment error through an adjustment in the qualifying hospital’s next quarterly supplemental payment.
  10. The programs in this section shall not be implemented if federal financial participation is not available or if the provider tax waiver is not approved. A qualifying hospital shall have no obligation to pay an assessment if any federal agency determines that federal financial participation is not available for any assessment. Any assessments received by the department that cannot be matched with federal funds shall be returned pro rata to the qualified hospitals that paid the assessments.
  11. The department may implement the hospital rate improvement programs only if Medicaid state plan amendments required for federal financial participation are approved by the United States Centers for Medicare and Medicaid Services.
  12. The assessment authorized under KRS 205.6405 to 205.6408 shall be restricted for use to accomplish the inpatient reimbursement increases established under this section. The Commonwealth shall not maintain or revert funds received under KRS 205.6405 to 205.6408 to the state general fund, except that the department may receive two hundred fifty thousand dollars ($250,000) in state funds each program year to administer the programs. The department shall not establish Medicaid fee- for-service rate-setting methodology changes that result in rate reductions from policies in effect as of October 1, 2018, for acute care hospitals and July 1, 2019, for hospitals paid on a per diem basis.
  13. The department shall promulgate administrative regulations to implement the provisions of KRS 205.6405 to 205.6408 .
  14. If the department submits, and the United States Centers for Medicare and Medicaid Services (CMS) approves, a supplemental payment formula that permits the managed care gap to be calculated based upon a percentage of average commercial rates (ACR) that results in a total annual supplemental payment greater than eighty percent (80%) of ACR instead of the Medicare upper payment limit, then the Hospital Rate Improvement Program shall be modified as follows:
    1. The amount of funds the department may receive to administer the programs as stated in subsection (12) of this section shall be replaced by an administrative fee that shall be calculated to be an amount equal to four percent (4%) of the assessment collected under this section. The administrative fee payable under this paragraph shall accrue only for supplemental payments attributable to state fiscal year 2021-2022 and for state fiscal years thereafter so long as CMS approves the supplemental payment formula in accordance with this subsection. The administrative fee shall be paid within thirty (30) days after supplemental payments are issued to qualifying hospitals; and
    2. The department shall not be required under KRS 205.6408 to transfer any excess disproportionate share taxes to the hospital Medicaid assessment fund for use as state matching dollars for the payments made under this section.

HISTORY: 2019 ch. 114, § 2, effective June 27, 2019; 2021 ch. 60, § 2, effective March 22, 2021.

205.6407. Hospital Medicaid assessment fund.

  1. There is hereby established in the State Treasury the hospital Medicaid assessment fund for the purpose of holding assessments collected under KRS 205.6406 and funds transferred pursuant to KRS 205.6408 .
  2. All assessments collected shall be deposited into the fund and transferred to the department on a quarterly basis to be distributed only for the purpose of administering the provisions of KRS 205.6406 .
  3. Any fund amounts remaining in the fund after the cessation of the collection of the assessment under KRS 205.6406 shall be refunded to qualifying hospitals on a pro rata basis based upon the assessments paid by each qualifying hospital for the program year that ended immediately before the cessation of the collection of the assessment.
  4. Notwithstanding KRS 45.229 , fund amounts not expended at the close of a fiscal year shall not lapse but shall be carried forward into the next fiscal year and shall be used to reduce the assessments in the subsequent program year.
  5. Any interest earnings of the fund shall become a part of the fund and shall not lapse.
  6. Moneys deposited into the fund are hereby appropriated for the purposes set forth in this section and shall not be appropriated or transferred by the General Assembly for any other purpose.

HISTORY: 2019 ch. 114, § 3, effective June 27, 2019.

205.6408. Uses of excess disproportionate share taxes.

Beginning in state fiscal year 2020 and continuing thereafter, the qualifying hospital disproportionate share percentage of the excess disproportionate share taxes shall be transferred to the hospital Medicaid assessment fund and used for the state matching dollars for the payments made under KRS 205.6406 . The university hospital disproportionate share percentage of the excess disproportionate share taxes shall be used for the state matching dollars for supplemental payments to university hospitals or used for state mental hospital reimbursement purposes, as applicable.

HISTORY: 2019 ch. 114, § 4, effective June 27, 2019.

205.641. Disproportionate share funds paid to acute care hospitals and private psychiatric hospitals. [Repealed]

HISTORY: Enact. Acts 2000, ch. 310, § 3, effective April 4, 2000; repealed by 2018 ch. 76, § 5, effective July 14, 2018.

205.642. Pervasive developmental disorders — Definition for KRS 200.654, 200.660, 347.020, and 387.510 — Waiver application — Report.

  1. As used in this section and KRS 200.654 , 200.660 , 347.020 , and 387.510 , “pervasive developmental disorders” has the same meaning as in the Diagnostic and Statistical Manual of Mental Disorders, fourth edition (DSM-IV). The term includes five (5) diagnostic subcategories:
    1. Autistic disorder;
    2. Pervasive disorder not otherwise specified;
    3. Asperger’s disorder;
    4. Rett’s disorder; and
    5. Childhood disintegrative disorder.
  2. The Department for Medicaid Services shall make application, within three (3) months of July 15, 2002, to the Federal Centers for Medicare and Medicaid Services for a waiver to provide services and supports to individuals who:
    1. Are Medicaid eligible;
    2. Have an Axis I diagnosis of a pervasive developmental disorder;
    3. Are institutionalized or at risk for institutionalization; and
    4. Require a coordinated plan of medically necessary community-based behavioral health services.
  3. The waiver application shall include services that are documented to be effective in the treatment of pervasive developmental disorders and consistent with clinical best practices.
  4. The waiver application shall specify the required credentials for the providers of each service.
  5. The cabinet shall cap the number of children served under the waiver program to insure budget neutrality based upon the expenditures for children with Pervasive Developmental Disorders that were served under the IMPACT Plus Program during fiscal years 2001-2002.
  6. The cabinet shall include in the waiver application those items that are necessary to ensure the waiver operates within the designated dollars, including but not limited to a maximum number of individuals to be served and a maximum dollar amount that can be expended for an individual.
  7. The waiver shall be coordinated with and shall not supplant services provided by schools under KRS Chapter 157 or services provided under KRS Chapters 200 and 347. Nothing in this section shall affect or limit a school district’s ability to obtain Medicaid reimbursement for school-related health services.
  8. The Department for Medicaid Services shall report information on the number of individuals receiving services under the waiver, the cost and type of services received, and any available nonidentifying information pertaining to individual outcomes upon request.

HISTORY: Enact. Acts 2002, ch. 162, § 1, effective July 15, 2002; 2017 ch. 80, § 35, effective June 29, 2017.

205.643. IMPACT Plus Program — Provider to receive copy of criteria used in audit, evaluation, or review.

  1. As used in this section, “IMPACT Plus Program” means the program of community-based behavioral health services provided to an eligible IMPACT Plus recipient through an agreement between the Department for Medicaid Services and the Department for Public Health as the state agency for the federal Title V, Maternal and Child Health Services Block Grant, 42 U.S.C. secs. 701 to 710.
  2. Before the Cabinet for Health and Family Services performs a program audit, evaluation, or review of an IMPACT Plus Program provider, the cabinet shall provide the provider with a copy of the criteria to be used in the audit, evaluation, or review. A copy of the findings, including a list of any deficiencies, shall be sent to the provider within sixty (60) calendar days from the first day the audit, evaluation, or review starts.

History. Enact. Acts 2012, ch. 158, § 25, effective July 12, 2012.

205.645. Recognition of varying overhead costs.

Notwithstanding any provision of KRS 205.560 , the Cabinet for Health and Family Services shall recognize the reasonable and appropriate varying overhead costs associated with different areas of specialty for the purposes of establishing the standard reimbursement rate for physician services, dental services, and services provided by other independent providers under the Kentucky Medical Assistance Program.

History. Enact. Acts 1993 (2nd Ex. Sess.), ch. 2, § 21, effective June 8, 1993; 1998, ch. 426, § 218, effective July 15, 1998; 2005, ch. 99, § 259, effective June 20, 2005.

205.646. External independent third-party review of Medicaid managed care organization’s final decision denying a health care service or a claim for reimbursement — Submission of multiple claims in a single review — Appeal — Administrative regulations — Applicability of statute.

  1. As used in this section:
    1. “Administrative appeals hearing” means a formal adjudicatory proceeding conducted by the administrative hearing tribunal of the Cabinet for Health and Family Services in accordance with KRS Chapter 13B;
    2. “Department” means the Department for Medicaid Services;
    3. “External independent third-party review” means a review performed by an independent third party outside of the Medicaid managed care organization’s internal appeal process pursuant to administrative regulations promulgated by the department;
    4. “Medicaid managed care organization” means an entity for which the Department for Medicaid Services has contracted to serve as a managed care organization as defined in 42 C.F.R. sec. 438.2; and
    5. “Provider” means any person or entity licensed in Kentucky as defined in KRS 304.17A-700 (9) that provides covered services to enrollees.
  2. Notwithstanding any law to the contrary, a provider who has exhausted the written internal appeals process of a Medicaid managed care organization shall be entitled to an external independent third-party review of the Medicaid managed care organization’s final decision that denies, in whole or in part, a health care service to an enrollee or a claim for reimbursement to a provider for a health care service rendered by the provider to an enrollee of the Medicaid managed care organization. A provider may submit multiple claims to be appealed in a single external independent third-party review if the provider alleges that a Medicaid managed care organization has implemented a policy or practice that results in the denial, in whole or in part, of those claims.
  3. A Medicaid managed care organization’s letter to a provider reflecting the final decision of the provider’s internal appeal shall include:
    1. A statement that the provider’s internal appeal rights within the Medicaid managed care organization have been exhausted;
    2. A statement that the provider is entitled to an external independent third-party review; and
    3. The time period and address to request an external independent third-party review.
  4. A Medicaid managed care organization or provider shall be entitled to appeal a final decision of the external independent third-party review to the administrative hearing tribunal within the Cabinet for Health and Family Services for an administrative hearing to be held in accordance with KRS Chapter 13B. An appeal shall be filed within thirty (30) days from the appealing party’s receipt of the final decision of the external independent third-party review. A decision of the administrative hearing tribunal shall be final for purposes of judicial appeal. Any appeal of a final decision of an external independent third-party review involving the submission of multiple claims as allowed under subsection (2) of this section shall be conducted as a single administrative hearing under this subsection.
  5. Within one hundred twenty (120) days after April 8, 2016, the department shall promulgate administrative regulations to implement the external independent third-party review as required by this section.
  6. The department shall promulgate administrative regulations to establish reasonable fees, not to exceed one thousand dollars ($1,000), to defray expenses associated with an administrative hearing that shall be paid by the party who does not prevail in the administrative hearing. If the administrative hearing is an appeal of a final decision of an external independent third-party review involving the submission of multiple claims as allowed under subsection (2) of this section, only one (1) fee shall be assessed under this subsection against the party who does not prevail.
  7. This section shall apply to all contracts or master agreements between Medicaid managed care organizations and the Commonwealth of Kentucky entered into or renewed on or after July 1, 2016.

HISTORY: 2016 ch. 55, § 1, effective April 8, 2016; 2019 ch. 36, § 1, effective June 27, 2019.

205.647. State pharmacy benefit manager’s report to Department for Medicaid Services — Requirements for Medicaid services contracts entered into or renewed on or after March 27, 2020 — Administrative regulations — Reimbursement rates between pharmacy benefit manager and contracted pharmacy.

  1. As used in this section, “state pharmacy benefit manager” means a pharmacy benefit manager, as defined in KRS 304.9-020 , contracted by the department, pursuant to KRS 205.5512 , to administer pharmacy benefits for all Medicaid recipients enrolled in a managed care organization in the Commonwealth.
  2. The state pharmacy benefit manager shall, upon receipt of a request from the Department for Medicaid Services, provide the following information to the Department for Medicaid Services in a form and manner prescribed by the Department for Medicaid Services:
    1. The total Medicaid dollars paid to the state pharmacy benefit manager by a managed care organization and the total amount of Medicaid dollars paid to the pharmacy benefit manager by a managed care organization which were not subsequently paid to a pharmacy licensed in Kentucky;
      1. The average reimbursement, by drug ingredient cost, dispensing fee, and any other fee paid by the state pharmacy benefit manager to licensed pharmacies with which the state pharmacy benefit manager shares common ownership, management, or control; or which are owned, managed, or controlled by any of the state pharmacy benefit manager’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, manager, or holding company; or which share any common members on the board of directors; or which share managers in common. (b) 1. The average reimbursement, by drug ingredient cost, dispensing fee, and any other fee paid by the state pharmacy benefit manager to licensed pharmacies with which the state pharmacy benefit manager shares common ownership, management, or control; or which are owned, managed, or controlled by any of the state pharmacy benefit manager’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, manager, or holding company; or which share any common members on the board of directors; or which share managers in common.
      2. For the purposes of this subsection, “average reimbursement” means a statistical methodology selected by the Department for Medicaid Services via any administrative regulations promulgated pursuant to this section which shall include, at a minimum, the median and mean;
    2. The average reimbursement, by drug ingredient cost, dispensing fee, and any other fee, paid by the state pharmacy benefit manager to pharmacies licensed in Kentucky which operate more than ten (10) locations;
    3. The average reimbursement by drug ingredient cost, dispensing fee, and any other fee, paid by the state pharmacy benefit manager to pharmacies licensed in Kentucky which operate ten (10) or fewer locations; and
    4. All common ownership, management, common members of a board of directors, shared managers, or control of the state pharmacy benefit manager, or any of the state pharmacy benefit manager’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, manager, or holding company with any managed care organization contracted to administer Kentucky Medicaid benefits, any entity which contracts on behalf of a pharmacy, or any pharmacy services administration organization; or any common ownership, management, common members of a board of directors, shared managers, or control of a pharmacy services administration organization that is contracted with the state pharmacy benefit manager, with any drug wholesaler or distributor or any of the pharmacy services administration organization’s management companies, parent companies, subsidiary companies, jointly held companies, or companies otherwise affiliated by a common owner, common members of a board of directors, manager, or holding company.
  3. All information provided by the state pharmacy benefit manager pursuant to subsection (2) of this section shall reflect data for the most recent full calendar year and shall be divided by month. This information shall be managed by the Department for Medicaid Services in accordance with applicable law and shall be exempt from KRS 61.870 to 61.884 in accordance with KRS 61.878(1)(c).
  4. Any contract entered into or renewed for the delivery of Medicaid services by a managed care organization on or after March 27, 2020, shall comply with the following requirements:
    1. The Department for Medicaid Services shall, in accordance with KRS 205.5514 , set or create, and may change at any time for any reason, reimbursement rates between the state pharmacy benefit manager and a contracted pharmacy, or an entity which contracts on behalf of a pharmacy. Reimbursement rates shall include dispensing fees which take into account applicable guidance by the Center for Medicare and Medicaid Services;
    2. All laws and administrative regulations promulgated by the Department for Medicaid Services, including but not limited to the regulation of maximum allowable costs;
    3. The Department for Medicaid Services shall review and may approve or deny any contract between the managed care organization and the state pharmacy benefit manager;
    4. Any fee established, modified, or implemented directly or indirectly by a managed care organization, the state pharmacy benefit manager, or an entity which contracts on behalf of a pharmacy that is directly or indirectly charged to, passed onto, or required to be paid by a pharmacy services administration organization, pharmacy, or Medicaid recipient shall be submitted to the Department for Medicaid Services for approval. This paragraph shall not apply to any membership fee or service fee established, modified, or implemented by a pharmacy services administration organization on a pharmacy licensed in Kentucky that is not directly or indirectly related to product reimbursement; and
    5. The provisions of KRS 205.5512 and 205.5514 .
  5. The Department for Medicaid Services may promulgate administrative regulations pursuant to KRS Chapter 13A as necessary to implement and administer its responsibilities under this section. These administrative regulations may include but are not limited to the assessment of fines, penalties, or sanctions for noncompliance.
  6. The Department for Medicaid Services may consider any information ascertained pursuant to this section in the setting, creation, or approval of reimbursement rates used by a pharmacy benefit manager or an entity which contracts on behalf of a pharmacy.

HISTORY: 2016 ch. 79, § 7, effective July 15, 2016; 2018 ch. 157, § 1, effective July 1, 2018; 2020 ch. 70, § 8, effective March 27, 2020.

Research References and Practice Aids

2020-2022 Budget Reference.

See State/Executive Branch Budget, 2020 Ky. Acts ch. 92, Pt. I, G, 3, b, (13) at 882.

Kentucky Children’s Health Insurance Program

205.6481. Legislative findings.

The General Assembly hereby finds that:

  1. All citizens of the Commonwealth should have access to affordable health care; and
  2. It is estimated by the Legislative Research Commission that one hundred twenty-five thousand (125,000) children in the Commonwealth have no health insurance coverage; and
  3. Of the estimated one hundred twenty-five thousand (125,000) uninsured children in the Commonwealth, ninety-one thousand two hundred fifty (91,250) fall at or below two hundred percent (200%) of the federal poverty level; and
  4. Uninsured children are of particular concern because of their need for preventative and primary care to develop into healthy adulthood; and
  5. Measures not taken now to provide care for uninsured children will result in higher human and financial costs due to the development of more severe conditions; and
  6. Eligible children in this Commonwealth should have access to cost-effective, primary health care programs if they or their parents are unable to afford it on their own; and
  7. It is in the interest of the citizens of the Commonwealth for the General Assembly to foster the development of a children’s health insurance program designed to provide basic services to eligible children at minimum cost.

History. Enact. Acts 1998, ch. 253, § 1, effective April 2, 1998.

205.6483. Kentucky Children’s Health Insurance Program — Purposes.

There is hereby created within the Cabinet for Health and Family Services the Kentucky Children’s Health Insurance Program (KCHIP) for the purposes of:

  1. Providing health care coverage and other coordinated services to children through the age of eighteen (18) years at or below two hundred percent (200%) of the federal poverty level and who are not otherwise eligible for health insurance coverage through either expansions of Medicaid services under Title XIX of the Federal Social Security Act and through the provision of a separate health insurance program under Title XXI of the Federal Social Security Act, or a combination of Medicaid program expansions and use of a separate health insurance program; and
  2. Providing Medicaid coverage for children between the ages of fourteen (14) and eighteen (18) years up to one hundred percent (100%) of the federal poverty level.

History. Enact. Acts 1998, ch. 253, § 2, effective April 2, 1998; 2005, ch. 99, § 260, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the Federal Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 1396 et seq. Title XXI of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 1397aa et seq.

205.6485. State child health plan — Eligibility criteria — Schedule of benefits — Premium contributions — Access.

  1. The Cabinet for Health and Family Services shall prepare a state child health plan meeting the requirements of Title XXI of the Federal Social Security Act, for submission to the Secretary of the United States Department of Health and Human Services within such time as will permit the state to receive the maximum amounts of federal matching funds available under Title XXI. The cabinet shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, establish the following:
    1. The eligibility criteria for children covered by the Kentucky Children’s Health Insurance Program. However, no person eligible for services under Title XIX of the Social Security Act 42 U.S.C. 1396 to 1396v, as amended, shall be eligible for services under the Kentucky Children’s Health Insurance Program except to the extent that Title XIX coverage is expanded by KRS 205.6481 to 205.6495 and KRS 304.17A-340 ;
    2. The schedule of benefits to be covered by the Kentucky Children’s Health Insurance Program, which shall include preventive services, vision services including glasses, and dental services including at least sealants, extractions, and fillings, and which shall be at least equivalent to one (1) of the following:
      1. The standard Blue Cross/Blue Shield preferred provider option under the Federal Employees Health Benefit Plan established by U.S.C. sec. 8903(1) ;
      2. A mid-range health benefit coverage plan that is offered and generally available to state employees; or
      3. Health insurance coverage offered by a health maintenance organization that has the largest insured commercial, non-Medicaid enrollment of covered lives in the state;
    3. The premium contribution per family of health insurance coverage available under the Kentucky Children’s Health Insurance Program with provisions for the payment of premium contributions by families of children eligible for coverage by the program based upon a sliding scale relating to family income. Premium contributions shall be based on a six (6) month period not to exceed:
      1. Ten dollars ($10), to be paid by a family with income between one hundred percent (100%) to one hundred thirty-three percent (133%) of the federal poverty level;
      2. Twenty dollars ($20), to be paid by a family with income between one hundred thirty-four percent (134%) to one hundred forty-nine percent (149%) of the federal poverty level; and
      3. One hundred twenty dollars ($120), to be paid by a family with income between one hundred fifty percent (150%) to two hundred percent (200%) of the federal poverty level, and which may be made on a partial payment plan of twenty dollars ($20) per month or sixty dollars ($60) per quarter;
    4. The level of copayments for services provided under the Kentucky Children’s Health Insurance Program that shall not exceed those allowed by federal law; and
    5. The criteria for health services providers and insurers wishing to contract with the Commonwealth to provide the children’s health insurance coverage. However, the cabinet shall provide, in any contracting process for the preventive health insurance program, the opportunity for a public health department to bid on preventive health services to eligible children within the public health department’s service area. A public health department shall not be disqualified from bidding because the department does not currently offer all the services required by paragraph (b) of this subsection. The criteria shall be set forth in administrative regulations under KRS Chapter 13A and shall maximize competition among the providers and insurers. The Cabinet for Finance and Administration shall provide oversight over contracting policies and procedures to assure that the number of applicants for contracts is maximized.
  2. Within twelve (12) months of federal approval of the state’s Title XXI child health plan, the Cabinet for Health and Family Services shall assure that a KCHIP program is available to all eligible children in all regions of the state. If necessary, in order to meet this assurance, the cabinet shall institute its own program.
  3. KCHIP recipients shall have direct access without a referral from any gatekeeper primary care provider to dentists for covered primary dental services and to optometrists and ophthalmologists for covered primary eye and vision services.

History. Enact. Acts 1998, ch. 253, § 3, effective April 2, 1998; 2005, ch. 99, § 261, effective June 20, 2005.

Compiler’s Notes.

Title XXI of the Social Security Act, referred to in subsections (1) and (2), is compiled as 42 USCS § 1397aa et seq.

205.6485. State child health plan — Eligibility criteria — Schedule of benefits — Premium contributions — Access.

  1. The Cabinet for Health and Family Services shall prepare a state child health plan meeting the requirements of Title XXI of the Federal Social Security Act, for submission to the Secretary of the United States Department of Health and Human Services within such time as will permit the state to receive the maximum amounts of federal matching funds available under Title XXI. The cabinet shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, establish the following:
    1. The eligibility criteria for children covered by the Kentucky Children’s Health Insurance Program. However, no person eligible for services under Title XIX of the Social Security Act 42 U.S.C. 1396 to 1396v, as amended, shall be eligible for services under the Kentucky Children’s Health Insurance Program except to the extent that Title XIX coverage is expanded by KRS 205.6481 to 205.6495 and KRS 304.17A-340 ;
    2. The schedule of benefits to be covered by the Kentucky Children’s Health Insurance Program, which shall include preventive services, vision services including glasses, and dental services including at least sealants, extractions, and fillings, and which shall be at least equivalent to one (1) of the following:
      1. The standard Blue Cross/Blue Shield preferred provider option under the Federal Employees Health Benefit Plan established by U.S.C. sec. 8903(1) ;
      2. A mid-range health benefit coverage plan that is offered and generally available to state employees; or
      3. Health insurance coverage offered by a health maintenance organization that has the largest insured commercial, non-Medicaid enrollment of covered lives in the state;
    3. The premium contribution per family of health insurance coverage available under the Kentucky Children’s Health Insurance Program with provisions for the payment of premium contributions by families of children eligible for coverage by the program based upon a sliding scale relating to family income. Premium contributions shall be based on a six (6) month period not to exceed:
      1. Ten dollars ($10), to be paid by a family with income between one hundred percent (100%) to one hundred thirty-three percent (133%) of the federal poverty level;
      2. Twenty dollars ($20), to be paid by a family with income between one hundred thirty-four percent (134%) to one hundred forty-nine percent (149%) of the federal poverty level; and
      3. One hundred twenty dollars ($120), to be paid by a family with income between one hundred fifty percent (150%) to two hundred percent (200%) of the federal poverty level, and which may be made on a partial payment plan of twenty dollars ($20) per month or sixty dollars ($60) per quarter;
    4. There shall be no copayments for services provided under the Kentucky Children’s Health Insurance Program; and
    5. The criteria for health services providers and insurers wishing to contract with the Commonwealth to provide the children’s health insurance coverage. However, the cabinet shall provide, in any contracting process for the preventive health insurance program, the opportunity for a public health department to bid on preventive health services to eligible children within the public health department’s service area. A public health department shall not be disqualified from bidding because the department does not currently offer all the services required by paragraph (b) of this subsection. The criteria shall be set forth in administrative regulations under KRS Chapter 13A and shall maximize competition among the providers and insurers. The Cabinet for Finance and Administration shall provide oversight over contracting policies and procedures to assure that the number of applicants for contracts is maximized.
  2. Within twelve (12) months of federal approval of the state’s Title XXI child health plan, the Cabinet for Health and Family Services shall assure that a KCHIP program is available to all eligible children in all regions of the state. If necessary, in order to meet this assurance, the cabinet shall institute its own program.
  3. KCHIP recipients shall have direct access without a referral from any gatekeeper primary care provider to dentists for covered primary dental services and to optometrists and ophthalmologists for covered primary eye and vision services.

HISTORY: Enact. Acts 1998, ch. 253, § 3, effective April 2, 1998; 2005, ch. 99, § 261, effective June 20, 2005; 2021 ch. 62, § 2.

205.6487. Establishment of trust fund — Maintenance.

  1. A “Kentucky Children’s Health Insurance Program Trust Fund” shall be established for the purpose of receiving all appropriated funds, premiums, or other revenue received by the Kentucky Children’s Health Insurance Program to be used for the payment of costs and services associated with the administration of the program. Appropriations made to the Kentucky Children’s Health Insurance Program trust fund shall not lapse at the end of a fiscal year but shall be carried forward in the trust fund account and shall be available for allotment for its particular purpose in the next fiscal year.
  2. The Kentucky Children’s Health Insurance trust fund may receive state appropriations, gifts, and grants, including federal funds. Any unallotted or unencumbered balances in the Kentucky Children’s Health Insurance Program trust fund shall be invested as provided for in KRS 42.500(9). Income earned from the investments shall be credited to the Kentucky Children’s Health Insurance Program trust fund account.
  3. The secretary of the Cabinet for Health and Family Services shall, by administrative regulation promulgated in accordance with KRS Chapter 13A, provide for the administration of the trust fund.
  4. In administering the Kentucky Children’s Health Insurance Program, the administrative costs under the program shall be limited to no more than ten percent (10%) of applicable program costs.
  5. The trust fund shall administer any savings from the implementation of the cabinet’s Kentucky Children’s Health Insurance Program through managed care and shall use those savings to provide state matching funds for any enhanced federal funds available under Title XXI of the Federal Social Security Act.

HISTORY: Enact. Acts 1998, ch. 253, § 4, effective April 2, 1998; 2005, ch. 99, § 262, effective June 20, 2005; 2017 ch. 80, § 36, effective June 29, 2017.

Compiler’s Notes.

Title XXI of the Social Security Act, referred to in subsection (5), is compiled as 42 USCS § 1397aa et seq.

205.6489. Administration — Outreach — Data collection.

  1. The Kentucky Children’s Health Insurance Program shall be administered by the Cabinet for Health and Family Services in terms of conducting eligibility determination and providing oversight over enrollment and claims payment.
  2. The program shall include a system of outreach and referral for children who may be eligible for the Kentucky Children’s Health Insurance Program. The program shall work with the Department for Medicaid Services, the Department for Community Based Services, schools, pediatricians, public health departments, and other entities interested in the health of children in developing the system of outreach and referral.
  3. The cabinet shall promulgate administrative regulations in accordance with KRS Chapter 13A to establish a structure for quality assurance and utilization review under KRS 205.6481 to 205.6495 and KRS 304.17A-340 .
  4. The Kentucky Children’s Health Insurance Program shall collect, analyze, and publicly disseminate comprehensive data on the number of children enrolled in the program, services received through the program, and the effect on health outcomes of children served by the program including the special health needs of minority children. The information collected by the program shall be subject to KRS 216.2927(1). The program shall have access to all data collected by the cabinet under KRS 216.2920 to 216.2929 and shall coordinate program data collection efforts with the data collection efforts of the cabinet under KRS 216.2920 to 216.2929 .

History. Enact. Acts 1998, ch. 253, § 5, effective April 2, 1998; 2000, ch. 14, § 36, effective July 14, 2000; 2005, ch. 99, § 263, effective June 20, 2005.

205.6491. Advisory council. [Repealed]

History. Enact. Acts 1998, ch. 253, § 6, effective April 2, 1998; 2005, ch. 99, § 264, effective June 20, 2005; repealed by 2017 ch. 80, § 58, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 1998, ch. 253, § 6, effective April 2, 1998), was repealed by Acts 2017, ch. 80, § 58, effective June 29, 2017.

205.6495. Short title for KRS 205.6481 to 205.6495 and KRS 304.17A-340.

KRS 205.6481 to 205.6495 and KRS 304.17A-340 shall be known as the Kentucky Children’s Health Insurance Program Act.

History. Enact. Acts 1998, ch. 253, § 7, effective April 2, 1998.

205.6497. Required provisions in plans.

  1. As permitted by federal law, in any plan submitted for federal Title XXI approval of a children’s health insurance program for Kentucky, the cabinet shall include provisions for a preventive health insurance program for children with no copayment, deductible, coinsurance, or premium.
  2. The plan referred to in subsection (1) of this section shall include preventive dental services, tooth extraction, and emergency dental services.

History. Enact. Acts 1998, ch. 253, § 9, effective April 2, 1998.

Community Work Experience Programs

205.650. Development of programs. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 180, § 2; 1974, ch. 74, Art. VI, § 107(21); 1978, ch. 214, § 1, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.660. Participation as a condition of receiving public assistance — Exceptions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 180, § 3; 1974, ch. 74, Art. VI, § 107(21); 1978, ch. 214, § 2, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.670. Specifications of types of programs — Hours — Transportation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 180, § 4; 1978, ch. 214, § 3, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.680. Conditions for types of employment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 180, § 5) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.690. Reports to General Assembly.

The secretary shall submit a written report to the General Assembly upon written request or appear in person before any joint interim committee of the General Assembly within thirty (30) days of a request. The following information related to the implementation of KRS 205.2003 shall be provided:

  1. The number of recipients placed in public and private work experience programs;
  2. The number of recipients placed in regular full-time employment; and
  3. The costs to the Commonwealth and participating local agencies or organizations of the implementation of the work program required under KRS 205.2003 .

HISTORY: Enact. Acts 1974, ch. 180, § 6; 1974, ch. 74, Art. VI, § 107(21); 1998, ch. 100, § 9, effective July 15, 1998; 2018 ch. 112, § 9, effective July 14, 2018.

205.700. Participation by food stamp recipients. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 180, § 7) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

Educational and Vocational Programs for Parents

205.702. Educational and vocational programs for parents receiving public assistance — Reports by cabinet.

  1. The cabinet shall take all necessary actions to ensure that parents receiving public assistance may engage in educational and vocational programs where assessment shows their chances of achieving self-sufficiency will improve.
  2. The cabinet shall file quarterly progress reports and an annual report with the Legislative Research Commission and the Interim Joint Committee on Health and Welfare documenting the results of the cabinet’s efforts to enable parents receiving public assistance to participate in activities to achieve self-sufficiency. The annual report shall identify the number and proportion of parents, compared to the previous state fiscal year and the last full year of activity under the Job Opportunities and Basic Skills Program who:
    1. Participated in each type of educational, vocational training, or work activity, including post-secondary education;
    2. Successfully completed educational or vocational programs;
    3. Earned income due to work activity, including work study programs, while receiving public assistance;
    4. Became ineligible for public assistance due to increases in earnings; and
    5. Became ineligible for public assistance for other reasons, including but not limited to penalties or expiration of time limits.

History. Enact. Acts 1998, ch. 236, § 1, effective July 15, 1998.

205.703. Educational and vocational programs eligible for supportive services — Prohibition against discontinuance of service to low income parents except under certain circumstances.

  1. The cabinet shall honor parents’ requests to volunteer for basic, secondary, post-secondary, and vocational education programs, including work study and internships; where:
    1. The activity is:
      1. Countable toward federal work participation rates; or
      2. Combined with work activity countable toward federal work participation rates;
    2. The activity is made part of a self-sufficiency plan in which it will lead to achievement of a specific employment goal;
    3. The parent meets admission criteria for the educational program; and
    4. The parent does not already have marketable skills sufficient to achieve at least two hundred percent (200%) of the federal poverty threshold, adjusted by household size.
  2. The cabinet shall honor parents’ requests to continue current educational activities as defined under subsection (1) of this section, where the parent is making good and satisfactory progress based on standards normally applied by the educational or vocational programs to enrollees.
  3. The cabinet shall inform all parents receiving public assistance of the option to engage in educational and vocational training activities, as defined under subsection (1) of this section, and receive supportive services:
    1. At least once per year, no less than six (6) weeks prior to the start of fall semester of the state university and community college system;
    2. During the initial and any subsequent self-sufficiency planning process;
    3. During conciliation in which the parent requests a change in placement; and
    4. At any time upon request of the parent.
  4. The cabinet shall not require a parent who is currently participating in an education program to discontinue participation and shall not discontinue supportive services for education under subsection (1) of this section, except where:
    1. The parent is no longer making good or satisfactory progress;
    2. The parent fails to verify satisfactory attendance under standards normally applied by the educational program to enrollees;
    3. The parent in a noncountable education activity fails to participate in the additional required countable activity;
    4. The parent refuses an offer of employment paying at least two-hundred percent (200%) of the federal poverty threshold, adjusted for household size; or
    5. The parent becomes ineligible for public assistance for reasons unrelated to educational activity.

History. Enact. Acts 1998, ch. 236, § 2, effective July 15, 1998.

205.704. Preparation and submission of strategic plan to further education of low income parents — Parties included in planning process.

  1. The cabinet shall undertake a joint planning process with appropriate state, local, and private education institutions, interested agencies, and citizens to ensure that opportunities for low income parents to continue or improve their education shall continue with the implementation of the public assistance program funded by federal block grant dollars under Title IV-A of the Federal Social Security Act, 42 U.S.C. secs. 602 et seq. To this end, by July 31, 1998, the cabinet shall convene and provide staff services for an advisory group of interested parties to evaluate opportunities and strategies and make recommendations for continued participation by low income parents in education activities, including, but not limited to, representatives of:
    1. The state university system;
    2. The state community college system;
    3. Private colleges and universities;
    4. State vocational and technical schools;
    5. The Kentucky Higher Education Assistance Authority;
    6. Basic and secondary education programs, including literacy, adult basic education, a High School Equivalency Diploma program, and high school programs;
    7. Advocacy and citizens groups representing low income parents, including low income parents in sufficient number to represent at least one quarter (1/4) of the total group;
    8. Providers of child care and other supportive services; and
    9. Two (2) members each from the Senate, as appointed by the President of the Senate, and the House of Representatives, as appointed by the Speaker of the House.
  2. The cabinet shall prepare a strategic plan for continuation of education opportunities for low income parents, based on the recommendations of the advisory group. The cabinet shall submit the plan to the Legislative Research Commission and the Interim Joint Committee on Health and Welfare no later than July 31, 1999. At a minimum, the plan shall set forth strategies, including any funding necessary, to:
    1. Create work study opportunities; and
    2. Increase the access to child care funding.

HISTORY: Enact. Acts 1998, ch. 236, § 3, effective July 15, 1998; 2017 ch. 63, § 27, effective June 29, 2017.

205.705. Legislative intent regarding child support statutes.

It is the intent of the General Assembly that requirements relating to child support or paternity established by KRS Chapters 205, 403, 405, 406, and 407 shall be in compliance with the provisions of 42 U.S.C. secs. 651 et seq.

History. Enact. Acts 1998, ch. 255, § 38, effective July 15, 1998.

Child Support Recovery

205.710. Definitions for KRS 205.712 to 205.800.

As used in KRS 205.712 to 205.800 , unless the context clearly dictates otherwise:

  1. “Cabinet” shall mean the Cabinet for Health and Family Services;
  2. “Secretary” shall mean the secretary of the Cabinet for Health and Family Services;
  3. “Court order” shall mean any judgment, decree, or order of the courts of this state or any other state. For the purposes of KRS 205.715 to 205.800 , 403.215 , 405.405 to 405.520 , and 530.050 , it shall also include an order of an authorized administrative body;
  4. “Dependent child” or “needy dependent child” shall mean any person under the age of eighteen (18), or under the age of nineteen (19) if in high school, who is not otherwise emancipated, self-supporting, married, or a member of the Armed Forces of the United States and is a recipient of or applicant for services under Part D of Title IV of the Social Security Act;
  5. “Duty of support” shall mean any duty of support imposed or imposable by law or by court order, decree, or judgment, whether interlocutory or final, and includes the duty to pay spousal support that applies to spouses with a child even if child support is not part of the order or when spousal support is assigned to the cabinet and arrearages of support past due and unpaid in addition to medical support whenever health-care coverage is available at a reasonable cost;
  6. “Recipient” shall mean a relative or payee within the meaning of the Social Security Act and federal and state regulations who is receiving public assistance on behalf of a needy dependent child;
  7. “Consumer reporting agency” means any person or organization which, for monetary fees, dues, or on a cooperative nonprofit basis, regularly engages in whole or in part in the practice of assembling or evaluating consumer credit information or other information on consumers for the purpose of furnishing consumer reports to third parties, and which uses any means or facility of interstate commerce for the purpose of preparing or furnishing consumer reports;
  8. “Obligor” means a parent who has an obligation to provide support;
  9. “Employer” means any individual, sole proprietorship, partnership, association, or private or public corporation, the United States or any federal agency, this state or any political subdivision of this state, any other state or a political subdivision of another state, or any other legal entity which hires and pays an individual for his services;
  10. “Income” means but is not limited to any of the following:
    1. Commissions, bonuses, workers’ compensation awards attributable to lost wages, retirement and pensions, interest and disability, earnings, salaries, wages, and other income due or to be due in the future from a person’s employer and successor employers;
    2. Any payment due or to be due in the future from a profit-sharing plan, pension plan, insurance contract, annuity, Social Security, proceeds derived from state lottery winnings, unemployment compensation, supplemental unemployment benefits, and workers’ compensation; and
    3. Any amount of money which is due to the obligor under a support order as a debt of any other individual, partnership, association, or private or public corporation, the United States or any federal agency, this state or any political subdivision of this state, any other state or a political subdivision of another state, or any other legal entity which is indebted to the obligor;
  11. “Earnings” means compensation paid or payable for personal services, whether denominated as wages, salary, commission, bonus, or otherwise, and notwithstanding any other provision of law exempting such payments from garnishment, attachment, or other process to satisfy support obligations and specifically includes periodic payments from pension and retirement programs and insurance policies of any kind. Earnings shall include all gain derived from capital, from labor, or both, including profit gained through sale or conversion of capital assets and unemployment compensation benefits, or any other form of monetary gain. The term “disposable earnings” means that part of earnings remaining after deductions of any amounts required by law to be withheld;
  12. “Enforce” means to employ any judicial or administrative remedy under KRS 405.405 to 405.420 and KRS 405.991(2) or under any other Kentucky law;
  13. “Need” includes, but is not limited to, the necessary cost of food, clothing, shelter, and medical care. The amount determined under the suggested minimum support obligation scale shall be rebuttably presumed to correspond to the parent’s ability to pay and the need of the child. A parent shall be presumed to be unable to pay child support from any income received from public assistance under Title IV-A of the Social Security Act, or other continuing public assistance;
  14. “Parent” means a biological or adoptive mother or father of a child born in wedlock or a father of a child born out of wedlock if paternity has been established in a judicial proceeding or in any manner consistent with the laws of this or any other state, whose child is entitled to support, pursuant to court order, statute, or administrative determination; and
  15. “Real and personal property” includes all property of all kinds, including but not limited to, all gain derived from capital, labor, or both; compensation paid or payable for personal services, whether denominated as wages, salary, commission, bonus, or otherwise; periodic payments from pension and retirement programs; and unemployment compensation and insurance policies.

History. Enact. Acts 1974, ch. 343, § 2; 1986, ch. 487, § 1, effective July 15, 1986; 1988, ch. 411, § 1, effective July 15, 1988; 1994, ch. 330, § 1, effective July 15, 1994; 1996, ch. 365, § 1, effective July 15, 1996; 1998, ch. 100, § 6, effective July 15, 1998; 1998, ch. 255, § 4, effective July 15, 1998; 1998, ch. 426, § 219, effective July 15, 1998; 2005, ch. 99, § 265, effective June 20, 2005.

Compiler’s Notes.

Part D of Title IV of the Social Security Act, referred to in subsection (4), is compiled as 42 USCS 651 et seq. The Social Security Act, referred to in subsection (6), is compiled as 42 USCS 301 et seq. Title IV-A of the Social Security Act, referred to in subsection (13), is compiled as 42 USCS 601 et seq.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 100, 255, and 426. Where these Acts are not in conflict, they have been codified together. Where a conflict exists between ch. 100 and ch. 255, Acts ch. 255, which was last enacted by the General Assembly, prevails under KRS 446.250 .

NOTES TO DECISIONS

1.In General.
42 USCS §§ 651 through 667 provide for appropriations to each state for child support services. In keeping with the mandate of 42 USCS § 666 that each state receiving allocations establish a statewide plan for providing child support services, Kentucky’s legislature enacted KRS 205.710 through KRS 205.800. Cabinite for Human Resources v. Houck, 908 S.W.2d 673, 1995 Ky. App. LEXIS 185 (Ky. Ct. App. 1995).
2.Child Support.

Because the county attorney has state and federal authority to provide for enforcement of child support obligations under part D of Title IV of the Social Security Act (for both those receiving AFDC benefits and those not receiving such benefits) and may intervene as a matter of right in a divorce action in order to provide IV-D services, the Circuit Court erred in prohibiting county attorney’s intervention in several divorce actions seeking increases in child support. Cabinite for Human Resources v. Houck, 908 S.W.2d 673, 1995 Ky. App. LEXIS 185 (Ky. Ct. App. 1995).

Merely being a recipient of Aid to Families With Dependent Children — AFDC does not rebut the presumption that the $60.00 minimum for child support is appropriate for families with no adjusted income. Brashears v. Cabinet for Human Resources, 944 S.W.2d 873, 1997 Ky. App. LEXIS 39 (Ky. Ct. App. 1997).

Cited in:

Morris v. Commonwealth ex rel. Morris, 926 S.W.2d 674, 1996 Ky. App. LEXIS 99 (Ky. Ct. App. 1996), rev’d, 984 S.W.2d 840, 1998 Ky. LEXIS 138 ( Ky. 1998 ).

Research References and Practice Aids

Kentucky Law Journal.

Notes, Effective Child Support Enforcement in Kentucky: The Tax Refund Intercept Program, 74 Ky. L.J. 667 (1985-86).

205.712. Department for Income Support — Duties — Cabinet to process child support payments — State disbursement unit — Cabinet’s cooperation with courts and officials — Reporting of obligors — Denial, suspension, and revocation of licenses — Data match system — Subpoenas — Distribution of child support program information.

  1. The Department for Income Support, Child Support Enforcement, is established in the Cabinet for Health and Family Services.
  2. The duties of the Department for Income Support, Child Support Enforcement, or its designee, shall include:
    1. Serve as state agency authorized to administer Part D of Title IV of the Social Security Act, 42 U.S.C. secs. 651 to 669;
    2. Serve as the information agency as provided in the Uniform Interstate Family Support Act, KRS Chapter 407;
    3. Serve as collector of all court-ordered or administratively ordered child support payments pursuant to Part D of Title IV of the Social Security Act;
    4. Serve as the agent for enforcement of international child support obligations, and respond to requests from foreign reciprocating countries;
    5. Establish and enforce an obligation upon receipt of a completed, notarized voluntary acknowledgment-of-paternity form;
    6. Enforce Kentucky child support laws, including collection of court-ordered or administratively ordered child support arrearages and prosecution of persons who fail to pay child support;
    7. Publicize the availability of services and encourage the use of these services for establishing paternity and child support;
    8. Pay the cost of genetic testing to establish paternity, subject to recoupment from the alleged father, when paternity is administratively or judicially determined; and obtain additional testing when an original test is contested, upon request and advance payment by the contestant;
    9. Establish child support obligations and seek modification of judicially or administratively established child support obligations in accordance with the child support guidelines of the Commonwealth of Kentucky as provided under KRS 403.212 ;
    10. Administratively establish child support orders which shall have the same force and effect of law;
    11. Issue an administrative subpoena to secure public and private records of utility and cable companies and asset and liability information from financial institutions for the establishment, modification, or enforcement of a child support obligation;
    12. Impose a penalty for failure to comply with an administrative subpoena;
    13. Provide notices, copies of proceedings, and determinations of support amounts to any parties or individuals who are applying for or receiving Title IV-D services, or who are parties to cases in which Title IV-D services are being provided; and
    14. Issue interstate administrative subpoenas to any individual or entity for financial or other information or documents which are needed to establish, modify, or enforce a child support obligation pursuant to Part D of Title IV of the Social Security Act, 42 U.S.C. secs. 651 et seq. An administrative subpoena lawfully issued in another state to an individual or entity residing in this state shall be honored and enforced in the Circuit Court where the individual or entity resides.
  3. The Department for Income Support, Child Support Enforcement, or its designee may promulgate administrative regulations to implement this section and adopt forms or implement other requirements of federal law relating to interstate administrative subpoenas, and may amend forms by technical amendment that are mandated by the federal Office of Child Support Enforcement and incorporated by reference in administrative regulation.
  4. Effective September 30, 1999, the cabinet shall establish a system to receive and process all child support payments. The system shall include existing computer systems to record the payments. The automated system shall include a state case registry that contains records with respect to each case in which services are being provided by the cabinet and each child support order established or modified in the state on or after October 1, 1998.
  5. The cabinet shall establish and operate a state disbursement unit for the collection, disbursement, and recording of payments under support orders for all Title IV-D cases and for all cases initially issued in the state on or after January 1, 1994, in which a wage withholding has been court-ordered or administratively ordered, pursuant to Part D of Title IV of the Social Security Act. Establishment of the state unit may include the designation and continuation of existing local collection units to aid efficient and effective collection, disbursement, and recording of child support payments.
  6. After the establishment of the disbursement unit child support collection system, the cabinet or its designee shall serve as collector of all court-ordered or administratively ordered child support payments pursuant to Part D of Title IV of the Social Security Act.
  7. Where establishment of paternity and enforcement and collection of child support is by law the responsibility of local officials, the cabinet shall refer cases to the appropriate official for such action. The cabinet may enter into cooperative arrangements with appropriate courts and law enforcement officials to assist the cabinet in administering the program of child support recovery, including the entering into of financial arrangements with such courts and officials as provided for under the provisions of federal law and regulations. The local county attorney shall be considered the designee of the cabinet for purposes of administering the program of child support recovery within a county, subject to the option of the county attorney to decline such designation. Nothing in this section shall prevent the secretary from taking such action, with prior written notice, as appropriate if the terms and conditions of the cooperative agreement are not met. When a cooperative agreement with a contracting official is canceled for good cause, the cabinet may not offer that cooperative agreement to that official during the official’s tenure.
  8. Where the local county attorney, friend of the court, domestic relations agent, or other designee of the cabinet has been contracted for the purpose of administering child support enforcement pursuant to Title IV-D of the Social Security Act, the contracting official shall be deemed to be representing the cabinet and as such does not have an attorney-client relationship with the applicant who has requested services pursuant to Title IV-D of the Social Security Act nor with any dependent on behalf of the individuals for whom services are sought.
  9. The cabinet shall determine the name of each obligor who owes an arrearage of at least two thousand five hundred dollars ($2,500). After notification to the obligor owing an arrearage amount of two thousand five hundred dollars ($2,500), the cabinet shall transmit to the United States secretary of health and human services the certified names of the individuals and supporting documentation for the denial, revocation, or limitation of the obligor’s passport. The cabinet shall notify the identified obligor of the determination and the consequences and provide an opportunity to contest the determination.
  10. The cabinet shall determine the name of an obligor owing an arrearage and shall indefinitely deny, suspend, or revoke a license or certification that has been issued if the person has a child support arrearage that equals or exceeds the amount that would be owed after six (6) months of nonpayment or fails, after receiving appropriate notice, to comply with subpoenas or warrants relating to paternity or child support proceedings as provided by 42 U.S.C. sec. 666(a)(16) .
  11. The cabinet shall forward the name of the individual to a board of licensure or board of certification for the notification of the denial, revocation, or suspension of a driver’s license, professional license or certification, occupational license or certification, recreational license, or sporting license.
  12. The denial or suspension shall remain in effect until the child support arrearage has been eliminated or payments on the child support arrearage are being made in accordance with a court or administrative order, the person complies with the subpoena or warrant relating to paternity or child support proceedings, or the appeal of the denial or suspension is upheld and the license is reinstated.
  13. Except for cases administered by the cabinet under 42 U.S.C. secs. 651 et seq. which shall be afforded the appeal process set forth by KRS 405.450(3), an individual who has a license or certification denied, revoked, or suspended shall have the right to appeal to the licensing or certifying board.
  14. A dispute hearing shall be conducted by the cabinet in accordance with KRS 405.450 . The only basis for a dispute hearing shall be a mistake in fact.
  15. The cabinet shall in its discretion enter into agreements with financial institutions doing business in the Commonwealth to develop and operate, in coordination with the financial institutions, a data match system as required by KRS 205.772 to 205.778 .
  16. The cabinet may issue both intrastate and interstate administrative subpoenas to any individual or entity for financial or other information or documents that are needed to establish, modify, or enforce a child support obligation pursuant to Title IV-D of the Social Security Act, 42 U.S.C. secs. 651 et seq. An administrative subpoena lawfully issued in another state to an individual or entity in this state shall be honored and enforced in the Circuit Court of the county in which the individual or entity resides.
  17. The Cabinet for Health and Family Services shall forward to the Office of the Attorney General a list of names of delinquent obligors and, in cooperation with the Office of the Attorney General, shall promulgate administrative regulations in accordance with KRS Chapter 13A to implement KRS 15.055 .
  18. The cabinet shall compare a quarterly report provided by the Finance and Administration Cabinet of all tort claims made against the state by individuals with the child support database to match individuals who have a child support arrearage and may receive a settlement from the state.
  19. The cabinet shall prepare and distribute to the cabinet’s designee for the administration of the child support program information on child support collections and enforcement. The information shall include a description of how child support obligations are:
    1. Established;
    2. Modified;
    3. Enforced;
    4. Collected; and
    5. Distributed.
  20. The cabinet’s designee for the administration of the child support program shall distribute, when appropriate, the following:
    1. Information on child support collections and enforcement; and
    2. Job listings posted by employment services.

HISTORY: Enact. Acts 1988, ch. 411, § 2, effective July 15, 1988; 1994, ch. 330, § 2, effective July 15, 1994; 1996, ch. 365, § 2, effective July 15, 1996; 1998, ch. 255, § 5, effective July 15, 1998; 1998, ch. 426, § 220, effective July 15, 1998; 2000, ch. 14, § 37, effective July 14, 2000; 2000, ch. 430, § 5, effective July 14, 2000; 2005, ch. 99, § 266, effective June 20, 2005; 2008, ch. 21, § 3, effective July 15, 2008; 2012, ch. 158, § 30, effective July 12, 2012; 2018 ch. 112, § 10, effective July 14, 2018.

NOTES TO DECISIONS

1.Collection Services Available.

Child support collection services are available to a parent, even though that parent does not receive Aid for Families with Dependent Children (AFDC) benefits; it is equally clear that the Cabinet for Human Resources (now Families and Children) had standing to collect court-ordered support arrearages. Thurman v. Commonwealth, 828 S.W.2d 368, 1992 Ky. App. LEXIS 71 (Ky. Ct. App. 1992).

2.Intervention In Divorce Action.

Because the county attorney has state and federal authority to provide for enforcement of child support obligations under part D of Title IV of the Social Security Act, 42 USCS §§ 651 et seq., (for both those receiving AFDC benefits and those not receiving such benefits) and may intervene as a matter of right in a divorce action in order to provide IV-D services, the Circuit Court erred in prohibiting county attorney’s intervention in several divorce actions seeking increases in child support. Cabinite for Human Resources v. Houck, 908 S.W.2d 673, 1995 Ky. App. LEXIS 185 (Ky. Ct. App. 1995).

Because a county attorney failed to submit any application to intervene on behalf of the Commonwealth of Kentucky’s Cabinet for Health and Family Services, the Cabinet was not properly before the family court. Its motion to set child support was thus ineffectual, and, as a result, the family court should have entered no order of child support. Boggs v. Commonwealth ex rel. Boggs, 2012 Ky. App. LEXIS 133 (Ky. Ct. App. Aug. 10, 2012), review denied, ordered not published, 2013 Ky. LEXIS 188 (Ky. Feb. 13, 2013).

Opinions of Attorney General.

Payments authorized under specific federal legislation, on a reimbursement basis, for salary costs of local officials associated with specific compliance with a contract with a state agency consistent with federal law, are payments for other than official services, and thus are not limited by Ky. Const., § 246. OAG 92-161 .

Because they are for services beyond the official services required of a county attorney payments to county attorneys or their employees, from funds of Title IV-D of the United States Social Security Act, as reimbursement for salary costs pursuant to federal law, are not subject to Ky. Const., § 246. OAG 92-161 .

205.713. Standardized forms for entry of state case registry information.

All forms, child support orders, wage withholding orders, or orders amending an existing child support order, entered in any case in Circuit Court, District Court, or family court that require entry into the state case registry under KRS 205.712(4) shall be entered on forms adopted by the Administrative Office of the Courts after consultation with the Cabinet for Health and Family Services. If the provisions of a child support order are contained in an order that is narrative in nature, the adopted forms shall be used in addition to the narrative order.

HISTORY: Enact. Acts 2000, ch. 430, § 2, effective July 14, 2000; 2005, ch. 99, § 267, effective June 20, 2005; 2018 ch. 112, § 13, effective July 14, 2018.

205.715. Debt due and owing to state by parents.

The payment of public assistance to or on behalf of a dependent child shall create a debt due and owing the state by the parent or parents of the child. If a court has ordered child support incident to a final divorce decree or other final order for child support, the debt shall be limited to the amount specified in the decree or order.

History. Enact. Acts 1974, ch. 343, § 3; 1978, ch. 277, § 1, effective June 17, 1978; 1988, ch. 411, § 3, effective July 15, 1988.

NOTES TO DECISIONS

1.Claim for Reimbursement Proper.

Where the Circuit Court found the child support provision in a divorce decree to be void, thereby eliminating liability of the father under the divorce decree, Division of Child Support Enforcement was entitled to have its counterclaim considered where it sought reimbursement of funds expended for the dependent child. Commonwealth Cabinet for Human Resources Div. of Child Support Enforcement v. Keith, 805 S.W.2d 672, 1991 Ky. App. LEXIS 28 (Ky. Ct. App. 1991).

205.720. Assignment — Subrogation — Distribution of child support payments — Effect of termination of Title IV-D services.

  1. By applying for Title IV-D services or accepting public assistance for or on behalf of a needy dependent child, the recipient shall be deemed to have made an assignment to the cabinet of the right to any child support or maintenance owed up to the amount of public assistance paid by the cabinet to the recipient, including amounts which have accrued at the time the assignment is made between October 1, 1997, and September 30, 2000. The cabinet shall be subrogated to the right of the child or the person having custody to collect and receive all child support payments and to initiate any support action existing under the laws of this state.
  2. The cabinet shall distribute all child support payments and assigned arrearages as required by 42 U.S.C. secs. 651 et seq.
  3. When Title IV-D services on behalf of a dependent child are terminated, current and past due court-ordered or administratively determined child support owed the child shall be payable to the physical custodian of the dependent child for the period of time the dependent child was in the physical custody of that custodian.

History. Enact. Acts 1974, ch. 343, § 4; 1978, ch. 277, § 2, effective June 17, 1978; 1994, ch. 330, § 3, effective July 15, 1994; 1998, ch. 255, § 6, effective July 15, 1998.

NOTES TO DECISIONS

1.Authority of Cabinet.

The Cabinet for Families and Children had authority to intervene to seek a modification of a final order terminating child support, and was not required to file an independent action. Berry v. Cabinet for Families & Children, 998 S.W.2d 464, 1999 Ky. LEXIS 86 ( Ky. 1999 ).

Opinions of Attorney General.

Where the petitioner-mother in a paternity action is receiving Aid to Families with Dependent Children from the Commonwealth of Kentucky, and the action is brought by the Commonwealth on behalf of the mother against the alleged father in order to establish legal paternity for the present and future protection and benefit of the minor child, the mother may enter into an agreement with the alleged father providing for his support of the child under the following conditions: (1) The agreement must be approved by the Cabinet for Human Resources (now Health and Family Services), through its representative, the county attorney. (2) The agreement must be one that is deemed to be in the best interest of the child. (3) The agreement must be one deemed to serve the best interests of the taxpayers, federal and Kentucky. (4) The agreement must be reasonable and conscionable. (5) The agreement must be approved by the district court of jurisdiction, if it is to be valid. OAG 83-181 .

205.721. Title IV-A services available to individuals not receiving public assistance benefits — Continuation of IV-D services — Fee for services — Exemption — Annual fee.

  1. All services available to individuals receiving public assistance under Title IV-A of the Federal Social Security Act benefits shall also be available to individuals not receiving public assistance benefits, upon application by the individual with the cabinet.
  2. The cabinet shall continue to provide IV-D services when a family ceases to receive public assistance without requiring a formal application and without payment of the application fee specified in subsection (3) of this section. IV-D services shall be discontinued upon the request of the recipient.
  3. Except as provided in subsection (2) of this section, the cabinet may charge an application fee for the services based on a fee schedule, which shall take into account the applicant’s net income. No application fee shall be required from individuals receiving public assistance.
  4. The cabinet shall impose an annual fee of thirty-five dollars ($35) pursuant to 42 U.S.C. sec. 654 , which shall be satisfied by withholding the fee from a child support disbursement.

History. Enact. Acts 1984, ch. 379, § 3, effective July 13, 1984; 1986, ch. 487, § 2, effective July 15, 1986; 1990, ch. 418, § 12, effective July 13, 1990; 1998, ch. 100, § 7, effective July 15, 1998; 1998, ch. 255, § 7, effective July 15, 1998; 2008, ch. 21, § 2, effective July 15, 2008; 2019 ch. 162, § 1, effective June 27, 2019.

Compiler’s Notes.

Title IV-A of the federal Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 601 et seq. The reference to “IV-D” in subsection (2) is a reference to Title IV-D of the federal Social Security Act, which is compiled as 42 USCS § 651 et seq.

NOTES TO DECISIONS

1.Standing to Collect Arrearages.

Child support collection services are available to a parent, even though that parent does not receive Aid for Families with Dependent Children (AFDC) benefits; it is equally clear that the Cabinet for Human Resources (now Health and Family Services) had standing to collect court-ordered support arrearages. Thurman v. Commonwealth, 828 S.W.2d 368, 1992 Ky. App. LEXIS 71 (Ky. Ct. App. 1992).

2.Intervention In Divorce Action.

Because the county attorney has state and federal authority to provide for enforcement of child support obligations under part D of Title IV of the Social Security Act (for both those receiving AFDC benefits and those not receiving such benefits) and may intervene as a matter of right in a divorce action in order to provide IV-D services, the Circuit Court erred in prohibiting county attorney’s intervention in several divorce actions seeking increases in child support. Cabinite for Human Resources v. Houck, 908 S.W.2d 673, 1995 Ky. App. LEXIS 185 (Ky. Ct. App. 1995).

Research References and Practice Aids

Kentucky Law Journal.

Kentucky Law Survey, Graham, Domestic Relations, 73 Ky. L.J. 379 (1984-85).

Notes, Effective Child Support Enforcement in Kentucky: The Tax Refund Intercept Program, 74 Ky. L.J. 667 (1985-86).

205.725. Action when application received by cabinet — Definition.

  1. Whenever the cabinet receives an application for public assistance on behalf of a needy dependent child or reviews the records of those currently receiving public assistance on behalf of a needy dependent child and it appears to the satisfaction of the cabinet that either or both parents have failed to provide support to the child, the cabinet may take appropriate action under this chapter, or any other appropriate state and federal laws and regulations, to assure that the responsible parent or parents provide support to the child.
  2. As used in KRS 205.730 , 205.735 , 205.765 and 205.785 , the term “child” includes a child of an individual who is not receiving public assistance and who is eligible to receive child support services in accordance with Title IV-D of the Social Security Act.

History. Enact. Acts 1974, ch. 343, § 5; 1978, ch. 277, § 3, effective June 17, 1978; 1986, ch. 487, § 3, effective July 15, 1986.

Compiler’s Notes.

Title IV-D of the Social Security Act, referred to in subsection (2), is compiled as 42 USCS § 651 et seq.

205.730. Cabinet’s duty to locate custodial and noncustodial parents — Enforcement of child support obligations — Registry of information relating to parents — Assistance from governmental agencies — Limits on availability of information.

  1. Unless the cabinet has reason to believe allegations of child abuse or domestic violence and that the disclosure of the information could be harmful to the custodial parent or the child of the parent, the cabinet shall attempt to locate a noncustodial parent of a child described in KRS 205.725 , and establish or set an amount of modification, and enforce the child support obligation.
  2. Upon the request of a putative father and for the purpose of establishing paternity only, the cabinet shall attempt to locate a custodial parent of a child described in KRS 205.712 if the cabinet finds the action to be in the best interest of the child.
  3. If paternity is established for a child described in KRS 205.725 as a result of the location of the custodial parent, the cabinet shall establish a child support obligation or a modification for a child support obligation and shall enforce the child support obligation if the cabinet finds the enforcement of the order to be in the best interest of the child.
  4. The cabinet shall serve as a registry for the receipt of information which directly relates to the identity or location of absent parents, and, upon request of a putative father, the location of a custodial parent, in order to establish paternity, to answer interstate inquiries concerning deserting parents or custodial parents, to coordinate and supervise any activity on a state level in search of an absent parent or custodial parent, to develop guidelines for coordinating activities of any governmental agency in providing information necessary for location of absent parents or custodial parents, to obtain information on the location of parents to enforce state and federal laws against parental kidnapping and to make or to enforce a child custody or visitation order, and is to process all requests received from an initiating county or an initiating state which has adopted the Uniform Reciprocal Enforcement of Support Act or the Uniform Interstate Family Support Act.
  5. In order to carry out responsibilities imposed under this chapter, the cabinet may request information and assistance from any governmental agency. All state, county, and city agencies, officers, and employees shall cooperate with the cabinet in determining the location of parents who have abandoned or deserted children and shall cooperate with the cabinet in determining the location of custodial parents for the purpose of establishing paternity with all pertinent information relative to the location, income and assets, property, and debt of the parents, notwithstanding any provision of state law making the information confidential.
  6. The information which is obtained by the cabinet shall only be available to such governmental agency or political subdivision of any state for purposes of locating an absent parent to enforce the parent’s obligation of support and for the purposes of location of custodial parents to establish paternity of putative fathers.

History. Enact. Acts 1974, ch. 343, § 6; 1978, ch. 277, § 4, effective June 17, 1978; 1994, ch. 330, § 4, effective July 15, 1994; 1998, ch. 255, § 8, effective July 15, 1998.

Opinions of Attorney General.

In denying an open records request for records which contain the names, addresses, and social security numbers of those individuals who have an unsatisfied obligation to support minors residing within the Commonwealth of Kentucky whose custodial parent or guardian has presently, or who has at times in the past, received benefits under the state and federal program entitled Aid to Families with Dependent Children, the Cabinet for Human Resources has acted consistent with the provisions of the Open Records Law, KRS 61.870 to 61.884 . Specifically these records have been made confidential by the general assembly by this section which is a part of the Child Support Recovery Act, KRS 205.800 . OAG 82-539 ; 82-641.

Research References and Practice Aids

Cross-References.

Uniform Reciprocal Enforcement of Support Act, KRS Chapter 407.

205.732. Employment assistance program for low-income noncustodial parents.

The cabinet shall, to the extent federal funding is available, establish a statewide program to help low-income, noncustodial parents find and keep employment. The goal of the program shall be to reduce welfare payments by helping participants become financially responsible for their children. The cabinet shall involve local social service providers and state and local government agencies, and may provide incentives to employers who hire program participants. The program shall also encourage noncustodial parents to be actively involved in their children’s lives. Noncustodial parents may be required to enroll in the program by court order.

History. Enact. Acts 2000, ch. 430, § 4, effective July 14, 2000.

205.735. Information to be supplied by employer.

All business concerns doing business in this state, to the extent that they have employees working within this state, or maintain personnel files within this state, or are incorporated under the laws of this state, shall provide the cabinet with the following information upon certification by the secretary that the information is for the purpose of locating a parent, and the establishment, modification, and enforcement of a child support and medical support order, and that the information obtained will be treated as confidential information by this cabinet or the agency or cabinet of any other state which administers the Child Support Enforcement Program pursuant to Part D of Title IV of the Social Security Act for the other state: full name, Social Security account number, date of birth, home address, wages, and number of dependents listed for tax purposes.

History. Enact. Acts 1974, ch. 343, § 7; 1978, ch. 277, § 5, effective June 17, 1978; 1988, ch. 411, § 4, effective July 15, 1988; 1998, ch. 255, § 9, effective July 15, 1998.

Compiler’s Notes.

Part D of Title IV of the Social Security Act is compiled as 42 USCS § 651 et seq.

205.740. Assignment of wages to satisfy support obligation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 343, § 8; 1984, ch. 144, § 3, effective July 13, 1984; 1984, ch. 379, § 1, effective July 13, 1984) was repealed by Acts 1988, ch. 411, § 35, effective May 1, 1988.

205.741. Assignment of wages to satisfy support obligation — Notice of withholding. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 411, § 5) was repealed by Acts 1990, ch. 418, § 35.

205.743. Service of withholding order on employer or debtor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 411, § 6) was repealed by Acts 1990, ch. 418, § 35.

205.744. Employment information of obligor to be furnished to cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1988, ch. 411, § 7) was repealed by Acts 1990, ch. 418, § 35.

205.745. Child support lien or levy in favor of cabinet — Filing of notice — Foreclosure actions — Immobilization of vehicles of child support obligors.

  1. A child support lien or levy in favor of the cabinet shall be enforceable against all real and personal property of the obligor if he has failed to make child support payment in an amount equal to support payable for one (1) month and the child support has been assigned to the cabinet. In accordance with subsection (4) of this section, the lien or levy shall have first priority over any other lien assigned by any other agency, association, or corporation.
  2. The cabinet shall file a notice of lien or levy with the county clerk of any county or counties in which the obligor has interest in property and the notice shall be recorded in the same manner as notices of lis pendens. The recordation shall constitute notice of both the original amount of child support due and all subsequent amounts due by the same obligor. Upon request, an authorized agent of the cabinet shall disclose the specific amount of liability to any interested party legally entitled to the information. The notice, when so filed, shall be conclusive to all persons of the lien or levy on the property having legal situs in that county. The lien or levy shall commence as to property of the obligor located in the Commonwealth at the time the notice is filed and shall continue until the original amount of child support due and any subsequent amounts, including interest, penalties, or fees, are fully paid. The lien or levy shall attach to all interest in real and personal property in the Commonwealth, then owned or subsequently acquired by the obligor. The clerk shall be entitled to a fee pursuant to KRS Chapter 64.
  3. The cabinet may force the sale of the property of the parent subject to the lien or levy for the payment of assigned child support, and distribute the proceeds in accordance with 42 U.S.C. secs. 651 et seq.
  4. The cabinet’s lien or levy shall be superior to any mortgage or encumbrance created after the notice of lien or levy is recorded. The cabinet shall give full faith and credit to child support liens or levies created in other states without requirement of judicial notice or proceedings prior to enforcement, but the liens or levies shall subordinate to any child support lien or levy of the cabinet that relates to the same obligor and property.
  5. The cabinet shall not enforce the lien by foreclosure action on a principal residence of an obligor if to do so would deprive a minor child of the obligor of a homestead, unless the failure to enforce the lien by foreclosure would result in the loss of the home of the minor child of the custodial parent.
  6. In the event another lienholder initiates a foreclosure action against the property of the obligor, the cabinet may protect its interest in the property by filing an answer counterclaim and cross-claim and participate in the proceeds of any sale of the property as its interests may appear.
  7. The cabinet shall notify the obligor of the filing of its claim of lien or levy and the opportunity to contest and appeal the action in accordance with the requirements of KRS Chapter 13B.
  8. Liens or levies resulting from actions provided by this section shall be inapplicable to an account maintained at a financial institution that is or may be subject to the data match system established by KRS 205.774 , and is subordinate to any prior lien, levy, or security interest perfected by a financial institution or other legitimate lien or levy holder.
  9. The cabinet may, after application to and approval of the Circuit Court, enforce the lien by the immobilization with vehicle boots of a vehicle registered in the obligor’s name. The cabinet shall establish procedures for vehicle booting by the promulgation of administrative regulations in accordance with the provisions of KRS Chapter 13A. The procedures shall require that the following conditions are verified before a vehicle is immobilized with a vehicle boot:
    1. There is an arrearage that equals or exceeds six (6) months without payment;
    2. The obligor has failed, after receiving appropriate notice, to comply with subpoenas or warrants relating to child support proceedings;
    3. A lien has been filed in the county where the vehicle is kept;
    4. The Department of Vehicle Regulation shows that the vehicle identification number for the vehicle to be booted is registered in the obligor’s name;
    5. The vehicle to be booted is solely owned by the obligor, co-owned by the obligor and current spouse, or owned by a business in which the obligor is the sole proprietor;
    6. A notice of intent has been sent to the obligor, unless there is reason to believe that the obligor will leave town or hide the vehicle;
    7. The obligor does not contact the cabinet within ten (10) days of notice to negotiate a settlement; and
    8. A target date is set for booting.

The administrative regulations shall also require that the cabinet send a cancellation notice to the obligor and the sheriff if a decision is made to terminate the booting of a vehicle. Once a vehicle has been booted, the cabinet shall attempt to reach a payment agreement with the obligor including terms for the release of the vehicle. If an agreement is not reached with the obligor, the cabinet may proceed with the sale of the vehicle. If the cabinet sells a vehicle, the cabinet shall notify the Department of Vehicle Regulation to issue clear title to the new owner of the vehicle.

History. Enact. Acts 1974, ch. 343, § 9; 1978, ch. 384, § 342, effective June 17, 1978; 1984, ch. 379, § 2, effective July 13, 1984; 1986, ch. 487, § 4, effective July 15, 1986; 1988, ch. 411, § 8, effective July 15, 1988; 1990, ch. 418, § 13, effective July 13, 1990; 1998, ch. 255, § 10, effective July 15, 1998; 1998, ch. 426, § 221, effective July 15, 1998; 2000, ch. 430, § 6, effective July 14, 2000.

Legislative Research Commission Notes.

(7/15/98). This section was amended by 1998 Ky. Acts chs. 255 and 426 which are in conflict. Under KRS 7.136(3), Acts ch. 255, which was a nonrevisory Act, prevails.

205.750. Payments to be made through the state agency or the agency’s designee.

  1. Child support payments made pursuant to a court order shall be made through the state agency or an agency designated by the state agency to receive payments and paid to the cabinet upon notice by the cabinet to the court and the obligor that the child is a recipient of services pursuant to Title IV-D of the Social Security Act.
  2. Payment of support payments by the obligor directly to a child who is receiving public assistance after the obligor has been notified pursuant to subsection (1) of this section does not abate the obligor’s support obligation to the cabinet.

History. Enact. Acts 1974, ch. 343, § 10; 1978, ch. 277, § 6, effective June 17, 1978; 1986, ch. 487, § 5, effective July 15, 1986; 1988, ch. 411, § 9, effective July 15, 1988; 1998, ch. 417, § 4, effective July 15, 1998.

Compiler’s Notes.

Title IV-D of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 651 et seq.

205.752. Penalty imposed upon payor for tender of dishonored check.

If any check tendered to the cabinet is not paid when presented to the drawee bank for payment, there shall be paid as a penalty by the payor who tendered the check, or the payor for whom the check was tendered, upon notice and demand of the cabinet, an amount equal to ten percent (10%) of the check. The penalty under this section shall not be less than ten dollars ($10) or more than twenty-five dollars ($25). If the payor who tendered the check shows to the cabinet’s satisfaction that the failure to honor payment of the check resulted from error by parties other than the payor, the cabinet shall waive the penalty.

History. Enact. Acts 1998, ch. 417, § 2, effective July 15, 1998.

205.755. Manner for receipt and distribution of payments.

  1. Any payments of support made on behalf of a needy dependent child who is receiving public assistance shall be deposited by the cabinet in a manner prescribed by the secretary which is consistent with state and federal law and regulations. Distribution of any payments so made shall be made in a manner prescribed by the secretary which is consistent with state and federal law and regulations.
  2. The cabinet may establish a system to receive and process all child support payments using automated payment options including, but not limited to, telephone and personal computer payment methods.

History. Enact. Acts 1974, ch. 343, § 11; 2000, ch. 430, § 7, effective July 14, 2000.

205.760. Suit to recover money due dependent child. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 343, § 12) was repealed by Acts 1988, ch. 411, § 35, effective May 1, 1988.

205.765. Judicial proceeding to secure support.

The cabinet may appear in any judicial proceeding on behalf of the dependent child in order to secure support for the child from his parent or parents.

History. Enact. Acts 1974, ch. 343, § 13.

NOTES TO DECISIONS

1.Intervention In Divorce Action.

Because the county attorney has state and federal authority to provide for enforcement of child support obligations under part D of Title IV of the Social Security Act (for both those receiving AFDC benefits and those not receiving such benefits) and may intervene as a matter of right in a divorce action in order to provide IV-D services, the Circuit Court erred in prohibiting county attorney’s intervention in several divorce actions seeking increases in child support. Cabinite for Human Resources v. Houck, 908 S.W.2d 673, 1995 Ky. App. LEXIS 185 (Ky. Ct. App. 1995).

Because a county attorney failed to submit any application to intervene on behalf of the Commonwealth of Kentucky’s Cabinet for Health and Family Services, the Cabinet was not properly before the family court. Its motion to set child support was thus ineffectual, and, as a result, the family court should have entered no order of child support. Boggs v. Commonwealth ex rel. Boggs, 2012 Ky. App. LEXIS 133 (Ky. Ct. App. Aug. 10, 2012), review denied, ordered not published, 2013 Ky. LEXIS 188 (Ky. Feb. 13, 2013).

205.766. Concurrent jurisdiction of Circuit and District Courts in certain child support cases.

For purposes of KRS 205.710 to 205.800 , KRS Chapter 403, and KRS Chapter 407, the Circuit Court and the District Court shall have concurrent jurisdiction to establish, modify, and enforce obligations of child support in cases where the determination of paternity is not an issue, except that the jurisdiction of the District Court in cases not involving the determination of paternity shall be limited to those cases where there is no Circuit Court order of this state previously setting child support.

History. Enact. Acts 1998, ch. 417, § 3, effective July 15, 1998.

205.767. Surety to guarantee payment of overdue support.

  1. The cabinet shall require a parent in appropriate cases to give security, post bond, or give some other guarantee to secure payment of overdue support.
  2. The cabinet shall provide advance notice to the obligor regarding the delinquency of the support payment and the requirement of posting security, bond or guarantee. The obligor shall be notified of his rights and methods available to contest the impending action in compliance with due process of law and administrative regulations.

History. Enact. Acts 1986, ch. 478, § 7, effective July 15, 1986; 1988, ch. 411, § 10, effective July 15, 1988.

205.768. Release of information to consumer reporting agencies — Notice — Charge for information.

  1. The cabinet shall periodically make information available to consumer reporting agencies regarding the amount of overdue support owed by a parent. Amounts may be reported by the cabinet to the certified consumer reporting agency.
  2. The cabinet shall provide advance notice to the obligor concerning the proposed release of the information to the certified consumer reporting agency and inform the obligor of the methods available to contest the accuracy of the information in compliance with due process of law.
  3. The cabinet may charge the certified consumer reporting agency a fee not to exceed the actual cost of providing the information.

History. Enact. Acts 1986, ch. 487, § 8, effective July 15, l986; 1988, ch. 411, § 11, effective July 15, 1988; 1998, ch. 255, § 11, effective July 15, 1998.

205.7685. Credit report from consumer reporting agency requested for purpose of child support recovery.

  1. The cabinet shall request information from a certified consumer reporting agency only when a full credit report is needed for the purpose of establishing a parent’s capacity to make child support payments, determining the appropriate levels of child support payments, or enforcing a child support order, award, agreement, or judgment.
  2. The report will be kept confidential and be used solely for the purpose of establishing an individual’s capacity to make child support payments or determining the appropriate level of the payments.
  3. The report will not be used in connection with any other civil, administrative, or criminal proceeding or for any other purpose.

History. Enact. Acts 1998, ch. 255, § 40, effective July 15, 1998; 2016 ch. 77, § 1, effective July 15, 2016.

205.769. Federal and state income tax refund offsets.

  1. In cases deemed appropriate pursuant to established guidelines, the cabinet shall refer for federal income tax refund offset and state income tax refund offset verified amounts which are owed for overdue child support and maintenance amounts that are included in the same support order as child support. The cabinet shall refer for federal income tax refund offset and state income tax refund offset verified amounts which are owed for medical support, when the medical support arrearage accrued is based on a medical support order for a specified dollar amount.
  2. In nonpublic assistance cases, the custodial parent shall be notified in advance if any offset amount will be first used to satisfy any unreimbursed public assistance payments which have been provided to the family.
  3. Written notice in advance shall be provided the obligor of the referral for state income tax refund offset, together with the opportunity to contest the referral pursuant to procedures which are in compliance with the state’s procedural due process requirements.
  4. If the offset amount is found to be in error or to exceed the amount of overdue support, the cabinet shall promptly refund the excess amount pursuant to established procedures.
  5. The cabinet may charge a reasonable fee to cover the cost of collecting overdue support using the state tax refund offset.
  6. The Department of Revenue shall notify the cabinet of the parent’s home address and Social Security number or numbers. The cabinet shall provide this information to any other state involved in enforcing the support order.
  7. The cabinet has the unfettered right to intercept federal income tax refunds and state income tax refunds, pursuant to 45 C.F.R. 303.72 and KRS 131.560 to 131.595 , to satisfy all child support, maintenance, and medical support arrearages due the cabinet or its assignee.

History. Enact. Acts 1986, ch. 487, § 9, effective July 15, 1986; 1988, ch. 411, § 12, effective July 15, 1988; 1994, ch. 330, § 5, effective July 15, 1994; 1996, ch. 365, § 3, effective July 15, 1996; 2005, ch. 85, § 621, effective June 20, 2005.

205.7695. Sharing of state tax information for child support collection.

The Cabinet for Health and Family Services and the Department of Revenue shall work together to develop a system of information sharing for the effective and efficient collection of child support payments. Any requirement included in KRS Chapter 131, 205, 403, or 405 or any other law for either the cabinet or the department for the confidentiality of individual personal and financial records shall not be violated in the process of this coordination.

History. Enact. Acts 2000, ch. 430, § 3, effective July 14, 2000; 2005, ch. 85, § 622, effective June 20, 2005; 2005, ch. 99, § 268, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). This section was amended by 2005 Ky. Acts chs. 85 and 99, which do not appear to be in conflict and have been codified together.

205.770. Child custody and visitation rights.

  1. If a child is receiving services under Part D of Title IV of the Social Security Act and the cabinet has taken action under the provisions of KRS 205.715 to 205.800 , 403.215 , 405.405 to 405.530 and 530.050 to obtain support on behalf of the child, matters concerning custody of the child and visitation rights of the parents shall not be used by either parent as a reason not to pay child support to the cabinet.
  2. Upon a determination by the cabinet that such would be in the best interest of the child, the cabinet may petition a Circuit Court of proper jurisdiction in the name of the child to make a determination of child custody and visitation rights of a parent.

History. Enact. Acts 1974, ch. 343, § 14; 1988, ch. 411, § 13, effective July 15, 1988.

Compiler’s Notes.

KRS 405.530 , referred to in subsection (1), has been renumbered as KRS 405.991(2).

Part D of Title IV of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 651 et seq.

205.772. Data match agreements between cabinet and financial institutions — Surrender of assets when parent is subject to lien — Fee — Financial institutions not liable.

  1. Financial institutions doing business in the Commonwealth shall enter into cooperative agreements with the cabinet or its designee to operate a data match system. Pursuant to the agreements, the financial institution shall be required to provide identifying information each calendar quarter for each obligated parent who maintains an account at the institution and who owes an arrearage, and who shall be identified by the cabinet.
  2. The cooperative agreement shall include provisions for financial institutions to encumber or surrender assets held by the institutions on behalf of any obligated parent who is subject to a child support lien pursuant to KRS 205.778 .
  3. The financial institution shall be paid a fee for conducting data matches from the obligor’s account, not to exceed the actual cost.
  4. No liability shall arise for the Commonwealth or the financial institution under this section with respect to any disclosure of financial records for the establishment, modification, or enforcement of a child support obligation of the individual.
  5. The financial institution shall not be liable for encumbering or surrendering any assets held by such financial institution in response to a notice of lien or levy issued by the cabinet, for any other action taken in good faith to comply with the requirement of this section.
  6. “Financial institution” means:
    1. A depository institution and an institution-affiliated party as defined by 12 U.S.C. sec. 1813(c) and (u);
    2. Any federal or state credit union, including an institution-affiliated party of that credit union, as defined by 12 U.S.C. sec. 1752 and 12 U.S.C. sec. 1786(r) ;
    3. Any benefit association, insurance company, safe deposit company, money market mutual fund, brokerage firm, trust company, or similar entity authorized to do business in the Commonwealth.
  7. The cabinet may promulgate administrative regulations to implement the requirements of this section.

History. Enact. Acts 1998, ch. 255, § 42, effective July 15, 1998.

205.774. Wage reporting and financial institution match systems — Agreements.

  1. The Cabinet for Health and Family Services shall design, develop, implement, and operate a wage reporting and financial institution match system for the purpose of identifying the financial assets of individuals as identified by cabinet agencies, for the purpose of administering the child support enforcement program of the Commonwealth. The Cabinet for Health and Family Services may promulgate administrative regulations to implement this section.
  2. Each financial institution in the Commonwealth shall enter into an agreement with the Cabinet for Health and Family Services to develop and operate a data match system to facilitate identification of financial assets of individuals identified by cabinet agencies for the purpose of administering the child support enforcement programs of the Commonwealth.

History. Enact. Acts 1998, ch. 255, § 43, effective July 15, 1998; 2005, ch. 99, § 269, effective June 20, 2005.

205.775. Reimbursement of support payments. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1974, ch. 343, § 15; 1986, ch. 487, § 6, effective July 15, 1986) was repealed by Acts 1988, ch. 411, § 35, effective May 1, 1988.

205.776. Disclosure of information about data match system to depositors — Penalty — Liability of financial institution — Fee.

  1. A financial institution furnishing a report or providing asset information of an individual owing past-due support to the Cabinet for Health and Family Services under either subsection (1) or subsection (2) of KRS 205.774 shall not disclose to a depositor or an account holder that the name of that person has been received from or furnished to the Cabinet for Health and Family Services. An institution may disclose to its depositors or account holder that under the financial institution match system the Cabinet for Health and Family Services has the authority to request certain identifying information on certain depositors or account holders.
  2. If a financial institution willfully violates the provisions of this section by releasing asset information of an individual owing child support to the Cabinet for Health and Family Services, the institution shall pay to the Cabinet for Health and Family Services the lesser of one thousand dollars ($1,000) or the amount on deposit or in the account of the person to whom the disclosure was made.
  3. A financial institution shall incur no obligation or liability to a depositor or account holder or any other person arising from the furnishing of a report or information to the Cabinet for Health and Family Services under KRS 205.774 , or from the failure to disclose to a depositor or account holder that the name of the person was included in a list furnished by the financial institution to the Cabinet for Health and Family Services, or in a report furnished by the financial institution to the Cabinet for Health and Family Services.
  4. Regardless of whether the action was specifically authorized or described in KRS 205.715 to 205.800 or an agreement, a financial institution shall not be liable for providing or disclosing of any information; for encumbering, holding, refusing to release, surrendering, or transferring any account balance or asset; or any other action taken by a financial institution pursuant to KRS 205.715 to 205.800 or agreement as required by KRS 205.774 .
  5. A financial institution shall not give notice to an account holder or customer of the financial institution that the financial institution has provided information or taken any action pursuant to KRS 205.715 to 205.800 or the agreement and shall not be liable for failure to provide that notice; provided however, that a financial institution may disclose to its depositors or account holders that, under the data match system, the cabinet has the authority to request certain identifying information on certain depositors or account holders. The cabinet shall notify, not less than annually, affected depositors or account holders who have not otherwise received notification.
  6. A financial institution may charge an account levied on by the Cabinet for Health and Family Services a fee of not more than twenty dollars ($20) which may be deducted from the account prior to remitting any funds to the Cabinet for Health and Family Services.

History. Enact. Acts 1998, ch. 255, § 47, effective July 15, 1998; 2005, ch. 99, § 270, effective June 20, 2005.

205.778. Lien against account of parent owing child support — Notice — Account activity fees — Priority of lien.

  1. When the cabinet determines that the name, record address, and either Social Security number or taxpayer identification number of an account with a financial institution matches the name, record address, and either the Social Security number or taxpayer identification number of a parent who owes past-due support in an amount equal to or greater than one (1) month’s obligation, a lien or levy shall, subject to the provision of subsection (3) of this section, arise against the assets in the account at the time of receipt of the notice by the financial institution at which the account is maintained. The cabinet shall provide a notice of the match, the lien or levy arising therefrom, and the action to be taken to surrender or encumber the account with the lien or levy for child support payment to the individual identified and the financial institution holding the account. The financial institution shall have no obligation to hold, encumber, or surrender assets in any account based on a match until receipt of the notice from the cabinet.
  2. The cabinet shall provide notice to the individual subject to a child support lien or levy on assets in an account held by a financial institution within two (2) business days of the date that notice is sent to the financial institution.
  3. A financial institution ordered to surrender or encumber an account shall be entitled to collect its normally scheduled account activity fees to maintain the account during the period of time the account is seized or encumbered.
  4. Any levy issued on an identified account by the Cabinet for Health and Family Services for past-due child support shall have first priority over any other lien or levy issued by the Department of Revenue or any other agency, corporation, or association.

History. Enact. Acts 1998, ch. 255, § 48, effective July 15, 1998; 2005, ch. 85, § 623, effective June 20, 2005; 2005, ch. 99, § 271, effective June 20, 2005; 2012, ch. 158, § 31, effective July 12, 2012.

205.7785. Interstate lien to enforce Kentucky child support obligation — Lien to enforce obligation credited in another state — Priority of out-of-state lien — Certification of authority.

  1. An interstate lien may be created and a notice of interstate lien may be filed on all of an obligor’s real and personal property that is located in another state to enforce a child support obligation which has been judicially or administratively established in the Commonwealth. The lien shall be filed in the appropriate offices of the state or county where the property of the obligor is located. All aspects of the lien, including its priority and enforcement, are governed by the law of the state where the property is located and shall remain until released by the authorized agent of the party which filed the lien, or in accordance with the laws of the state of filing.
  2. A lien to enforce a child support obligation which is created in another state shall be enforceable against all real and personal property of the obligor located in this state upon the filing of a notice of interstate lien with the county clerk of any county or counties in which the obligor has interest in property, and the notice shall be recorded in the same manner as notices of lis pendens. The recordation shall constitute notice of both the original amount of child support due and all subsequent amounts due by the same obligor. Upon request, an authorized agent of the party which filed the notice of interstate lien shall disclose the specific amount of liability to any interested party legally entitled to that information. The notice, when so filed, shall be conclusive notice to all persons of the lien on the property having legal situs in that county. The lien shall commence as to property of the obligor located in the Commonwealth at the time the notice is filed and shall continue until the original amount of child support due and any subsequent amounts, including interest, penalties, or fees, are fully paid. The lien shall attach to all interest in the real and personal property in the Commonwealth, then owned or subsequently acquired by the obligor. The clerk shall be entitled to a fee pursuant to KRS 64.012 for filing the lien and the same fee for releasing the lien.
  3. A child support lien created in another state shall be on a parity with state, county, and municipal ad valorem tax liens, and superior to the lien of any mortgage or other encumbrance created after the notice of interstate lien is recorded; however, it shall be subordinate to any child support lien which has been filed by the cabinet as to the same obligor and property.
  4. The authority by which the child support lien is created in another state and filed in this state shall be certified on the notice of interstate lien by a person who is authorized to certify on behalf of the party that is filing the notice of interstate lien.
  5. The secretary of the cabinet may promulgate administrative regulations under the provisions of KRS Chapter 13A to implement this section.

History. Enact. Acts 1998, ch. 255, § 49, effective July 15, 1998; 2006, ch. 255, § 19, effective January 1, 2007.

205.780. Legal action for reimbursement.

At any time prior to a child’s twenty-first birthday, the cabinet may institute a legal action against an obligor for the reimbursement of money paid by the cabinet for the benefit of the child through the public assistance programs.

History. Enact. Acts 1974, ch. 343, § 16; 1988, ch. 411, § 14, effective July 15, 1988.

NOTES TO DECISIONS

1.Claim for Reimbursement.

Where the Circuit Court found the child support provision in a divorce decree to be void, thereby eliminating liability of the father under the divorce decree, Division of Child Support Enforcement was entitled to have its counterclaim considered where it sought reimbursement of funds expended for the dependent child. Commonwealth Cabinet for Human Resources Div. of Child Support Enforcement v. Keith, 805 S.W.2d 672, 1991 Ky. App. LEXIS 28 (Ky. Ct. App. 1991).

2.Authority of Cabinet.

The Cabinet for Families and Children had authority to intervene to seek a modification of a final order terminating child support, and was not required to file an independent action. Berry v. Cabinet for Families & Children, 998 S.W.2d 464, 1999 Ky. LEXIS 86 ( Ky. 1999 ).

Because a county attorney failed to submit any application to intervene on behalf of the Commonwealth of Kentucky’s Cabinet for Health and Family Services, the Cabinet was not properly before the family court. Its motion to set child support was thus ineffectual, and, as a result, the family court should have entered no order of child support. Boggs v. Commonwealth ex rel. Boggs, 2012 Ky. App. LEXIS 133 (Ky. Ct. App. Aug. 10, 2012), review denied, ordered not published, 2013 Ky. LEXIS 188 (Ky. Feb. 13, 2013).

Research References and Practice Aids

Treatises

Caldwell’s Kentucky Form Book, 5th Ed., Complaint against Infant for Necessaries, Form 257.01.

Caldwell’s Kentucky Form Book, 5th Ed., Creditor’s Complaint against Husband for Wife’s Contract for Necessaries, Form 250.02.

205.782. Service of process by constable in county containing city of the first class.

In a county containing a city of the first class, the provisions of KRS 454.140 notwithstanding, including those provisions related to priority of other officers, all forms of legal process may be served in any child support action by a constable of the county upon direction by the initiating party. A constable shall not be automatically deemed an interested party in litigation merely by virtue of serving process on behalf of the Commonwealth.

History. Enact. Acts 1988, ch. 411, § 33, effective July 15, 1988.

205.785. Identity of parent — Information concealment.

  1. It shall be unlawful for anyone to knowingly refuse to give the secretary the name of a parent of a child for whom services are being provided under Part D of Title IV of the Social Security Act or information which will assist the secretary in locating a parent of a child.
  2. Any information gathered pursuant to subsection (1) of this section shall not be used in criminal prosecutions against the informant.
  3. It shall be unlawful for anyone to knowingly give the secretary the incorrect name of a parent of a child or to knowingly give the secretary incorrect information on the parent’s whereabouts when it is done for the purpose of concealing the identity of the real parent of the child or when it is done with the intent of concealing the location of the parent.
  4. Failure to provide information as required in subsection (1) of this section or providing incorrect information as prohibited in subsection (3) of this section shall constitute a Class A misdemeanor.

History. Enact. Acts 1974, ch. 343, § 17; 1978, ch. 277, § 7, effective June 17, 1978; 1988, ch. 411, § 15, effective July 15, 1988.

Compiler’s Notes.

Title IV-D of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 651 et seq.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for misdemeanor, KRS 532.090 .

205.790. Procedures — Actions — Remedies.

The procedures, actions and remedies provided for in KRS 205.710 to 205.800 , 403.215 , 405.405 to 405.530 , and 530.050 shall be in addition to and not in substitution of other proceedings provided by law.

History. Enact. Acts 1974, ch. 343, § 18; 1988, ch. 411, § 16, effective July 15, 1988.

Compiler’s Notes.

KRS 405.530 , referred to in this section, has been renumbered as KRS 405.991(2).

205.792. Use of administrative process to determine and enforce support obligations.

In addition to the procedures for judicial determination, and enforcement of support obligations described in KRS 205.710 through 205.800 , the cabinet may employ administrative process, as described in KRS 405.405 to 405.520 , to determine and enforce support obligations when paternity is not in question.

History. Enact. Acts 1984, ch. 144, § 2, effective July 13, 1984; 1994, ch. 330, § 6, effective July 15, 1994; 2012, ch. 158, § 32, effective July 12, 2012.

NOTES TO DECISIONS

Cited in:

In re Major, 67 B.R. 36, 1986 Bankr. LEXIS 5228 (Bankr. W.D. Ky. 1986 ).

205.793. Administrative subpoena for information relating to child support — Financial institution may deduct funds from account — Action to enforce subpoena.

  1. The cabinet shall have authority to issue an administrative subpoena commanding information and records relating to the establishment, enforcement, and collection of child support.
  2. All public and private entities including financial institutions shall comply with a subpoena issued under this section within a reasonable time period. Financial institutions may deduct twenty dollars ($20) from the account on which the subpoenaed information has been issued.
  3. The cabinet may enforce compliance by filing an action in the Franklin Circuit Court.
  4. The subpoena shall be issued by a person designated by the secretary.

History. Enact. Acts 1998, ch. 255, § 39, effective July 15, 1998.

205.795. Regulations.

The secretary may adopt regulations necessary to prevent conflict with federal laws and regulations or the loss of federal funds. The secretary may adopt regulations to establish procedures necessary to guarantee due process of law. These regulations shall be consistent with the purpose and intent of KRS 205.710 to 205.800 .

History. Enact. Acts 1974, ch. 343, § 19.

205.796. Divulging of information by employees or agents of the Commonwealth — Penalties for unauthorized disclosure.

No employee or agent of the Commonwealth shall divulge any information referred to in KRS 205.715 to 205.800 , except in the manner prescribed in KRS 205.715 to 205.800 to any public or private agency or individual; provided, however, that information may be disclosed and shared by and between any employee of the Cabinet for Health and Family Services and any designee, local administering agency, or any local housing authority for the purpose of verifying eligibility and detecting and preventing fraud, error, and abuse in the programs included in the reporting system. Unauthorized disclosure of any information shall be a violation that is punishable by a fine of one hundred dollars ($100) per offense; except that the unauthorized release of the information about any individual shall be a separate offense from information released about any other individual.

History. Enact. Acts 1998, ch. 255, § 45, effective July 15, 1998; 2005, ch. 99, § 272, effective June 20, 2005.

Opinions of Attorney General.

The language of KRS 205.796 and KRS 403.211(11) (now 403.211(12)) is clear on its face: they proscribe disclosure of any information received or transmitted in cases administered by the Cabinet, notwithstanding the fact that some of that information is accessible through court records, unless the requester can demonstrate that he or she otherwise qualifies for access to the records under KRS 205.175 or another provision of KRS Chapter 205. The Cabinet is strictly prohibited by the language of these provisions from disclosing the information in an Open Records request. OAG 03-ORD-90.

205.7965. Release of data to government agencies.

Nothing in KRS 205.715 to 205.800 shall be construed to prevent the release by the Cabinet for Health and Family Services of wage and financial institution information data to the United States Social Security Administration or the agencies of other states who administer federally funded welfare and unemployment compensation programs.

History. Enact. Acts 1998, ch. 255, § 46, effective July 15, 1998; 2005, ch. 99, § 273, effective June 20, 2005.

205.798. Cabinet may coordinate with other agencies.

The cabinet may coordinate with other state agencies and cabinets to develop a system for the effective and efficient collection of child support payments.

History. Enact. Acts 1998, ch. 255, § 44, effective July 15, 1998.

205.800. Referral to local officials — Cooperative arrangements for administering.

Where establishment of paternity and enforcement and collection of child support is by law the responsibility of local officials, the cabinet shall refer cases to the appropriate official for such. The cabinet may enter into cooperative arrangements with appropriate courts and law enforcement officials to assist the cabinet in administering the program of child support recovery, including the entering into of financial arrangements with such courts and officials as provided for under the provisions of federal law and regulations and any other matters of common concern to such courts or officials and the cabinet.

History. Enact. Acts 1974, ch. 343, § 20; 1978, ch. 277, § 8, effective June 17, 1978.

205.802. Standardized forms for entry into state case registry.

All forms, child support orders, wage withholding orders, or orders amending an existing child support order, entered in any case in Circuit, District, or Family Court that require entry into the state case registry pursuant to KRS 205.712(4) shall be entered on forms adopted by the Administrative Office of the Courts in coordination with the Cabinet for Health and Family Services. If the provisions of a child support order are contained in an order that is narrative in nature, the adopted forms shall be used in addition to the narrative order.

HISTORY: Enact. Acts 2000, ch. 201, § 1, effective July 14, 2000; 2005, ch. 99, § 274, effective June 20, 2005; 2018 ch. 112, § 14, effective July 14, 2018.

Crisis Assistance

205.810. Money payment in crisis situation — Eligibility — Limitations — Reimbursement — Registration for employment — Prompt payment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 98, § 1, effective June 17, 1978) was repealed by Acts 1998, ch. 100, § 10, effective July 15, 1998.

205.830. Legislative intent.

It is the intent of KRS 205.835 to assist the cabinet in ascertaining eligibility of applicants for or recipients of benefits under programs administered by the cabinet and to prevent abuse of such programs by imposing a public duty upon all banks, savings and loan associations, credit unions, and other financial institutions to cooperate with the cabinet and to disclose financial data pertinent to such applicants or recipients or members of their respective households.

History. Enact. Acts 1986, ch. 286, § 1, effective July 15, 1986.

205.835. Disclosure of financial data pertinent to applicants for or recipients of benefits — Fee — Written consent.

  1. Notwithstanding any existing state statute or regulation to the contrary, all banks, savings and loan associations, credit unions, and other financial institutions shall, upon request of the secretary, inform such representative, no later than fifteen (15) days after such request, of the type of account, the amount thereof, the activity of such account and other relevant data pertinent to an applicant for or recipient of benefits under programs administered by the cabinet and members of such households. Information disclosed by the cabinet to any bank, savings and loan association, credit union, or other financial institution pursuant to this section shall be deemed to be privileged and shall not be disclosed by any such institution to any other party except as may be authorized by law.
  2. Banks, savings and loan associations, credit unions, and other financial institutions may charge the cabinet for services rendered pursuant to subsection (1) of this section in accordance with a reasonable fee schedule prescribed by the commissioner of banking and securities, not to exceed actual cost.
  3. Written consent to disclosure of financial data as provided in subsection (1) of this section shall be given by applicants for benefits under a program administered by the cabinet at the time of application and by recipients of benefits when eligibility is reconsidered or redetermined.

History. Enact. Acts 1986, ch. 286, § 2, effective July 15, 1986.

205.845. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 1, effective February 10, 1979; 1982, ch. 325, § 3, effective July 15, 1982) was repealed by Acts 1994, ch. 96, § 21 and ch. 316, § 21, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was repealed in both 1994 Ky. Acts chs. 96 and 316.

Control of Fraud and Abuse

205.8451. Definitions for KRS 205.8451 to 205.8483.

As used in KRS 205.8451 to 205.8483 , unless the context otherwise requires:

  1. “Benefit” means the receipt of money, goods, or anything of pecuniary value from the Medical Assistance Program.
  2. “Fraud” means an intentional deception or misrepresentation made by a recipient or a provider with the knowledge that the deception could result in some unauthorized benefit to the recipient or provider or to some other person. It includes any act that constitutes fraud under applicable federal or state law.
  3. “Immediate family member” means a parent, grandparent, spouse, child, stepchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, sibling, brother-in-law, sister-in-law, or grandchild.
  4. “Intentional” or “intentionally” means, with respect to a result or to conduct described by a statute defining an offense, that a person’s conscious objective is to cause that result or to engage in that conduct.
  5. “Knowingly” means, with respect to conduct or to a circumstance described by a statute defining an offense, that a person is aware that his conduct is of that nature or that the circumstance exists.
  6. “Medical Assistance Program” means the program of medical assistance as administered by the Cabinet for Health and Family Services in compliance with Title XIX of the Federal Social Security Act and any administrative regulations related thereto.
  7. “Provider” means an individual, company, corporation, association, facility, or institution which is providing or has been approved to provide medical services, goods, or assistance to recipients under the Medical Assistance Program.
  8. “Provider abuse” means, with reference to a health care provider, practices that are inconsistent with sound fiscal, business, or medical practices, and that result in unnecessary cost to the Medical Assistance Program established pursuant to this chapter, or that result in reimbursement for services that are not medically necessary or that fail to meet professionally recognized standards for health care. It also includes practices that result in unnecessary cost to the Medical Assistance Program.
  9. “Recipient” means any person receiving or who has received medical assistance benefits.
  10. “Recipient abuse” means, with reference to a medical assistance recipient, practices that result in unnecessary cost to the Medical Assistance Program or the obtaining of goods, equipment, medicines, or services that are not medically necessary, or that are excessive, or constitute flagrant overuse or misuse of Medical Assistance Program benefits for which the recipient is covered.
  11. “Wantonly” means, with respect to a result or to a circumstance described by a statute defining an offense, that a person is aware of and consciously disregards a substantial and unjustifiable risk that the result will occur or that the circumstance exists. The risk must be of such nature and degree that disregard thereof constitutes a gross deviation from the standard of conduct that a reasonable person would observe in the situation. A person who creates such a risk but is unaware thereof solely by reason of voluntary intoxication also acts wantonly with respect thereto.

History. Enact. Acts 1994, ch. 96, § 1, effective July 15, 1994; 1994, ch. 316, § 1, effective July 15, 1994; 1998, ch. 426, § 222, effective July 15, 1998; 2005, ch. 99, § 275, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the federal Social Security Act, referred to in subsection (6), is compiled as 42 USCS § 1396 et seq.

NOTES TO DECISIONS

1.Intent.

Defendant was improperly convicted of unlawful taking of property valued at $10,000 or more and devising or engaging in a scheme to defraud the Kentucky Medical Assistance Program because the Commonwealth failed to carry its burden of proof showing intent on the part of defendant to defraud Medicaid; n evidence demonstrated that defendant intentionally instructed or even knew that his billing service was submitting wrong billing statements to Medicaid. Akande v. Commonwealth, 565 S.W.3d 167, 2018 Ky. App. LEXIS 291 (Ky. Ct. App. 2018).

Cited in:

Follett v. Gateway Reg’l Health Sys., 229 S.W.3d 925, 2007 Ky. App. LEXIS 227 (Ky. Ct. App. 2007).

205.8453. Responsibility for control of fraud and abuse.

It shall be the responsibility of the Cabinet for Health and Family Services and the Department for Medicaid Services to control recipient and provider fraud and abuse by:

  1. Informing recipients and providers as to the proper utilization of medical services and methods of cost containment;
  2. Establishing appropriate checks and audits within the Medicaid Management Information System to detect possible instances of fraud and abuse;
  3. Sharing information and reports with other departments within the Cabinet for Health and Family Services, the Office of the Attorney General, and any other agencies that are responsible for recipient or provider utilization review; and
  4. Instituting other measures necessary or useful in controlling fraud and abuse.

History. Enact. Acts 1994, ch. 96, § 2, effective July 15, 1994; 1994, ch. 316, § 2, effective July 15, 1994; 1998, ch. 426, § 223, effective July 15, 1998; 2005, ch. 99, § 276, effective June 20, 2005.

NOTES TO DECISIONS

Cited in:

Follett v. Gateway Reg’l Health Sys., 229 S.W.3d 925, 2007 Ky. App. LEXIS 227 (Ky. Ct. App. 2007).

205.8455. Recipient Utilization Review Committee — Authority.

  1. To implement provisions of this section, the commissioner of the Department for Medicaid Services shall create, no later than July 30, 1994, a Recipient Utilization Review Committee with the authority to:
    1. Review individual recipient utilization or program benefits, recipient medical records, and other additional information or data necessary to make a decision;
    2. Determine if a recipient has utilized the program or services in a fraudulent or abusive manner;
    3. Refer cases of suspected recipient fraud to the Office of the Inspector General in the Cabinet for Health and Family Services;
    4. Institute administrative actions to restrict or revoke the recipient’s participation in the Medical Assistance Program; and
    5. Initiate actions to recover the value of benefits received by the recipient which were determined to be related to fraudulent or abusive activities.
  2. The Recipient Utilization Review Committee shall be composed of five (5) members as follows: one (1) licensed physician, one (1) representative from the same program benefit area that is the subject of the review, one (1) recipient or representative of medical assistance benefits, one (1) representative of the Surveillance and Utilization Review Subsystems Unit, as required under Title XIX of the Social Security Act, and the commissioner of the Department for Public Health, who shall serve by virtue of his or her office.
  3. A medical assistance recipient whose eligibility has been revoked due to defrauding the Medical Assistance Program shall not be eligible for future medical assistance services for a period of not more than one (1) year or until full restitution has been made to the Department for Medicaid Services, whichever comes first.
  4. When a medical assistance recipient whose eligibility has been revoked due to defrauding of the Medical Assistance Program reapplies for coverage, during the period of revocation, due to pregnancy, a communicable disease, or other condition that creates a risk to public health, or a condition which if not treated could result in immediate grave bodily harm, the recipient utilization review committee for the Department for Medicaid Services may change the revoked status of the previously eligible recipient to restricted status if it has been determined that it would be in the best interest of the previously eligible medical assistance recipient to receive coverage for medical assistance services and the person is otherwise eligible. If this change in status is granted, the case shall be reconsidered by the Recipient Utilization Review Committee within sixty (60) days after the restricted status takes effect.
  5. Upon determination by the Recipient Utilization Review Committee of the Department for Medicaid Services that a medical assistance recipient has abused the benefits of the Medical Assistance Program, the recipient shall immediately be assigned and restricted to a managed care primary physician designated by the Department for Medicaid Services. Except in the case of an emergency as defined by the recipient utilization review committee and set forth by the Cabinet for Health and Family Services in an administrative regulation promulgated pursuant to KRS Chapter 13A, the restricted recipient shall be eligible to receive covered services only upon presenting to a participating provider, prior to the receipt of services, a dated written referral by the assigned managed care primary physician. Any participating provider who provides services to a medical assistance recipient in violation of the provisions of this subsection shall not be eligible for reimbursement for any services rendered.
  6. The Cabinet for Health and Family Services shall request any waivers of federal law that are necessary to implement the provisions of this section.
  7. The provisions of paragraphs (d) and (e) of subsection (1) of this section and of subsections (3), (4), and (5) of this section shall have no force or effect until and unless the requested waivers are granted.
  8. Nothing in this section shall authorize the Cabinet for Health and Family Services to waive the recipient’s or provider’s rights to prior notice and hearing as guaranteed by federal law.
  9. All complaints received by the Department for Medicaid Services, the Office of the Inspector General, the Office of the Attorney General, or by personnel of the Cabinet for Health and Family Services concerning possible fraud or abuse by a medical assistance recipient shall be forwarded immediately to the Recipient Utilization Review Committee for its consideration. Any cases of possible recipient fraud or abuse uncovered by personnel of the Cabinet for Health and Family Services or by providers shall also be referred immediately to the Recipient Utilization Review Committee for its review. Records shall be kept of all cases, including records of disposition, considered by the Recipient Utilization Review Committee.

History. Enact. Acts 1994, ch. 96, § 3, effective July 15, 1994; 1994, ch. 316, § 3, effective July 15, 1994; 1998, ch. 426, § 224, effective July 15, 1998; 2005, ch. 99, § 277, effective June 20, 2005.

Compiler’s Notes.

Title XIX of the Social Security Act, referred to in subsection (2), is compiled as 42 USCS § 1396 et seq.

205.8457. Responsibility of managed care primary physician.

Any provider agreeing to participate as a managed care primary physician of the state’s Medical Assistance Program shall be responsible for prior approval of all medical-related services and goods, except transportation, of recipients assigned to the primary physician’s care as set forth under administrative regulation promulgated by the Cabinet for Health and Family Services pursuant to KRS Chapter 13A. No primary physician may delegate that primary physician’s authority to anyone except a provider designated by the managed care primary physician to temporarily be responsible for the primary physician’s managed care patients during the primary physician’s absence. The temporarily designated provider shall be approved by the Department for Medicaid Services. Procedures for delegation of authority to a temporarily designated provider shall be approved by the Department for Medicaid Services in accordance with any applicable federal laws or regulations.

History. Enact. Acts 1994, ch. 96, § 4, effective July 15, 1994; 1994, ch. 316, § 3, effective July 15, 1994; 1998, ch. 426, § 225, effective July 15, 1998; 2005, ch. 99, § 278, effective June 20, 2005.

205.8459. Emergency service.

  1. Any provider presented with a request for an emergency service, for a nonlife-threatening condition or a condition that would not result in irreparable harm, by a Medicaid recipient participating in a managed care program but not in a restricted Medicaid status, shall not provide the service on an emergency basis unless the provider first makes a reasonable effort to contact the recipient’s designated managed care primary physician for prior approval. Any provider presented with a request for an emergency service, due to a life-threatening condition or a condition that would result in irreparable harm, by a Medicaid recipient participating in a managed care program but not in a restricted Medicaid status, may provide the service without prior approval from the recipient’s designated managed care primary physician.
  2. For the purposes of implementing KRS 205.8455 , 205.8457 , and this section, the Department for Medicaid Services, in consultation with the Recipient Utilization Review Committee, shall in conformity with the federal Emergency Medical Treatment and Active Labor Act (42 U.S.C. sec. 1395 dd, as amended) and any other applicable federal law, and in administrative regulation promulgated pursuant to KRS Chapter 13A, define an emergency service, irreparable harm, immediate grave bodily harm, life-threatening condition, and nonlife-threatening condition.

History. Enact. Acts 1994, ch. 96, § 5, effective July 15, 1994; 1994, ch. 316, § 5, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was enacted by identical sections in two bills (1994 Ky. Acts chs. 96 & 316) which have been codified together.

205.8461. Unlawful referral practices of provider — Penalties.

  1. Except as otherwise provided in KRS 205.510 to 205.630 , no provider shall knowingly solicit, receive, or offer any remuneration (including any kickback, bribe, or rebate) for furnishing medical assistance benefits or in return for purchasing, leasing, ordering, or arranging for or recommending purchasing, leasing, or ordering any goods, facility, service, or item for which payment may be made pursuant to Title XIX of the Social Security Act.
    1. No provider shall knowingly make, offer, or receive a payment, a rebate of a fee, or a charge for referring a recipient to another provider for furnishing of benefits. (2) (a) No provider shall knowingly make, offer, or receive a payment, a rebate of a fee, or a charge for referring a recipient to another provider for furnishing of benefits.
    2. Any conduct or activity which does not violate or which is protected under the provisions of 42 U.S.C. sec. 1395 nn or 42 U.S.C. sec. 1320 A-7b(b), as amended, or federal regulations promulgated under those statutes, shall not be deemed to violate the provisions of KRS 205.8451 to 205.8483 , and the conduct or activity shall be accorded the same protections allowed under federal law and regulation.
  2. Any person who violates subsection (1) or (2) of this section shall be guilty of a Class A misdemeanor unless the combination or aggregation of offenses is valued at three hundred dollars ($300) or more, in which case it shall be a Class D felony. In addition to any other penalty authorized by law, any person who violates the provisions of subsection (2)(a) of this section shall not be entitled to bill or collect from the recipient or any third-party payor and shall repay any payments due the Commonwealth for services provided which were related to the referral.

History. Enact. Acts 1994, ch. 96, § 6, effective July 15, 1994; 1994, ch. 316, § 6, effective July 15, 1994.

Compiler’s Notes.

Title XIX of the Social Security Act, referred to in subsection (1), is compiled as 42 USCS § 1396 et seq.

Legislative Research Commission Notes.

(7/15/94). This statute was enacted by identical sections in two bills (1994 Ky. Acts chs. 96 & 316) which have been codified together.

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for felony, KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

205.8463. Fraudulent acts — Penalties.

  1. No person shall knowingly or wantonly devise a scheme or plan a scheme or artifice, or enter into an agreement, combination, or conspiracy to obtain or aid another in obtaining payments from any medical assistance program under this chapter by means of any fictitious, false, or fraudulent application, claim, report, or document submitted to the Cabinet for Health and Family Services, or intentionally engage in conduct which advances the scheme or artifice.
  2. No person shall intentionally, knowingly, or wantonly make, present, or cause to be made or presented to an employee or officer of the Cabinet for Health and Family Services any false, fictitious, or fraudulent statement, representation, or entry in any application, claim, report, or document used in determining rights to any benefit or payment.
  3. No person shall, with intent to defraud, knowingly make, or induce, or seek to induce the making of a false statement or false representation of a material fact with respect to the conditions or operations of an institution or facility in order that the institution or facility may qualify, upon initial certification or upon recertification, as a hospital, skilled-nursing facility, intermediate-care facility, home-health agency, or other provider of services to the Medical Assistance Program.
  4. No person shall, in any matter within the jurisdiction of the Cabinet for Health and Family Services under this chapter, knowingly falsify, conceal, or cover up by any trick, scheme, or device a material fact, or make any false, fictitious, or fraudulent statement or representation, or make or use any false writing or document knowing the same to contain any false, fictitious, or fraudulent statement or entry.
  5. Any person who violates subsections (1) and (2) of this section shall be guilty of a Class A misdemeanor unless the sum total of benefits or payments claimed in any application, claim, report, or document, or in any combination or aggregation thereof, is valued at three hundred dollars ($300) or more in which case it shall be a Class D felony. Any person who violates the provisions of subsection (3) of this section shall be guilty of a Class C felony. Any person who violates the provisions of subsection (4) of this section shall be guilty of a Class D felony.

History. Enact. Acts 1994, ch. 96, § 7, effective July 15, 1994; 1994, ch. 316, § 7, effective July 15, 1994; 1998, ch. 426, § 226, effective July 15, 1998; 2005, ch. 99, § 279, effective June 20, 2005.

NOTES TO DECISIONS

1.Liability.

One drug company could not be found liable under the Kentucky Medicaid Fraud Statute, KRS 205.8463(4), the Kentucky False Advertising Statute, KRS 517.030 , and the Kentucky Consumer Protection Act, KRS 367.170, and the second drug company could not be found liable under the Kentucky Medicaid Fraud Statute and the Kentucky Consumer Protection Act, all for allegedly misreporting the “average wholesale prices” of their prescription drugs. The jury acted unreasonably in finding them liable to the Commonwealth because the Commonwealth absolutely failed to show that any conduct by them was a “substantial factor” in damaging the Commonwealth given that the Commonwealth had long known that “average wholesale prices” were reported as inflated figures rather than the cost of real transactions. Sandoz Inc. v. Commonwealth ex rel. Conway, 405 S.W.3d 506, 2012 Ky. App. LEXIS 205 (Ky. Ct. App. 2012).

Indictment charging defendant with devising or engaging in a scheme to defraud the Kentucky Medical Assistance Program was properly dismissed because the Commonwealth had only charged defendant with obtaining payment for services that were not rendered, and those charges were very different from the failure to obtain pre-approval for dispensing a covered medication, which the Commonwealth stated was a significant component of its charges against defendant, and the defect in the indictment prejudiced the substantial rights of defendant; because the jury was impaneled and sworn, the circuit court properly dismissed the indictment with prejudice because defendant’s retrial was barred by the Double Jeopardy Clause. Commonwealth v. Grider, 390 S.W.3d 803, 2012 Ky. App. LEXIS 321 (Ky. Ct. App. 2012).

2.Intent.

Defendant was improperly convicted of unlawful taking of property valued at $10,000 or more and devising or engaging in a scheme to defraud the Kentucky Medical Assistance Program because the Commonwealth failed to carry its burden of proof showing intent on the part of defendant to defraud Medicaid; n evidence demonstrated that defendant intentionally instructed or even knew that his billing service was submitting wrong billing statements to Medicaid. Akande v. Commonwealth, 565 S.W.3d 167, 2018 Ky. App. LEXIS 291 (Ky. Ct. App. 2018).

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for felony, KRS 532.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

205.8463. Fraudulent acts — Penalties.

  1. No person shall knowingly or wantonly devise a scheme or plan a scheme or artifice, or enter into an agreement, combination, or conspiracy to obtain or aid another in obtaining payments from any medical assistance program under this chapter by means of any fictitious, false, or fraudulent application, claim, report, or document submitted to the Cabinet for Health and Family Services, or intentionally engage in conduct which advances the scheme or artifice.
  2. No person shall intentionally, knowingly, or wantonly make, present, or cause to be made or presented to an employee or officer of the Cabinet for Health and Family Services any false, fictitious, or fraudulent statement, representation, or entry in any application, claim, report, or document used in determining rights to any benefit or payment.
  3. No person shall, with intent to defraud, knowingly make, or induce, or seek to induce the making of a false statement or false representation of a material fact with respect to the conditions or operations of an institution or facility in order that the institution or facility may qualify, upon initial certification or upon recertification, as a hospital, skilled-nursing facility, intermediate-care facility, home-health agency, or other provider of services to the Medical Assistance Program.
  4. No person shall, in any matter within the jurisdiction of the Cabinet for Health and Family Services under this chapter, knowingly falsify, conceal, or cover up by any trick, scheme, or device a material fact, or make any false, fictitious, or fraudulent statement or representation, or make or use any false writing or document knowing the same to contain any false, fictitious, or fraudulent statement or entry.
    1. Any person who violates subsections (1) and (2) of this section shall be guilty of a Class B misdemeanor unless: (5) (a) Any person who violates subsections (1) and (2) of this section shall be guilty of a Class B misdemeanor unless:
      1. The sum total of benefits or payments claimed in any application, claim, report, or document, or in any combination or aggregation thereof, is valued at five hundred dollars ($500) or more but less than one thousand dollars ($1,000), in which case it is a Class A misdemeanor;
      2. The sum total of benefits or payments claimed in any application, claim, report, or document, or in any combination or aggregation thereof, is valued at or above one thousand dollars ($1,000), in which case it is a Class D felony; or
      3. The person has three (3) or more convictions under subparagraph 1. of this paragraph within the last five (5) years, in which case it is a Class D felony. The five (5) year period shall be measured from the dates on which the offenses occurred for which the judgments of conviction were entered.
    2. If any person commits two (2) or more separate violations of subsections (1) and (2) of this section within ninety (90) days, the offenses may be combined and treated as a single offense, and the value of the property in each offense may be aggregated for the purpose of determining the appropriate charge.
  5. Any person who violates the provisions of subsection (3) of this section shall be guilty of a Class C felony.
  6. Any person who violates the provisions of subsection (4) of this section shall be guilty of a Class D felony.

HISTORY: Enact. Acts 1994, ch. 96, § 7, effective July 15, 1994; 1994, ch. 316, § 7, effective July 15, 1994; 1998, ch. 426, § 226, effective July 15, 1998; 2005, ch. 99, § 279, effective June 20, 2005; 2021 ch. 66, § 2.

205.8465. Mandatory reporting of violations — Confidentiality — Prohibition against employer discrimination or retaliation.

  1. Any person who knows or has reasonable cause to believe that a violation of this chapter has been or is being committed by any person, corporation, or entity, shall report or cause to be reported to the state Medicaid Fraud Control Unit, or the Medicaid Fraud and Abuse hotline, the following information, if known:
    1. The name and address of the offender;
    2. The offender’s place of employment;
    3. The nature and extent of the violation;
    4. The identity of the complainant; and
    5. Any other information that the receiving person reasonably believes might be helpful in investigation of the alleged fraud, abuse, or misappropriation.

      The state Medicaid Fraud Control Unit shall periodically publicize the provisions of this subsection.

  2. The identity of any person making a report under this section shall be considered confidential by the receiving party. Any person making a report under this section regarding the offenses of another shall not be liable in any civil or criminal action based on the report if it was made in good faith.
  3. No employer shall, without just cause, discharge or in any manner discriminate or retaliate against any person who in good faith makes a report required or permitted by KRS 205.8451 to 205.8483 , testifies, or is about to testify, in any proceeding with regard to any report or investigation. Any individual injured by any act in violation of the provisions of this subsection shall have a civil cause of action in Circuit Court to enjoin further violations, and to recover the actual damages sustained, together with the costs of the lawsuit, including a reasonable fee for the individual’s attorney of record.
  4. No employee of the state Medicaid Fraud Control Unit, the Office of the Attorney General, the Office of the Inspector General, or the Cabinet for Health and Family Services shall notify the alleged offender of the identity of the person who in good faith makes a report required or permitted by KRS 205.8451 to 205.8483 nor shall the employee notify the alleged offender that a report has been made alleging a violation of KRS 205.8451 to 205.8483 until such time as civil or criminal proceedings have been initiated or a formal investigation has been initiated. Any information or report concerning an alleged offender shall be considered confidential in accordance with the Kentucky Open Records Law, KRS 61.870 to 61.884 .

History. Enact. Acts 1994, ch. 96, § 8, effective July 15, 1994; 1994, ch. 316, § 8, effective July 15, 1994; 1998, ch. 426, § 227, effective July 15, 1998; 2005, ch. 99, § 280, effective June 20, 2005.

NOTES TO DECISIONS

1.Wrongful Discharge Claim.

Summary judgment for a health system employer in an employee’s wrongful discharge claim was error because based upon all of the evidence, a jury reasonably could have inferred that the employee’s involvement in reporting billing irregularities, in violation of KRS 205.8465 , and her involvement in reporting the inebriated treating physician issue to the investigator, in compliance with KRS 311.990(6), were substantial and motivating factors but for which the employee would not have been discharged. Follett v. Gateway Reg'l Health Sys., 229 S.W.3d 925, 2007 Ky. App. LEXIS 227 (Ky. Ct. App. 2007).

2.Report to Authority.

Termination of an EMT did not violate the Kentucky Whistleblower Act, KRS 61.102 , or KRS 205.8465 , as the EMT admitted in his deposition that his reports of alleged Medicare and Medicaid fraud were limited to oral complaints the director of the county emergency medical services organization and other hospital personnel; because the EMT admittedly made no timely report of the alleged fraud or abuse to a statutorily-designated authority, he did not fall within the whistleblower exception to the terminable at-will doctrine. Miracle v. Bell County Emergency Med. Servs., 237 S.W.3d 555, 2007 Ky. App. LEXIS 235 (Ky. Ct. App. 2007).

205.8467. Liability of violators — Payment of penalties to Medicaid trust fund.

  1. Any provider who has been found by a preponderance of the evidence in an administrative process, in conformity with any applicable federal regulations and with due process protections, to have knowingly submitted or caused claims to be submitted for payment for furnishing treatment, services, or goods under a medical assistance program provided under this chapter, which payment the provider was not entitled to receive by reason of a violation of this chapter, shall:
    1. Be liable for restitution of any payments received in violation of this chapter, and interest at the maximum legal rate pursuant to KRS 360.010 in effect on the date any payment was made, for the period from the date payment was made to the date of repayment to the Commonwealth;
    2. Be liable for a civil payment in an amount up to three (3) times the amount of excess payments;
    3. Be liable for payment of a civil payment of five hundred dollars ($500) for each false or fraudulent claim submitted for providing treatment, services, or goods;
    4. Be liable for payment of legal fees and costs of investigation and enforcement of civil payments; and
    5. Be removed as a participating provider in the Medical Assistance Program for two (2) months to six (6) months for a first offense, for six (6) months to one (1) year for a second offense, and for one (1) year to five (5) years for a third offense.
  2. Civil payments, interest, costs of investigation, and enforcement of the civil remedies recovered on behalf of the Commonwealth under this section shall be remitted to the State Treasurer for deposit in a Medicaid trust fund which is hereby created and shall not lapse. Funds deposited in the Medicaid trust fund shall not be spent until appropriated by the General Assembly for medical assistance services.
  3. The remedies under this section are separate from and cumulative to any other administrative, civil, or criminal remedies available under federal or state law or regulation.
  4. The Cabinet for Health and Family Services, in consultation with the Office of the Attorney General, may promulgate administrative regulations, pursuant to KRS Chapter 13A, for the administration of the civil payments contained in this section.

History. Enact. Acts 1994, ch. 96, § 9, effective July 15, 1994; 1994, ch. 316, § 9, effective July 15, 1994; 1998, ch. 426, § 228, effective July 15, 1998; 2005, ch. 99, § 281, effective June 20, 2005.

NOTES TO DECISIONS

Cited in:

Hearn v. Commonwealth, 80 S.W.3d 432, 2002 Ky. LEXIS 135 ( Ky. 2002 ).

205.8469. Enforcement proceedings by Attorney General.

  1. The Attorney General, on behalf of the Commonwealth, may commence proceedings to enforce KRS 205.8451 to 205.8483 , and to prosecute for all other criminal offenses that involve or are directly related to the use of any Medical Assistance Program funds or services provided under this chapter.
  2. In enforcing KRS 205.8451 to 205.8483 , the Attorney General may subpoena witnesses or documents to the grand jury, District Court, or Circuit Court of the county or counties where venue lies, and subpoena witnesses or documents to the Office of the Attorney General to secure testimony for use in civil or criminal trials, investigations, or hearings affecting the Cabinet for Health and Family Services.

History. Enact. Acts 1994, ch. 96, § 10, effective July 15, 1994; 1994, ch. 316, § 10, effective July 15, 1994; 1998, ch. 426, § 229, effective July 15, 1998; 2005, ch. 99, § 282, effective June 20, 2005.

205.8471. Lien on property of provider or recipient defrauding Medicaid program.

  1. The Commonwealth shall have a lien against all property of any provider or recipient who is found to have defrauded the Medicaid program for an amount equal to the sum defrauded plus any interest and penalties levied under KRS 205.8451 to 205.8483 . The lien shall attach to all property and rights to property owned by the provider or recipient and all property subsequently acquired after a finding of fraud by the Cabinet for Health and Family Services.
  2. The lien imposed by subsection (1) of this section shall not be defeated by gift, devise, sale, alienation, or any other means, and shall include the sum defrauded and all interest, penalties, fees, or other expenses associated with collection of the debt. The lien shall have priority over any other lien or obligation against the property, except as provided in subsection (3) of this section.
  3. The lien imposed by subsection (1) of this section shall not be valid as against any purchaser, judgment lien creditor, or holder of a security interest or mechanic’s lien which was filed prior to the date on which notice of the lien created by this section is filed by the secretary for health and family services or his designee with the county clerk of the county or counties in which the provider’s business or residence is located, or in any county in which the taxpayer has an interest in property. The notice of lien shall be recorded in the same manner as the notice of lis pendens.
  4. The secretary for health and family services shall issue a partial release of any part of the property subject to lien upon payment by the debtor of that portion of the debt and any interest, penalty, or fees covered by the lien on that property.
  5. The secretary for health and family services may enforce the lien created pursuant to this section in the manner provided for the enforcement of statutory liens under KRS 376.110 to 376.130 .

History. Enact. Acts 1994, ch. 96, § 11, effective July 15, 1994; 1994, ch. 316, § 11, effective July 15, 1994; 1998, ch. 426, § 230, effective July 15, 1998; 2005, ch. 99, § 283, effective June 20, 2005.

205.8473. Reliance on written governmental advice as defense.

In a prosecution for any violation of the provisions of KRS 205.8451 to 205.8483 , it shall be a defense if the person relied on the written advice of an employee or agent of the Cabinet for Health and Family Services, and the advice constitutes a defense under any of the provisions of KRS 501.070 .

History. Enact. Acts 1994, ch. 96, § 12, effective July 15, 1994; 1994, ch. 316, § 12, effective July 15, 1994; 1998, ch. 426, § 231, effective July 15, 1998; 2005, ch. 99, § 284, effective June 20, 2005.

205.8475. Forfeiture of provider’s license.

  1. Any professional, licensed or regulated by any agency of the Commonwealth of Kentucky, who upon final and unappealable decision by a court of competent jurisdiction, is convicted or pleads guilty to a violation of any of the criminal provisions of KRS 205.8451 to 205.8483 , shall, in addition to any other penalty provided by law, forfeit the license to practice his or her profession for a mandatory minimum period of five (5) years. The license to practice a profession shall be reinstated only after compliance with all conditions for reinstatement contained in administrative regulations of the applicable licensure or regulatory board or agency promulgated pursuant to the provisions of KRS Chapter 13A. For purposes of this subsection, an individual or entity is considered to have been “convicted” of an offense when:
    1. A judgment of conviction has been entered against the individual or entity by a federal or state court;
    2. There has been a finding of guilt against the individual or entity by any court of competent jurisdiction;
    3. A plea of guilty by the individual or entity has been accepted by any court of competent jurisdiction; or
    4. The individual or entity has entered into participation in a court imposed first offender, deferred adjudication, diversion, or other arrangement or program where judgment of conviction has been withheld.
  2. Pending the final and unappealable decision of a court of competent jurisdiction, as provided under subsection (1) of this section, the provider shall not be eligible to participate in the Kentucky Medical Assistance Program.
  3. No provider, owner, officer, or stockholder possessing more than forty percent (40%) of the shares of a provider shall receive payments for medical services or receive profits or remuneration from any other medical assistance provider with which the provider, owner, officer, or stockholder may thereafter become associated until all criminal penalties or civil payments assessed against the provider, owner, officer, or stockholder under KRS 205.8451 to 205.8483 have been satisfied.

History. Enact. Acts 1994, ch. 96, § 13, effective July 15, 1994; 1994, ch. 316, § 13, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was enacted by identical sections in two bills (1994 Ky. Acts chs. 96 & 316) which have been codified together.

205.8477. Disclosure requirements for Medicaid providers, fiscal agents, and managed care entities — Disclosure requirements for owners and investors of health facilities and health services — When disclosure must be provided.

  1. Each Medicaid provider, other than an individual practitioner or group of practitioners, fiscal agent that processes or pays vendor claims on behalf of the Medicaid agency, and managed care entity shall file a disclosure with the Cabinet for Health and Family Services in accordance with 42 C.F.R. sec. 455.104 .
  2. Each owner of or direct financial investor in any health facility or health service which dispenses or supplies drugs, medicines, medical devices, or durable medical equipment to a patient shall file a disclosure with the Cabinet for Health and Family Services of the names and addresses of any immediate family member who is authorized under state law to prescribe drugs or medicines or medical devices or equipment.
  3. Each provider shall, as a condition of participation in the Medical Assistance Program, file a disclosure with the Cabinet for Health and Family Services in accordance with 42 C.F.R. sec. 455.105 relating to business transactions and in accordance with 42 C.F.R. sec. 455.106 relating to information on persons convicted of crimes.
  4. Disclosures required under this statute shall be provided at any of the following times or as otherwise provided by law:
    1. Upon submitting a provider application;
    2. Upon executing a provider agreement;
    3. Upon request of the Cabinet for Health and Family Services during a provider’s revalidation of enrollment;
    4. Within thirty-five (35) days after any change in ownership of a health facility or health service, fiscal agent, or managed care entity;
    5. Upon the submission of a proposal in accordance with the state’s procurement process by a fiscal agent or by a managed care entity;
    6. Upon execution, renewal, or extension of a contract by the state with a fiscal agent or a managed care entity; or
    7. Upon written request within thirty-five (35) days by the Cabinet for Health and Family Services.

HISTORY: Enact. Acts 1994, ch. 96, § 14, effective July 15, 1994; 1994, ch. 316, § 14, effective July 15, 1994; 1998, ch. 426, § 232, effective July 15, 1998; 2005, ch. 99, § 285, effective June 20, 2005; 2015 ch. 80, § 1, effective June 24, 2015.

205.8479. Report of license or certificate suspension, revocation, or limitation.

Any provider licensed or certified under the laws of the Commonwealth whose license or certificate to practice is suspended, revoked, limited, or otherwise restricted shall have that fact reported to the medical assistance program by the respective licensure or regulatory board or agency within five (5) working days of the action.

History. Enact. Acts 1994, ch. 96, § 15, effective July 15, 1994; 1994, ch. 316, § 15, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was enacted by identical sections in two bills (1994 Ky. Acts chs. 96 & 316) which have been codified together.

205.8481. Prohibition against representation of provider by staff of Attorney General in private practice.

No staff of the Office of the Attorney General shall, in private practice of law, serve as legal counsel to or represent any provider, as defined in KRS 205.8451 . Designated staff of the Office of the Attorney General shall work in cooperation with the Cabinet for Health and Family Services in any initiation of disciplinary proceedings against a health-care provider as defined in KRS 205.8451 and as may be authorized or required under KRS 205.8451 to 205.8483 for violations of KRS 205.8451 to 205.8483 .

History. Enact. Acts 1994, ch. 96, § 16, effective July 15, 1994; 1994, ch. 316, § 16, effective July 15, 1994; 1998, ch. 426, § 233, effective July 15, 1998; 2005, ch. 99, § 286, effective June 20, 2005.

205.8483. Toll-free hotline for receiving reports of fraud and abuse — Report.

  1. The Office of the Inspector General in the Cabinet for Health and Family Services shall establish, maintain, and publicize a twenty-four (24) hour toll-free hotline for the purpose of receiving reports of alleged fraud and abuse by Medical Assistance Program recipients and participating providers.
  2. The Office of the Inspector General in the Cabinet for Health and Family Services shall develop and implement procedures for screening alleged fraud and abuse of the Medical Assistance Program to ensure that appropriate written referrals are made to:
    1. The state Medicaid Fraud Control Unit and to the Office of the Attorney General of credible allegations of fraud and abuse by providers participating in the Medical Assistance Program; and
    2. Other agencies and licensure boards of all allegations received on the hotline that are relevant to their jurisdiction.
  3. The Office of the Inspector General in the Cabinet for Health and Family Services shall provide, upon request, a Medicaid fraud and abuse report that shall include but not be limited to the following information from the prior fiscal year:
    1. The number and type of reports received in the Office of the Inspector General in the Cabinet for Health and Family Services, from the Medicaid fraud and abuse hotline categorized by recipient and provider groups;and
    2. The number and type of alleged Medicaid recipient fraud and abuse reports which were opened for investigation by the Office of Inspector General and their disposition.

History. Enact. Acts 1994, ch. 96, § 17, effective July 15, 1994; 1994, ch. 316, § 17, effective July 15, 1994; 1998, ch. 426, § 234, effective July 15, 1998; 2005, ch. 99, § 287, effective June 20, 2005; 2017 ch. 80, § 37, effective June 29, 2017.

205.850. Prohibited activities — Exception — Commencement of proceedings for enforcement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 4, effective February 10, 1979; 1982, ch. 248, § 6, effective July 15, 1982; 1982, ch. 325, § 4, effective July 15, 1982) was repealed by Acts 1994, ch. 96, § 21 and ch. 316, § 21, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was repealed in both 1994 Ky. Acts chs. 96 and 316.

205.855. Defense in prosecution. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1979 (Ex. Sess.), ch. 2, § 12, effective February 10, 1979) was repealed by Acts 1994, ch. 96, § 21 and ch. 316, § 21, effective July 15, 1994.

Legislative Research Commission Notes.

(7/15/94). This statute was repealed by in both 1994 Ky. Acts chs. 96 and 316.

Personal Care Assistance

205.900. Definitions for KRS 205.905 to 205.920.

As used in KRS 205.905 to 205.920 :

  1. “Cabinet” means the Cabinet for Health and Family Services.
  2. “Evaluation team” means at least three (3) individuals employed as such by a qualified agency or organization.
  3. “Personal care assistance services” means services which are required by an adult with a severe physical disability to achieve greater physical independence and which include, but are not limited to:
    1. Routine bodily functions, such as bowel or bladder care;
    2. Dressing;
    3. Housecleaning and laundry;
    4. Preparation and consumption of food;
    5. Moving in and out of bed;
    6. Routine bathing;
    7. Ambulation; and
    8. Any other similar activity of daily living.
  4. “Qualified agency or organization” means an agency or organization whose purpose is to provide services to severely physically disabled adults to enable them to live as independently as possible and a majority of whose governing board are consumers of these services. If no qualified agency or organization exists, an agency or organization may become a qualified provider when consumers of personal care assistance services are a majority of its advisory council.
  5. “Secretary” means the secretary of the Cabinet for Health and Family Services.
  6. “Severely physically disabled adult” means a person eighteen (18) years of age or older with permanent or temporary, recurring functional loss of two (2) or more limbs.

History. Enact. Acts 1984, ch. 168, § 1, effective July 13, 1984; 1994, ch. 229, § 1, effective July 15, 1994; 1994, ch. 405, § 61, effective July 15, 1994; 1994, ch. 416, § 15, effective July 15, 1994; 1996, ch. 336, § 7, effective July 15, 1996; 1998, ch. 426, § 235, effective July 15, 1998; 2000, ch. 6, § 25, effective July 14, 2000; 2005, ch. 99, § 288, effective June 20, 2005.

Legislative Research Commission Notes.

(7/15/94). This section was amended by 1994 Ky. Acts chs. 229, 405, and 416. Where these Acts are not in conflict, they have been codified together. These three Acts conflict as to subsection (4) of this section, and Acts ch. 416, which was the last of the three Acts enacted by the General Assembly, prevails under KRS 446.250 .

205.905. Subsidy for personal care assistance.

  1. The cabinet shall provide a subsidy for personal care assistance services to any adult who:
    1. Has a severe physical disability;
    2. Needs not less than fourteen (14) hours a week of personal care assistance services as defined by the secretary or needs an attendant at night, which services are necessary to prevent or remove the adult from inappropriate placement in an institutional setting; and
    3. Qualifies under KRS 205.910 .
  2. The adult shall be responsible for:
    1. Recruiting, hiring, firing and supervising the persons who provide personal care assistance services; and
    2. Obtaining an evaluation of his eligibility for personal care services from a qualified agency or organization which employs evaluation teams to:
      1. Determine the eligibility of the adult for personal care assistance services;
      2. Reevaluate the adult at least biennially to determine the adult’s continuing need for services; and
      3. Report its findings and recommendations to the cabinet.
  3. The cabinet shall follow the recommendations of the evaluation team or shall give notice to the adult within twenty (20) days of receipt of the recommendations of its reasons for not acting on the team’s recommendations.
  4. The cabinet may maintain a list of qualified agencies and organizations.

History. Enact. Acts 1984, ch. 168, § 2, effective July 13, 1984.

205.910. Eligibility standard — Subsidy not income for federal law purposes — Supplements other programs.

  1. The cabinet shall establish by regulation an eligibility standard which takes into consideration the unique economic and social needs of severely physically disabled adults.
  2. The subsidy shall not be considered income for any purpose to the extent permitted by federal law and regulation.
  3. This program may supplement any other programs for which the adult is eligible.

History. Enact. Acts 1984, ch. 168, § 3, effective July 13, 1984.

205.915. Appeal of decision by aggrieved party.

  1. Within thirty (30) days of any recommendation of any decision by the cabinet, an aggrieved party may appeal. The secretary shall appoint one (1) or more trained hearing officers to hear and decide the appeal.
  2. Any party who is dissatisfied with the decision of the hearing officer may appeal to the appeal board. The board may on its own motion affirm, modify or set aside any decision of a hearing officer on the basis of evidence previously submitted or may direct the taking of additional evidence or may permit any party to initiate further appeals before it. The board shall notify promptly the parties of its findings and decisions.
  3. The manner in which appeals are presented and hearings and appeals conducted shall be in accordance with regulations prescribed by the secretary for determining the rights of parties, such hearings to be conducted in a summary manner. A complete record shall be kept of all proceedings in connection with any appeal. All testimony at any hearing upon an appeal shall be recorded either stenographically or mechanically. No hearing officer or member of the board shall participate in any hearing in which he is an interested party.

History. Enact. Acts 1984, ch. 168, § 4, effective July 13, 1984.

205.920. Regulations.

The secretary may promulgate regulations to implement KRS 205.905 to 205.915 .

History. Enact. Acts 1984, ch. 168, § 5, effective July 13, 1984.

205.925. Implementation of KRS 205.900 to 205.920 by cabinet.

The cabinet shall implement the provisions of KRS 205.900 to 205.920 on a statewide basis and shall serve at least two hundred (200) severely physically disabled adults or more as provided in the state executive branch budget bill.

History. Enact. Acts 1986, ch. 236, § 1, effective July 15, 1986; 2000, ch. 458, § 1, effective July 14, 2000.

Representative Payee Services

205.935. Definitions for KRS 205.940.

As used in KRS 205.940 :

  1. “Cabinet” means the Cabinet for Health and Family Services;
  2. “Representative payee” means a person appointed by the Social Security Administration, United States Department of Veterans Affairs, or other nonprofit social service agency to provide financial management services to persons receiving Social Security Administration, Department of Veterans Affairs, or other government benefits, who are incapable of making or executing responsible financial decisions.

HISTORY: Enact. Acts 1990, ch. 270, § 1, effective July 13, 1990; 1998, ch. 426, § 236, effective July 15, 1998; 2005, ch. 99, § 289, effective June 20, 2005; 2017 ch. 42, § 12, effective June 29, 2017.

205.940. Representative payee fund.

  1. A representative payee fund shall be created for the purpose of providing grants to public or private organizations who provide representative payee services. The fund shall consist of moneys appropriated by the General Assembly. These moneys may also be supplemented by funds obtained from other sources for the fund as provided in this section.
  2. The fund shall be administered by the Cabinet for Health and Family Services.
  3. Application for moneys from the fund may be made to the cabinet, on forms prescribed by administrative regulation. The awarding of grants shall be based upon the availability of funds. Grants shall be given to nonprofit organizations or agencies providing representative payee services to more than ten (10) persons who are mentally impaired, homeless or at risk of being homeless, or substance abusers in area development districts created pursuant to KRS 147A.050 . The cabinet shall endeavor to fund an applicant where an eligible applicant exists. Health-care facilities or other institutions, who serve as representative payees for persons residing therein, shall not be eligible to receive funds under this section.
  4. In determining the amount of each grant, the cabinet shall consider the number of persons receiving representative payee services from an applicant, the amount necessary to reimburse the applicant for all or a portion of the administrative costs incurred in providing representative payee services, and any fee charged by an applicant for the provision of representative payee services.
  5. The cabinet shall require applicants receiving funds pursuant to this section to be bonded, and to file an annual report with the cabinet providing an accounting of all funds expended on behalf of persons for whom representative payee services are provided. The cabinet shall promulgate administrative regulations providing for the termination of a grant if it determines a representative payee is not serving in the best interests of a client. If a grant is terminated, the cabinet shall report the termination to the agency who appointed the representative payee and recommend the appointment of a new representative payee. If financial exploitation is indicated, the termination shall also be reported to the Department for Community Based Services for investigation pursuant to KRS Chapter 209.
  6. The cabinet may provide training for persons serving as representative payees and may provide technical assistance to applicants awarded a grant.
  7. The cabinet may apply for any grants that may be used to supplement the representative payee fund, and may accept gifts or donations to the fund.

History. Enact. Acts 1990, ch. 270, § 2, effective July 13, 1990; 1998, ch. 426, § 237, effective July 15, 1998; 2000, ch. 14, § 38, effective July 14, 2000; 2005, ch. 99, § 290, effective June 20, 2005.

205.950. Certification of adult day care centers. [Repealed]

History. Enact. Acts 1992, ch. 422, § 2, effective July 14, 1992; 1996, ch. 318, § 98, effective July 15, 1996; 2000, ch. 6, § 26, effective July 14, 2000; 2005, ch. 99, § 291, effective June 20, 2005; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

205.955. Unannounced inspection of adult day care centers. [Repealed]

History. Enact. Acts 1992, ch. 422, § 3, effective July 14, 1992; repealed by 2020 ch. 36, § 44, effective July 15, 2020.

Penalties

205.990. Penalties.

  1. Any person who violates any of the provisions of KRS 205.170 or subsections (1) to (3) of KRS 205.175 shall be guilty of a Class A misdemeanor.
  2. Any person who violates subsection (4) of KRS 205.175 shall be guilty of a Class D felony.
  3. Any person who willfully violates any of the provisions of KRS 205.310 , or any rule or regulation thereunder, shall be guilty of a Class B misdemeanor. Each failure or violation shall constitute a separate offense.
  4. Any bank, savings and loan association, credit union, or other financial institution which fails to comply with the provisions of subsection (1) of KRS 205.835 or which submits fraudulent information to the cabinet shall be guilty of a Class A misdemeanor.
  5. Any bank, savings and loan association, credit union, investment company, savings institution, trust company, insurance or annuity company, pension or profit-sharing trust company, or other financial institution failing to comply with provisions of KRS 405.430(11) shall be subject to a penalty of five hundred dollars ($500) for each failure to comply.
  6. Any person or financial institution that fails to comply with the provisions of KRS 205.772 or any administrative regulation promulgated under KRS 205.772 , within ninety (90) days after notification by the cabinet shall, unless the failure is due to reasonable cause as defined in KRS 131.010 , be fined not less than one thousand dollars ($1,000) and no more than five thousand dollars ($5,000) for each full month of noncompliance. The fine shall begin on the first day of the month beginning after the expiration of the ninety (90) days.

History. 938i-7: amend. Acts 1950, ch. 110, §§ 11, 12; 1952, ch. 33, § 13; 1979 (Ex. Sess.), ch. 2, § 6, effective February 10, 1979; 1980, ch. 188, § 197, effective July 15, 1980; 1982, ch. 325, § 5, effective July 15, 1982; 1986, ch. 286, § 5, effective July 15, 1986; 1988, ch. 411, § 32, effective July 15, 1988; 1992, ch. 463, § 21, effective July 14, 1992; 1994, ch. 96, § 19, effective July 15, 1994; 1994, ch. 316, § 19, effective July 15, 1994; 1998, ch. 255, § 12, effective July 15, 1998; 2007, ch. 68, § 3, effective June 26, 2007.

NOTES TO DECISIONS

1.Gravamen of Offense.

Under this chapter, unlike KRS 514.040 , it is not necessary that the property be actually obtained before prosecution can be had, for the gravamen of the offense is the making of the fraudulent statement or representation for the purpose of obtaining benefits, and one who knowingly makes such fraudulent statements is guilty if he never obtains anything; thus the penalties are therefore for a different crime and the statutes are not conflicting. Commonwealth v. McKinney, 594 S.W.2d 884, 1979 Ky. App. LEXIS 511 (Ky. Ct. App. 1979).

2.Application for Welfare.

There is no indication of intent on the part of the legislature that this section would be the sole statute under which false statements in applying for welfare might be punished. Commonwealth v. McKinney, 594 S.W.2d 884, 1979 Ky. App. LEXIS 511 (Ky. Ct. App. 1979).

3.Aggregation of Fraudulent Claims.

Where defendant allegedly submitted approximately 1600 fraudulent Medicaid claims over a 15-month period, it was not error for the grand jury to return against defendant, 15 separate felony counts alleging violation of KRS 205.850(4) (now repealed), where each count represented the aggregation of monthly claims filed for services fraudulently certified. Commonwealth v. Bass, 777 S.W.2d 916, 1989 Ky. LEXIS 88 ( Ky. 1989 ).

Research References and Practice Aids

Cross-References.

Sentence of imprisonment for felony, KRS 523.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Kentucky Law Journal.

Kentucky Law Survey, Malone and Malone, Criminal Law, 69 Ky. L.J. 545 (1980-81).

205.991. Penalties for medical assistance offenses. [Repealed.]

Compiler’s Notes.

This section (Acts 1960, ch. 68, Art. VII, § 14; 1972, ch. 256, § 19) was repealed by Acts 1979 (Ex. Sess.), ch. 2, § 10, effective February 10, 1979.

205.992. Penalties for child support recovery offenses.

Any person violating the provisions of KRS 205.785 shall be fined not more than five hundred dollars ($500) or be imprisoned in the county jail for not more than one (1) year, or both.

History. Enact. Acts 1974, ch. 343, § 21.

Research References and Practice Aids

Kentucky Law Journal.

Notes, Effective Child Support Enforcement in Kentucky: The Tax Refund Intercept Program, 74 Ky. L.J. 667 (1985-86).

CHAPTER 206 Confederate Pensions

206.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (Acts 1942, ch. 208, § 1; Acts 1974, ch. 74, art. II, § 9(1)) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.020. Confederate pensions — Persons entitled to. [Repealed.]

Compiler’s Notes.

This section ((415b-6(2): amend. Acts 1952, ch. 31, § 1; 1974, ch. 74, Art. II, § 9(1); 1974, ch. 386, § 44) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.030. Persons ineligible for pension. [Repealed.]

Compiler’s Notes.

This section (415b-9: amend. Acts 1958, ch. 43; 1974, ch. 386, § 45) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.040. Application for pension — Procedure. [Repealed.]

Compiler’s Notes.

This section (415b-11: amend. Acts 1978, ch. 384, § 343, effective June 17, 1978) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.050. Cabinet to furnish application blanks. [Repealed.]

Compiler’s Notes.

This section (514b-20: amend. Acts 1974, ch. 386, § 46) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.060. Military record of applicant to be examined. [Repealed.]

Compiler’s Notes.

This section (415b-14) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.070. Cabinet not bound by findings of county judge/executive. [Repealed.]

Compiler’s Notes.

This section (415b-12) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.080. Officers not to charge fee for collecting pensions — Attorney’s fee. [Repealed.]

Compiler’s Notes.

This section (415b-16, 415b-21) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.090. Funeral expenses — Distribution of pension upon death of pensioner. [Repealed.]

Compiler’s Notes.

This section (415b-7) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.100. Payment of pension. [Repealed.]

Compiler’s Notes.

This section (415b-15) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.110. Claim for pension not to arise until granted. [Repealed.]

Compiler’s Notes.

This section (415b-8) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.120. Pensioner to furnish annual certificate. [Repealed.]

Compiler’s Notes.

This section (415b-18) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.130. Cabinet may make investigation. [Repealed.]

Compiler’s Notes.

This section (415b-19) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.140. Return of pensioner to state — Restoration of pension. [Repealed.]

Compiler’s Notes.

This section (415b-15a) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.150. Cabinet to make annual reports. [Repealed.]

Compiler’s Notes.

This section (415b-22) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.160. Pension may be stopped — Hearing. [Repealed.]

Compiler’s Notes.

This section (415b-23: amend. Acts 1974, ch. 74, Art. II, § 9(2); 1974, ch. 315, § 27; 1980, ch. 114, § 38, effective July 15, 1980) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.170. Pensions exempt from execution. [Repealed.]

Compiler’s Notes.

This section (415b-17) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

206.180. Kentucky confederate home. [Repealed.]

Compiler’s Notes.

This section (415a-4) was repealed by Acts 1974, ch. 308, § 64.

206.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (415b-16) was repealed by Acts 2012, ch. 47, § 1, effective July 12, 2012.

CHAPTER 207 Aid to the Needy Blind — Equal Opportunities

207.010. Definitions. [Repealed.]

Compiler’s Notes.

This section (181a-1) was repealed by Acts 1950, ch. 110, § 12.

County Aid

207.020. Fiscal courts may appropriate money for relief of the blind. [Repealed.]

Compiler’s Notes.

This section (1893a-10) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 , 67.083 , and 67.084 .

207.030. Payment of relief by counties. [Repealed.]

Compiler’s Notes.

This section (1893a-11) was repealed by Acts 1978, ch. 118, § 19. For present law see KRS 67.080 , 67.083 , and 67.084 .

207.040. Qualifications for county relief — Application — Procedure. [Repealed.]

Compiler’s Notes.

This section (1893a-12) was repealed by Acts 1978, ch. 118, § 19.

207.050. Persons not entitled to relief. [Repealed.]

Compiler’s Notes.

This section (1893a-13) was repealed by Acts 1978, ch. 118, § 19.

207.060. Eligibility for state aid. [Repealed.]

Compiler’s Notes.

This section (181a-2: amend. Acts 1946, ch. 98, § 4) was repealed by Acts 1950, ch. 110, § 12.

207.070. Amount of state aid. [Repealed.]

Compiler’s Notes.

This section (181a-3) was repealed by Acts 1950, ch. 110, § 12.

207.080. Duties of department. [Repealed.]

Compiler’s Notes.

This section (181a-4) was repealed by Acts 1950, ch. 110, § 12.

207.085. Social Security appropriations not to lapse at end of first fiscal year of biennium. [Renumbered.]

Compiler’s Notes.

This section (Enact. Acts 1948, ch. 236, § 3) was renumbered as KRS 45.235 and was subsequently repealed.

Legislative Research Commission Notes.

1948 Ky. Acts ch. 236 created three new sections of the statutes, reading exactly the same, to be numbered KRS 200.045 , 205.045 , and 207.085 . These three sections were consolidated into one, and codified as KRS 45.235 , effective 1948.

207.090. Records to be confidential — Rules governing. [Repealed.]

Compiler’s Notes.

This section (181a-5) was repealed by Acts 1944, ch. 172, § 13.

207.100. Right of appeal. [Repealed.]

Compiler’s Notes.

This section (181a-6) was repealed by Acts 1944, ch. 172, § 13.

207.110. Aid inalienable and exempt from execution. [Repealed.]

Compiler’s Notes.

This section (181a-7) was repealed by Acts 1944, ch. 172, § 13.

207.120. Advisory commission for coordination of services for the blind. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1946, ch. 34) was repealed by Acts 1950, ch. 110, § 12.

Equal Opportunities Act

207.130. Definitions for KRS 207.140 to 207.240.

As used in KRS 207.140 to 207.240 unless the context otherwise requires:

  1. “Persons” means one (1) or more individuals, partnerships, municipalities, the state, or other political subdivisions within the state, associations, labor organizations, or corporations.
  2. “Physical disability” means the physical condition of a person whether congenital or acquired, which constitutes a substantial disability to that person and is demonstrable by medically accepted clinical or laboratory diagnostic techniques.
  3. “Employer” means a person or governmental unit or officer in this state having in his or its employ eight (8) or more individuals; and any person acting in the interest of an employer, directly or indirectly.
  4. “Labor organization” means a labor organization and an agent of such an organization, and includes an organization of any kind, an agency or employee representation committee, group, association, or plan so engaged in which employees participate and which exists for the purpose, in whole or in part, of dealing with employers concerning grievances, labor disputes, wages, rates of pay, hours, or other terms or conditions of employment, and a conference, general committee, joint system or board, or joint council so engaged which is subordinate to a national or international labor organization.
  5. “Unfair employment practice” means an act that is prohibited under KRS 207.150 , 207.160 or 207.170 .
  6. “Commissioner” means the commissioner of the Department of Workplace Standards, under the direction and supervision of the secretary of the Labor Cabinet.
  7. “Department” means the Department of Workplace Standards in the Labor Cabinet.

History. Enact. Acts 1976, ch. 280, § 2; 1984, ch. 414, § 4, effective July 13, 1984; 1992, ch. 282, § 44, effective July 14, 1992; 1994, ch. 405, § 62, effective July 15, 1994; 2010, ch. 24, § 304, effective July 15, 2010.

NOTES TO DECISIONS

1.Employment at Will.

KRS Chapter 207 cannot form the basis for claiming an exception to the employment-at-will doctrine. Day v. Alcan Aluminum Corp., 675 F. Supp. 1508, 1987 U.S. Dist. LEXIS 12276 (W.D. Ky. 1987 ).

2.Physical Handicap.

Plaintiff’s physical problems with regard to coordination, vision and varicose veins did not render him physically handicapped for purposes of this section and KRS 207.150 , and while the court recognized that a person may be mentally impaired to such a degree as to render him physically handicapped, plaintiff’s mental condition did not constitute a substantial disability within the meaning of this section. Whitlow v. Kentucky Mfg. Co., 762 S.W.2d 808, 1988 Ky. App. LEXIS 114 (Ky. Ct. App. 1988).

Research References and Practice Aids

Kentucky Law Journal.

Comment, Protecting Persons with AIDS from Employment Discrimination, 77 Ky. L.J. 403 (1988-89).

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

Treatises

2 Unjust Dismissal § 10.18 (2020).

207.135. Protections available to persons with HIV — Employment discrimination prohibited.

  1. Any person with acquired immunodeficiency syndrome, acquired immunodeficiency syndrome related complex, or human immunodeficiency virus shall have every protection made available to individuals with disabilities under KRS 207.130 to 207.240 and Section 504, Public Law No. 93-112, the Rehabilitation Act of 1973.
    1. No person may require an individual to take a human immunodeficiency virus related test as a condition of hiring, promotion, or continued employment, unless the absence of human immunodeficiency virus infection is a bona fide occupational qualification for the job in question. (2) (a) No person may require an individual to take a human immunodeficiency virus related test as a condition of hiring, promotion, or continued employment, unless the absence of human immunodeficiency virus infection is a bona fide occupational qualification for the job in question.
    2. A person who asserts that a bona fide occupational qualification exists for human immunodeficiency virus-related testing shall have the burden of proving that:
      1. The human immunodeficiency virus-related test is necessary to ascertain whether an employee is currently able to perform in a reasonable manner the duties of the particular job or whether an employee will present a significant risk of transmitting human immunodeficiency virus infection to other persons in the course of normal work activities; and
      2. There exists no means of reasonable accommodation short of requiring the test.
    1. A person shall not discriminate against an otherwise qualified individual in housing, public accommodations, or governmental services on the basis of the fact that such individual is, or is regarded as being, infected with human immunodeficiency virus. (3) (a) A person shall not discriminate against an otherwise qualified individual in housing, public accommodations, or governmental services on the basis of the fact that such individual is, or is regarded as being, infected with human immunodeficiency virus.
    2. A person or other entity receiving or benefiting from state financial assistance shall not discriminate against an otherwise qualified individual on the basis of the fact that such individual is, or is regarded as being, infected with human immunodeficiency virus.
    3. A person who asserts that an individual who is infected with human immunodeficiency virus is not otherwise qualified shall have the burden of proving that no reasonable accommodation can be made to prevent the liklihood that the individual will, under the circumstances involved, expose other individuals to a significant possibility of being infected with human immunodeficiency virus.
    4. No person shall fail or refuse to hire or discharge any individual, segregate or classify any individual in any way which would deprive or tend to deprive that individual of employment opportunities or adversely affect his or her status as an employee, or otherwise discriminate against any individual with respect to compensation, terms, conditions, or privileges of employment on the basis of the fact that the individual is a licensed health care professional who treats or provides patient care to persons infected with human immunodeficiency virus.

History. Enact. Acts 1990, ch. 443, § 49, effective July 13, 1990; 1994, ch. 405, § 63, effective July 15, 1994.

Compiler’s Notes.

Section 504 of P.L. 93-112, The Rehabilitation Act of 1973, referred to in subsection (1), is compiled as 29 USCS § 794.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

Treatises

Larson, Employment Screening, Ch. 11, § 11.18 (Matthew Bender).

207.140. Preemployment inquiry — Basis for rejection of applicant for employment or housing.

  1. Nothing contained in KRS 207.130 to 207.240 shall be construed to prevent an employer from making any preemployment inquiry about the existence of an applicant’s disability and about the extent to which that disability has been overcome by treatment, medication, appliances, or other rehabilitation.
  2. Nothing contained in KRS 207.130 to 207.240 shall be construed to prohibit the rejection of an applicant for employment or housing on the basis of:
    1. A physical disability which interferes with a person’s ability to adequately perform assigned job duties;
    2. Any disability which is not demonstrable by medically accepted clinical or laboratory diagnostic techniques, including, but not limited to, alcoholism, drug addiction, and obesity; or
    3. Any communicable disease, either carried by, or afflicting the applicant.

History. Enact. Acts 1976, ch. 280, § 3; 1994, ch. 405, § 64, effective July 15, 1994.

Research References and Practice Aids

Kentucky Bench & Bar.

Hudson, Drug Testing In The Workplace — An Evolving Kentucky Employment Issue, Vol. 56, No. 4, Fall 1992, Ky. Bench & Bar 14.

Kentucky Law Journal.

Comment, Protecting Persons with AIDS from Employment Discrimination, 77 Ky. L.J. 403 (1988-89).

207.150. Prohibited employment practices — Exceptions.

  1. No employer shall fail or refuse to hire, discharge, or discriminate against any individual with a disability with respect to wages, rates of pay, hours, or other terms and conditions of employment because of the person’s physical disability unless the disability restricts that individual’s ability to engage in the particular job or occupation for which he or she is eligible, or unless otherwise provided by law or, on the basis of the results of a human immunodeficiency virus-related test, unless the absence of human immunodeficiency virus infection is a bona fide occupational qualification of the job in question; nor shall any employer limit, segregate, or classify individuals with disabilities in any way which would deprive or tend to deprive any individual with a disability of employment opportunities or otherwise affect employee status because of physical disability, or on the basis of the results of a human immunodeficiency virus-related test, unless the disability or absence of human immunodeficiency virus infection, constitutes a bona fide and necessary reason for the limitation, segregation or classification. This subsection shall not be construed to require any employer to modify his physical facilities or grounds in any way, or exercise a higher degree of caution for an individual with a disability than for any person who is not an individual with a disability.
  2. No employment agency, placement service, training school or center, or labor organization shall fail or refuse to refer for employment or otherwise discriminate against individuals because of physical disability.

History. Enact. Acts 1976, ch. 280, § 4; 1990, ch. 443, § 52, effective July 13, 1990; 1994, ch. 405, § 65, effective July 15, 1994.

NOTES TO DECISIONS

1.Physical Handicap.

Plaintiff’s physical problems with regard to coordination, vision and varicose veins did not render him physically handicapped for purposes of KRS 207.130 and this section, and while the court recognized that a person may be mentally impaired to such a degree as to render him physically handicapped, plaintiff’s mental condition did not constitute a substantial disability within the meaning of KRS 207.130 . Whitlow v. Kentucky Mfg. Co., 762 S.W.2d 808, 1988 Ky. App. LEXIS 114 (Ky. Ct. App. 1988).

2.Illegal Firing.

Where employee, after operation, was unable to return to his job as a delivery man but as his short term disability benefits were about to expire informed employer that he wanted to return to work; where employer created a position for him by borrowing duties from other jobs and where employer, after doctor recommended that employee be permanently placed in a less strenuous job than delivery man, terminated employee, question of whether he was fired from his job or occupation under subsection (1) of this section or merely terminated from a temporary make work position was for a jury to decide. Williams v. Kraft Foodservice, 838 F. Supp. 1201, 1993 U.S. Dist. LEXIS 17744 (W.D. Ky. 1993 ).

The defendant employer was not entitled to a directed verdict in an action by an apartment manager who claimed that she was terminated from her job because of a disability, where the apartment manager presented evidence of her detailed job description and asserted that she was terminated after she was injured and could no longer perform extra duties outside of her job description, but that she could still perform all duties listed in her job description. Hardaway Mgmt. Co. v. Southerland, 977 S.W.2d 910, 1998 Ky. LEXIS 137 ( Ky. 1998 ).

3.Construction.

The Kentucky Equal Opportunities Act is not modeled on the Federal Rehabilitative Act, but more nearly resembles Title VII of the Civil Rights Act of 1964, 42 USCS § 2000e-2000e-17. Southerland v. Hardaway Mgmt. Co., 41 F.3d 250, 1994 FED App. 0395P, 1994 U.S. App. LEXIS 33425 (6th Cir. Ky. 1994 ).

4.Disability.

Terminated employee was disabled because her morbid obesity had an underlying physiological cause, the impairment affected one or more of her body systems since she had developed diabetes, and it substantially limited one or more major life activities. A former employer was unable to rebut the prima facie case of discrimination with a legitimate nondiscriminatory reason where no specific reason was given for the termination other than the employee’s appearance. Pennington v. Wagner's Pharm., Inc., 2013 Ky. App. LEXIS 104 (Ky. Ct. App., sub. op., 2013 Ky. App. Unpub. LEXIS 1004 (Ky. Ct. App. July 12, 2013).

Cited in:

Day v. Alcan Aluminum Corp., 675 F. Supp. 1508, 1987 U.S. Dist. LEXIS 12276 (W.D. Ky. 1987 ).

Opinions of Attorney General.

This section does not provide that no new place of employment be constructed unless with barrier-free design for the handicapped employee. OAG 77-273 .

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

207.160. Prohibited discriminatory acts by labor organization.

No labor organization shall exclude or expel from its membership, or otherwise discriminate against individuals because of physical disability or on the basis of a human immunodeficiency virus related test; nor shall a labor organization limit, segregate, or classify its membership, nor classify or fail or refuse to refer for employment any individual with a disability, in any way which would deprive or tend to deprive any individual with a disability of employment opportunities, or otherwise affect employee status or employment applicant status or as would adversely affect such person’s wages, hours or conditions of employment, because of physical disability or on the basis of a human immunodeficiency virus related test.

History. Enact. Acts 1976, ch. 280, § 5; 1990, ch. 443, § 53, effective July 13, 1990; 1994, ch. 405, § 66, effective July 15, 1994.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

207.170. Prohibited discriminatory acts by employer or others.

  1. No employer shall discharge, expel, refuse to hire, or otherwise discriminate against any person or applicant for employment, nor shall any employment agency discriminate against any person, nor shall a labor organization discriminate against any member or applicant for membership because such person has opposed any practice made an unfair employment practice by KRS 207.130 to 207.240 or because he has filed a charge, testified, assisted, or participated in any manner in an investigation, citizen’s action suit, proceeding, or hearing under KRS 207.130 to 207.240 .
  2. No employer, labor organization, or joint labor-management committee controlling apprenticeship programs or other training or retraining, including on-the-job training programs, shall discriminate against any individual because of physical disability in admission to, or employment in, any program established to provide apprenticeship or other training, except as otherwise provided by law.

History. Enact. Acts 1976, ch. 280, § 6; 1994, ch. 405, § 67, effective July 15, 1994.

Research References and Practice Aids

Treatises

2 Unjust Dismissal § 10.18 (2020).

207.180. Prohibited discriminatory acts related to housing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 280, § 7) was repealed by Acts 1992, ch. 282, § 45. For present law see KRS 344.600 et seq.

207.190. Prohibited discriminatory acts related to loans. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 280, § 7) was repealed by Acts 1992, ch. 282, § 45. For present law see KRS 344.600 et seq.

207.200. Enforcement by Department of Workplace Standards.

  1. The Kentucky Department of Workplace Standards is authorized to enforce the employment provisions of KRS 207.130 to 207.240 in conjunction with the State Attorney General’s office and the state and local courts.
  2. Any individual with a disability requesting the intervention of the Kentucky Department of Workplace Standards under this section shall, within one hundred and eighty (180) days of the alleged incident, submit with his request a signed, sworn statement specifying and describing the disability or disabilities which affect him. This statement may be used by the commissioner of workplace standards or his representative to determine if the individual does, or does not, have a “physical disability” as defined in KRS 207.130(2). If the commissioner of workplace standards or his representative determines that the aggrieved individual does have a disability which falls under the definition in KRS 207.130(2), the Department of Workplace Standards shall provide a copy of the aggrieved individual’s signed statement to the employer for his inspection.
  3. In the event the employer wishes to challenge the validity of the statement, he shall so notify the commissioner of workplace standards, who shall in turn notify the aggrieved individual. If the aggrieved individual wishes the Department of Workplace Standards to continue its involvement with the case, he shall be required to submit to the commissioner of workplace standards, within thirty (30) days of such notice, a signed, sworn statement from a licensed physician of his choice, or from one of the state or federal agencies serving individuals with disabilities:
    1. Specifying and describing the disability or disabilities affecting the individual; and
    2. Indicating any specific type of employment for which such disability should be considered a bona fide or necessary reason for limitation or exclusion.
    1. The state agencies which may be consulted under subsection (3) of this section may include, but are not limited to, the following: (4) (a) The state agencies which may be consulted under subsection (3) of this section may include, but are not limited to, the following:
      1. Department of Education, Office of Vocational Rehabilitation Services;
      2. Cabinet for Health and Family Services, Department for Public Health;
      3. Cabinet for Health and Family Services, Department for Income Support.
    2. The commissioner of workplace standards, in conjunction with the agencies designated in this subsection, is authorized to adopt appropriate regulations governing the issuance and setting the standards of determinations of ability or disability;
    3. The agencies designated in this subsection, and any other state agency which serves individuals with disabilities and which the commissioner of workplace standards deems proper, shall cooperate to the fullest with the Department of Workplace Standards in issuing a statement of disability and limitations as specified in subsection (3) of this section within twenty (20) days of the date the individual with a disability presents himself before such agency for examination.
    1. For the purposes of KRS 207.130 to 207.240 , the commissioner of workplace standards, or his authorized representative, shall have the power to enter the place of employment of any employer, labor organization, or employment agency to inspect and copy employment records, to compare character of work and operations on which persons employed by him are engaged, to question such persons, and to obtain such other information as is reasonably necessary to make a preliminary determination that the aggrieved individual is, or is not, fully capable of carrying out the duties of the job which he or she had been denied; (5) (a) For the purposes of KRS 207.130 to 207.240 , the commissioner of workplace standards, or his authorized representative, shall have the power to enter the place of employment of any employer, labor organization, or employment agency to inspect and copy employment records, to compare character of work and operations on which persons employed by him are engaged, to question such persons, and to obtain such other information as is reasonably necessary to make a preliminary determination that the aggrieved individual is, or is not, fully capable of carrying out the duties of the job which he or she had been denied;
    2. In the event that a preliminary determination is made that the aggrieved individual is not fully capable of carrying out the duties of the job which he or she had been denied, the aggrieved individual and the employer shall both be so advised;
    3. The aggrieved individual, within ten (10) days of receiving such notification, may file with the Department of Workplace Standards an application for reconsideration of the determination. Upon such application, the commissioner of workplace standards or his representative shall make a new determination within ten (10) days whether the aggrieved individual is, or is not, fully capable of carrying out the duties of the job which he or she had been denied. If the determination is again made that the aggrieved individual is not fully capable of carrying out these duties, the aggrieved individual and the employer shall both be so advised;
    4. In the event that a preliminary determination has been made that the aggrieved individual is fully capable of carrying out the duties of the job which he or she had been denied, the employer, labor organization, or employment agency shall be so advised and encouraged to make an immediate offer to the aggrieved individual of the position which he or she had been denied. In the event the position has already been filled, the employer, labor organization, or employment agency shall be encouraged to make an offer to the aggrieved individual of the next available position for which he or she is qualified.

History. Enact. Acts 1976, ch. 280, § 9; 1984, ch. 414, § 5, effective July 13, 1984; 1994, ch. 405, § 68, effective July 15, 1994; 1998, ch. 426, § 238, effective July 15, 1998; 2000, ch. 14, § 39, effective July 14, 2000; 2005, ch. 99, § 292, effective June 20, 2005; 2010, ch. 24, § 305, effective July 15, 2010; 2012, ch. 158, § 33, effective July 12, 2012.

NOTES TO DECISIONS

1.Application.

This section, which requires any handicapped individual requesting intervention of the Department of Labor (now Labor Cabinet) to submit a sworn statement concerning the incident and his request to the Department (now Cabinet) within 180 days of the incident, clearly applies only to requests for intervention by the Department of Labor (now Labor Cabinet). Day v. Alcan Aluminum Corp., 675 F. Supp. 1508, 1987 U.S. Dist. LEXIS 12276 (W.D. Ky. 1987 ).

Research References and Practice Aids

Cross-References.

Office of Workplace Standards, KRS 336.020 .

207.210. Administrative complaint procedure — Types of affirmative action.

  1. If the employer, labor organization, or employment agency continues to refuse employment to the aggrieved individual, the aggrieved individual may file a formal administrative complaint with the Department of Workplace Standards and, upon that filing, the commissioner of workplace standards or his representative shall conduct an administrative hearing in accordance with KRS Chapter 13B.
  2. If the Department of Workplace Standards determines that the employer, labor organization, or employment agency has not engaged in an unfair employment practice, it shall after the hearing issue a final order dismissing the complaint.
  3. If the Department of Workplace Standards determines that the employer, labor organization, or employment agency has engaged in an unfair employment practice, the department shall issue a final order requiring the employer, labor organization, or employment agency to cease and desist from the unlawful practice and to take affirmative action as in the judgment of the department will carry out the purposes KRS 207.130 to 207.240 .
  4. Affirmative action ordered under this section may include, but is not limited to:
    1. Hiring, reinstatement, or upgrading of employees with or without back pay. Interim earnings or amounts earnable with reasonable diligence by the aggrieved individual shall operate to reduce the back pay otherwise allowable;
    2. Admission or restoration of the aggrieved individual to union membership, admission to or participation in a guidance program, apprenticeship training program, on-the-job training program, or other occupational training or retraining program, and the utilization of objective criteria in the admission of individuals to these programs;
    3. The extension to all individuals of the full and equal enjoyment of the advantages, facilities, privileges, and services of the employer;
    4. Reporting as to the manner of compliance;
    5. Posting notices in conspicuous places in the employer’s place of business in form prescribed by the Department of Workplace Standards.

History. Enact. Acts 1976, ch. 280, § 10; 1984, ch. 414, § 6, effective July 13, 1984; 1996, ch. 318, § 99, effective July 15, 1996; 2010, ch. 24, § 306, effective July 15, 2010.

207.220. Cities and counties may adopt antidiscrimination measures.

Cities and counties may adopt and enforce, or authorize commissions or agencies to enforce ordinances, orders, and resolutions prohibiting unfair treatment of individuals on the basis of physical disability, and may prescribe penalties for violation thereof, such penalties being in addition to those herein authorized.

History. Enact. Acts 1976, ch. 280, § 11; 1994, ch. 405, § 69, effective July 15, 1994.

207.230. Citizen suits.

Notwithstanding the provisions of KRS 207.200 and 207.210 , citizen suits may be commenced under the following terms and conditions:

  1. Any person deeming himself injured by any act in violation of the provisions of this chapter shall have a civil cause of action in Circuit Court to enjoin further violations, and to recover the actual damages sustained by him, and upon judicial finding of any violation of KRS 207.150 to 207.190 , shall recover the costs of the law suit, including a reasonable fee for his attorney of record, all of which shall be in addition to any other remedies contained in KRS 207.130 to 207.240 .
  2. Notice. No action may be commenced:
    1. Prior to thirty (30) days after the plaintiff has given notice of the violation to the commissioner of workplace standards.
    2. If the commissioner of workplace standards has commenced and is diligently prosecuting a civil action to require compliance with KRS 207.130 to 207.240 ; however, the aforementioned conditions do not prohibit citizen-initiated civil enforcement action contemporaneously with criminal enforcement efforts by the state.
    3. In any civil action under this section, the commissioner of workplace standards, under the direction of the secretary of the Labor Cabinet, if not a party, may intervene only with consent of the person bringing the action. If the administrator is allowed to intervene, he may not alter the cause of action, delay the proceedings, or make any decisions, settlement agreements, or agree to any consent orders or enforcement proceeding without the informed consent of the person initiating the citizens enforcement action.

History. Enact. Acts 1976, ch. 280, § 12; 1984, ch. 414, § 7, effective July 13, 1984; 2010, ch. 24, § 307, effective July 15, 2010.

NOTES TO DECISIONS

1.Relationship to Other Laws.

KRS 207.260 was enacted to provide relief for persons discriminated against for AIDS-related reasons and not to repeal or otherwise affect the existing right of action created by this section. Hardaway Mgmt. Co. v. Southerland, 977 S.W.2d 910, 1998 Ky. LEXIS 137 ( Ky. 1998 ).

2.Notice.

There is nothing in subdivision (2) of this section requiring that notice be given to the commissioner of workplace standards prior to the commencement of a civil action; this section merely states that in the event that the plaintiff gives notice to the commissioner of workplace standards (i.e., has chosen to give notice preparatory to the filing), the plaintiff cannot then initiate a civil action until 30 days after giving notice to the commissioner. Day v. Alcan Aluminum Corp., 675 F. Supp. 1508, 1987 U.S. Dist. LEXIS 12276 (W.D. Ky. 1987 ).

The plaintiff was not precluded from bringing an action for wrongful termination in violation of KRS 207.150 on the basis that she did not first notify the commissioner of workplace standards of the alleged violation where she sought only personal damages and not injunctive relief. Hardaway Mgmt. Co. v. Southerland, 977 S.W.2d 910, 1998 Ky. LEXIS 137 ( Ky. 1998 ).

3.Statute of Limitations.

Subdivision (2) of KRS 413.120 states that an action upon a liability created by statute, when no other time is fixed by the statute creating the liability, shall be commenced within five years after the cause of action accrued, and as this section creates a liability, the five-year statute of limitations in KRS 413.120 is applicable thereto. Day v. Alcan Aluminum Corp., 675 F. Supp. 1508, 1987 U.S. Dist. LEXIS 12276 (W.D. Ky. 1987 ).

Research References and Practice Aids

Kentucky Bench & Bar.

Mapother, Attorneys’ Fees Recoverable in Kentucky Litigation, Vol. 44, No. 4, October 1980, Ky. Bench & Bar 28.

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

207.240. Title.

KRS 207.130 to 207.230 shall be known and may be cited as the “1976 Equal Opportunities Act.”

History. Enact. Acts 1976, ch. 280, § 1.

Research References and Practice Aids

Kentucky Law Journal.

Comment, Protecting Persons with AIDS from Employment Discrimination, 77 Ky. L.J. 403 (1988-89).

207.250. Disclosure of HIV information in real estate transaction prohibited.

  1. The fact that an occupant of real property is infected or has been infected with human immunodeficiency virus or diagnosed with acquired immunodeficiency syndrome is not a material fact that shall be disclosed in a real estate transaction.
  2. No cause of action shall arise against an owner of real property or his agent, or any agent of a transferee of real property for the failure to disclose to the transferee that an occupant of that property was infected with human immunodeficiency virus or diagnosed with acquired immunodeficiency syndrome.

History. Enact. Acts 1990, ch. 443, § 50, effective July 13, 1990.

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

207.260. Right of action — Recovery for each violation.

  1. Any person aggrieved by a violation of KRS 207.135 , 207.150 , 207.160 , or 304.12-013 shall have a right of action in District Court and may recover for each violation:
    1. Against any person who violates a provision of this section, liquidated damages of one thousand dollars ($1,000) or actual damages, whichever is greater.
    2. Against any person who intentionally or recklessly violates a provision of this section, liquidated damages of five thousand dollars ($5,000) or actual damages, whichever is greater.
    3. Reasonable attorney’s fees.
    4. Such other relief, including an injunction, as the court shall deem appropriate.
  2. Nothing in this section limits the right of the person aggrieved by a violation of this section to recover damages or other relief under any other applicable law.

History. Enact. Acts 1990, ch. 443, § 51, effective July 13, 1990.

NOTES TO DECISIONS

1.Relationship to Other Laws.

This section was enacted to provide relief for persons discriminated against for AIDS-related reasons and not to repeal or otherwise affect the existing right of action created by KRS 207.230 . Hardaway Mgmt. Co. v. Southerland, 977 S.W.2d 910, 1998 Ky. LEXIS 137 ( Ky. 1998 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Braden, Aids: Dealing With the Plague, 19 N. Ky. L. Rev. 277 (1992).

Jackson and Crase, A Survey of Kentucky Workers’ Compensation Law, 30 N. Ky. L. Rev. 31 (2003).

CHAPTER 208 Juvenile Proceedings — Commitment and Care of Children [Repealed]

208.010. Definitions for KRS 208.010 to 208.540 and 208.990. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 1; 1956, ch. 157, § 22; 1960, ch. 68, Art. IX, § 12; 1962, ch. 212, § 1; 1974, ch. 74, Art. VI, § 107 (1), (13), (30); 1976, ch. 168, § 1; 1976 (Ex. Sess.), ch. 14, § 192) was repealed by Acts 1986, ch. 423, § 198. For present law see, generally, the Unified Juvenile Code, KRS chs. 600 through 645.

208.020. Jurisdiction of juvenile court — Causing child to become delinquent, neglected, needy, dependent — Jury trial. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 2; 1956, ch. 157, § 23; 1958, ch. 104; 1962, ch. 212, § 2; 1974, ch. 386, § 47; 1974, ch. 406, § 307; 1976, ch. 18, § 1; 1976, ch. 168, § 2; 1976 (Ex. Sess.), ch. 14, § 193) was repealed by Acts 1986, ch. 423, § 198.

208.030. Juvenile record — Juvenile docket. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 3; 1976 (Ex. Sess.), ch. 14, § 194) was repealed by Acts 1986, ch. 423, § 198.

208.040. Clerk and stenographer for juvenile court — Compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 4) was repealed by Acts 1976 (Ex. Sess.), ch. 14, § 491.

208.050. Special courtroom for juvenile court. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 5) was repealed by Acts 1976 (Ex. Sess.), ch. 14, § 491.

208.060. Conduct of hearing. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 6; 1972, ch. 325, § 1; 1976, ch. 18, § 2; 1976, ch. 168, § 3; 1980, ch. 188, §§ 157, 199) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.065. Right to counsel in cases involving sentence resulting in detention. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1980, ch. 241, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.070. Preliminary inquiry. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 7; 1980, ch. 188, § 158) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.080. Issuance of summons and notice — Temporary custody of child. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 8; 1970, ch. 231, § 1; 1978, ch. 137, § 15) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.083. Mandatory examinations for children in temporary placement. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1978, ch. 66, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.090. Method of serving summons and notice. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 9) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.100. Enforcement of summons — Warrant. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 10) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.110. Law of arrest applicable to children. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 11; 1972, ch. 202, § 1; 1976, ch. 20, § 1; 1976, ch. 168, § 4) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.120. Child not to be detained in police station, lockup, jail or prison — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 12; 1980, ch. 188, § 159) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.130. Detention facilities — Agreements for use of state reception-diagnostic centers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 13; 1956, ch. 157, § 24; 1968, ch. 74, § 1; 1976, ch. 168, § 5; 1978, ch. 314, § 1; 1980, ch. 188, § 160) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.140. Investigation before disposition of case. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 14; 1956, ch. 157, § 25; 1970, ch. 92, § 67; 1980, ch. 188, § 161) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.150. Examination of child found to be mentally ill or defective. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 15; 1954, ch. 193, § 2; 1980, ch. 188, § 162) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.160. Physical examination and disposition of child not in normal health. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 16; 1954, ch. 193, § 3; 1962, ch. 212, § 3; 1972, ch. 95, § 1; 1980, ch. 188, § 163) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.170. Proceedings against children suspected of felony. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 17; 1954, ch. 193, § 4; 1956, ch. 157, § 26; 1962, ch. 212, § 4; 1976, ch. 168, § 6; 1980, ch. 188, § 164) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.180. Disposition of child convicted of felony or misdemeanor. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 18; 1954, ch. 193, § 4; 1956, ch. 157, § 27; 1962, ch. 212, § 5; 1976, ch. 168, § 7) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.190. Decree in proceedings concerning children who are charged with crime. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 19; 1980, ch. 188, § 165) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.192. Detention of hearing — Right to counsel. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 168, § 16) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.194. Adjudication of felony offense — Institutionalization — Shock probation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 168, § 17) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.196. Physical evidence — How obtained and utilized — Disposition. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 168, § 18; 1980, ch. 188, § 166) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.198. Notification of disposition and placement of child. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 168, § 19) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.200. Probation or commitment of child convicted of public offense. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 20; 1956, ch. 157, § 28; 1962, ch. 212, § 6; 1976, ch. 168, § 8; 1976 (Ex. Sess.), ch. 22, § 73; 1978, ch. 384, § 61; 1980, ch. 188, § 167; 1980, ch. 241, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.205. Modification or termination of order of commitment, protective supervision, or probation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976 (Ex. Sess.), ch. 22, § 75) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 610, 620, 630, 635, 640, 645.

208.210. Disposition of child not having committed public offense. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 21) was repealed by Acts 1956, ch. 157, § 54.

208.220. Department for human resources may assist juvenile courts in placing children — County contributions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 22; 1956, ch. 157, § 29; 1970, ch. 92, § 68) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.230. Court may coerce cooperation of parents or other persons in support of order or decree. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 23; 1976, ch. 168, § 9; 1980, ch. 188, § 168) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.235. Bond of parent or guardian of delinquent child, required when — Conditions — Forfeiture. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1964, ch. 123) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.240. Restitution or reparation by child committing public offense. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 24) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.250. Religious faith of parents to be considered in placing child in home or committing to an institution or agency. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 25) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.260. Girls to be accompanied by woman attendant or relative — Reports of violations. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 26; 1956, ch. 157, § 30; 1976, ch. 62, § 100) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.270. Commitment order and information to be furnished department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 27; 1956, ch. 157, § 31; 1976, ch. 168, § 10; 1980, ch. 188, § 169) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.275. Unconditional release from custody of department — Expungement of record — Penalty. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1972, ch. 239, paras. (1) to (6); 1974, ch. 74, Art. VI, § 107(13)) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.280. Parents or estate to contribute to support and education of child when able. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 28; 1956, ch. 157, § 32; 1962, ch. 212, § 7; 1968, ch. 71; 1976 (Ex. Sess.), ch. 14, § 195) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 610, 635.

208.290. Annual reports by county clerks. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 29; 1956, ch. 157, § 33; 1976, ch. 168, § 11) was repealed by Acts 1976 (Ex. Sess.), ch. 14, § 491, effective January 2, 1978.

208.300. Reports by persons in charge of homes or institutions to which a child is probated — Power of department to make visitations and inspections. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 30; 1956, ch. 157, § 34; 1980, ch. 188, § 170) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 605.

208.310. Advisory boards of juvenile courts. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 31; 1980, ch. 188, § 171) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 605.

208.320. Chief probation officers and assistants in county having city of first or second class or urban-county government — Volunteer probation officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 32; 1954, ch. 193, § 6; 1956, ch. 157, § 35; 1962, ch. 212, § 8; 1974, ch. 74, Art. VI, § 107 (1), (13) and (30); 1976 (Ex. Sess.), ch. 14, § 196; 1978, ch. 47, § 1; 1978, ch. 384, § 62; 1980, ch. 188, § 172; 1986, ch. 252, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 605.

208.330. Duties of probation officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 33; 1956, ch. 157, § 36; 1974, ch. 74, Art, VI, § 51; 1980, ch. 188, § 173) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 605.

208.335. Duties of court appointed special advocates. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 252, § 2, effective July 15, 1986) was repealed by Acts 1990, ch. 264, § 13, effective July 13, 1990.

208.340. Information obtained by probation officers confidential — Exception. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 34; 1956, ch. 157, § 37; 1962, ch. 212, § 9; 1970, ch. 92, § 69; 1976 (Ex. Sess.), ch. 14, § 197; 1980, ch. 188, § 174) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 610.

208.350. Use of evidence in subsequent actions prohibited. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 35) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 610.

208.360. Tax levies and appropriations by cities and counties for purposes of KRS 208.010 to 208.540. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 36) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 610.

208.370. Fees allowed in juvenile court proceedings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 37; 1954, ch. 193, § 7; 1980, ch. 188, §§ 175, 195) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 610.

208.380. Appeals. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 38; 1954, ch. 193, § 8; 1962, ch. 234, § 18; 1972, ch. 240, § 1; 1976, ch. 62, § 101; 1976 (Ex. Sess.), ch. 14, § 198; 1980, ch. 188, § 176) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 610.

208.390. Conformity of existing probations and pending proceedings concerning juveniles to provisions of KRS 208.010 to 208.540. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 39) was repealed by Acts 1976 (Ex. Sess.), ch. 14, § 491, effective January 2, 1978.

208.400. Duties of department concerning existing institutions and development of additional facilities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, ch. 40; 1956, ch. 157, § 38; 1966, ch. 255, § 202; 1968, ch. 74, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.403. Rehabilitation center for delinquent girls constructed by women’s clubs, powers of department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1966, ch. 27; 1974, ch. 74, Arts. II, § 9(2) and VI, § 107 (1), (13)) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.410. Program of care, treatment and rehabilitation of children committed to department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, ch. 41; 1956, ch. 157, § 39) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.420. Regional reception-diagnostic centers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 42; 1956, ch. 157, § 40; 1968, ch. 74, § 3; 1976, ch. 168, § 12; 1980, ch. 188, § 177) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.430. Powers of cabinet during period of commitment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, ch. 43; 1956, ch. 157, § 41; 1960, ch. 68, Art. IX, § 13; 1962, ch. 212, § 10; 1972, ch. 77, § 1; 1976 (Ex. Sess.), ch. 14, § 199) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.440. Receipt and disbursement of funds for board, lodging and care of children on probation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 44; 1956, ch. 157, § 42) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.450. Medical and surgical care for children committed to cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 45; 1956, ch. 157, § 43; 1972, ch. 94, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.460. Disposition of mentally ill or retarded child committed to cabinet. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 46; 1954, ch. 193, § 9; 1956, ch. 157, § 44; 1966, ch. 255, § 203; 1970, ch. 277, § 4; 1974, ch. 74, Art. VI, § 52; 1976, ch. 168, § 13, 1982, ch. 445, § 39) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.470. Disposition of child incapable of benefiting from treatment of cabinet facilities. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 47; 1956, ch. 157, § 45) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 645.

208.480. Disposition of children committed to youth authority. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 48; 1956, ch. 157, § 46) was repealed by Acts 1960, ch. 68, Art. IX, § 14.

208.490. Transfer of children confined in reformatory or penitentiary to custody and jurisdiction of department. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 49; 1956, ch. 157, § 47) was repealed by Acts 1960, ch. 68, Art. IX, § 14.

208.500. Children paroled by youth authority exempt from responsibility or authority of division of probation and parole. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 50) was repealed by Acts 1956, ch. 157, § 54.

208.510. Violation of supervised placement conditions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 51; 1956, ch. 157, § 48; 1976, ch. 168, § 14; 1978, ch. 350, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 635.

208.520. Design and operation of institutional facilities — Vocational education — Employment of children — Use or disposal of farm or other products. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 52; 1956, ch. 157, § 49) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 635.

208.530. Education of children in institutions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 53; 1956, ch. 157, § 50) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 635.

208.540. Mileage and expense allowance to officer conveying child to institution or facility. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 54; 1956, ch. 157, § 51; 1976, ch. 168, § 5; 1976 (Ex. Sess.), ch. 22, § 74) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapters 605, 635.

208.550. Method of acquiring lands and buildings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 55; 1956, ch. 157, § 52) was repealed by Acts 1960, ch. 68, Art. IX, § 14.

208.555. Kentucky conference of juvenile court judges, purpose — Sponsorship — Expenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1968, ch. 72) was repealed by Acts 1976 (Ex. Sess.), ch. 14, § 491, effective January 2, 1978.

208.560. Youth Authority, organization, staff and personnel — Director — Governing board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 56) was repealed by Acts 1956, ch. 157, § 54.

208.570. Powers and duties of director. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 57; 1954, ch. 185, § 1) was repealed by Acts 1956, ch. 157, § 54.

208.580. Powers and duties of governing board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 58; 1954, ch. 185, § 2) was repealed by Acts 1956, ch. 157, § 54.

208.590. Youth Authority is division of Children’s Bureau within the Department of Welfare — Executive Director. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 59) was repealed by Acts 1956, ch. 157, § 54.

208.595. Transfer of Child Welfare Division from Department of Economic Security to Kentucky Children’s Bureau. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 83, § 1) was repealed by Acts 1956, ch. 157, § 54.

Interstate Compact on Juveniles

208.600. Text of compact. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105; 1974, ch. 153, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.610. Juvenile compact administrator. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.620. Supplementary agreements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.630. Financial arrangements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 3; 1974, ch. 74, Art. II, § 9(2)) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.640. Responsibilities of state departments, agencies and officers. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 4) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.650. Additional procedures not precluded. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 5) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.660. Execution of additional article. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 6; 1974, ch. 153, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

208.670. Execution of amendment. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1960, ch. 105, § 7; 1974, ch. 153, § 3) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 615.

Periodic Review of Children in Foster Care

208.680. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 1) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.685. Foster care citizen review board established — Appointment of members — Additional boards authorized — Number, qualification, term and removal of members — Officers — Meetings. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 2) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.690. Funding and support services for local boards. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 3) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.695. Training — Oath of confidentiality. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 4) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.700. Board to receive copies of orders of commitment and placement agreements. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 5) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.705. Cabinet to file with court and board case permanency plan for child — Contents of plan. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 6) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.710. Case progress report — Contents. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 7) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.715. Board to have access to court and department records concerning child — Procedure when access denied. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 8) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.720. Conflict of interest bars participation in review. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 9) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.725. Review of child by board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 10) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.730. Appearance of witnesses before board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 11) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.735. Board findings and recommendations to be filed with court. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 12) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.740. Notice to interested parties of board’s review. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 13) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.745. State citizen review board established — Officers — Meetings — Compensation. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 14) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.750. Duties of state citizen review board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 15) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.755. Funding and support services for state board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 16) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

208.760. Annual reports of local boards to state board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1982, ch. 172, § 17) was repealed by Acts 1986, ch. 423, § 198. For present law see KRS Chapter 620.

Treatment of Juvenile Sexual Offenders

208.800. Pilot program for treatment of juvenile sexual offenders. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 7) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.805. Definitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 8) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.810. Referral of juvenile to program for at least two years — Reports — Review — Discharge, review. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 9) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.815. Cabinet for Human Resources to design program. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 10; 1992, ch. 211, § 73) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.820. Agreements with public and private agencies. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 11) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.825. Data — Report. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 12) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.830. Juvenile sex offender treatment board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 13) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.835. Members of board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 14; 1992, ch. 211, § 74) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.840. Council for social services to assume board duties in 1992. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 15) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.845. Duties of board. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 16) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

208.850. File of offenders to be maintained — Information, biannual report on whether juvenile participants later committed sex-related offenses. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1986, ch. 478, § 17; 1992, ch. 211, § 75) was repealed by Acts 1994, ch. 94, § 16. For present law see KRS 635.500 to 635.545 .

Penalties

208.990. Penalties. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1952, ch. 161, § 60; 1962, ch. 212, § 11; 1964, ch. 85, § 4; 1972, ch. 239, para. (7); 1974, ch. 406, § 309; 1978, ch. 66, § 3, effective June 17, 1978) was repealed by Acts 1986, ch. 423, § 198, effective July 1, 1987.

CHAPTER 208A Juvenile Code General Provisions [Repealed]

208A.010 to 208A.990. Juvenile Code general provisions. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 600.

208A.010 . Purpose. (Enact. Acts 1980, ch. 280, § 2).

208A.020. Definitions. (Enact. Acts 1980, ch. 280, § 3).

208A.030. Jurisdiction of district court. (Enact. Acts 1980, ch. 280, § 4).

208A.040. Fees allowed in juvenile proceedings. (Enact. Acts 1980, ch. 280, § 5).

208A.050. Advisory boards of the juvenile court. (Enact. Acts 1980, ch. 280, § 6).

208A.060. Chief probation officers and assistants in county having city of first or second class or urban-county government — Volunteer probation officers. (Enact. Acts 1980, ch. 280, § 7).

208A.070. Duties of probation officers — Court-designated workers. (Enact. Acts 1980, ch. 280, § 8).

208A.080. Juvenile record — Juvenile docket — Information confidential — Exception. (Enact. Acts 1980, ch. 280, § 9).

208A.090. Preliminary inquiry — Summons anad notice — Temporary custody of child — Warrant. (Enact. Acts 1980, ch. 280, § 10).

208A.100. Right to counsel. (Enact. Acts 1980, ch. 280, § 11).

208A.110. Conduct of hearings. (Enact. Acts 1980, ch. 280, § 12).

208A.120. Investigation before disposition of case — Informal adjustment. (Enact. Acts 1980, ch. 280, § 13).

208A.130. Rights of child before the court. (Enact. Acts 1980, ch. 280, § 14).

208A.140. Disposition — Notification — Commitment order. (Enact. Acts 1980, ch. 280, § 15).

208A.150. Court may coerce cooperation in support of decree — Parent or estate to contribute to support of child — Bond for delinquent child — Religious faith to be considered when placing child. (Enact. Acts 1980, ch. 280, § 16).

208A.160. Appeals. (Enact. Acts 1980, ch. 280, § 17).

208A.170. Modification of order of commitment — Protective supervision or probation. (Enact. Acts 1980, ch. 280, § 18).

208A.180. Mandatory physical examinations for children in temporary placement — Examination and placement of children requiring special care. (Enact. Acts 1980, ch. 280, § 19).

208A.190. Expungement of record — Unconditional release from commitment. (Enact. Acts 1980, ch. 280, § 20).

208A.200. Allowance to convey child to facility — Girls accompanied by women — Report of violations. (Enact. Acts 1980, ch. 280, § 21).

208A.210. Powers of cabinet during period of commitment — Assistance to courts in placement. (Enact. Acts 1980, ch. 280, § 22).

208A.220. Program for committed children — Design and operation of institutions — Vocational education — Employment of children. (Enact. Acts 1980, ch. 280, § 23).

208A.230. Medical and surgical care for children committed to cabinet — Mandatory examinations for foster children — Education for children. (Enact. Acts 1980, ch. 280, § 24).

208A.240. Care of children on probation — Cabinet may accept gifts, devises or bequests. (Enact. Acts 1980, ch. 280, § 25).

208A.250. Regional reception — Diagnostic centers — Cabinet use. (Enact. Acts 1980, ch. 280, § 26).

208A.260. Detention facilities — Use of regional centers — Cabinet operation of detention facilities. (Enact. Acts 1980, ch. 280, § 27).

208A.270. Rehabilitation center for delinquent girls. (Enact. Acts 1980, ch. 280, § 28).

208A.280. Interstate compact on juveniles. (Enact. Acts 1980, ch. 280, § 29).

208A.290. Juvenile compact administrator — Financial arrangements — Responsibilities — Execution. (Enact. Acts 1980, ch. 280, § 30).

208A.300. Interstate compact on placement of children. (Enact. Acts 1980, ch. 280, § 31).

208A.310. Definitions in compact — Financial responsibility — Court placement in another state — Importation of dependent children — Exceptions. (Enact. Acts 1980, ch. 280, § 32).

208A.320. Authority to promulgate regulations. (Enact. Acts 1980, ch. 280, § 33).

208A.340. Short title. (Enact. Acts 1980, ch. 280, § 1).

208A.990. Penalties. (Enact. Acts 1980, ch. 280, §§ 34, 51(3)).

CHAPTER 208B Protective Services for Children [Repealed]

208B.010 to 208B.990. Protective services for children. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 620.

208B.010 . Purpose. (Enact. Acts 1980, ch. 280, § 35).

208B.020. Definition. (Enact. Acts 1980, ch. 280, § 36).

208B.030. Specified persons to report child abuse and neglect — Contents of report — Search warrant — Protective custody — Immunity from liability. (Enact. Acts 1980, ch. 280, § 37).

208B.040. Content of petition — Abuse, neglect or dependency. (Enact. Acts 1980, ch. 280, § 38).

208B.050. Emergency custody order — Issuance — Appointment of counsel — Rights. (Enact. Acts 1980, ch. 280, § 39).

208B.060. Counsel may be appointed. (Enact. Acts 1980, ch. 280, § 40).

208B.070. Temporary removal hearing — Procedure — Contents of order — Preference to placement of child with qualified relative. (Enact. Acts 1980, ch. 280, § 41).

208B.080. Criminal charges tried separately from adjudicatory hearing. (Enact. Acts 1980, ch. 280, § 42).

208B.090. Court dispositional alternatives — Investigation prior to disposition. (Enact. Acts 1980, ch. 280, § 43).

208B.100. Commitment order and information to be furnished by the court. (Enact. Acts 1980, ch. 280, § 44).

208B.110. Appeal. (Enact. Acts 1980, ch. 280, § 45).

208B.120. Motion to destroy records. (Enact. Acts 1980, ch. 280, § 46).

208B.130. Duties of cabinet concerning protection of children. (Enact. Acts 1980, ch. 280, § 47).

208B.140. Release from commitment. (Enact. Acts 1980, ch. 280, § 48).

208B.150. Voluntary commitments — Support — Care — Release. (Enact. Acts 1980, ch. 280, § 49).

208B.160. Periodic review of children in foster family homes — Regulations. (Enact. Acts 1980, ch. 280, § 50).

208B.990. Penalties. (Enact. Acts 1980, ch. 280, §§ 51(1), (2)).

KRS 208B.030 was amended by Acts 1984, ch. 123, § 2, effective July 15, 1984. However, the repeal of KRS 208B.030 by Acts 1984, ch. 184, § 1 prevails over the amendment by ch. 123, § 2 pursuant to KRS 446.260 .

CHAPTER 208C Termination of Parental Rights [Repealed]

208C.010 to 208C.120. Termination of parental rights. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 625.

208C.010 . Purpose. (Enact. Acts 1980, ch. 280, § 52).

208C.020. Definitions. (Enact. Acts 1980, ch. 280, § 53).

208C.030. Jurisdiction of circuit court. (Enact. Acts 1980, ch. 280, § 54).

208C.040. Putative father, party to termination. (Enact. Acts 1980, ch. 280, § 55).

208C.050. Voluntary termination of parental rights. (Enact. Acts 1980, ch. 280, § 56).

208C.060. Petition for involuntary termination — Contents. (Enact. Acts 1980, ch. 280, § 57).

208C.070. Service of process. (Enact. Acts 1980, ch. 280, § 58).

208C.080. Proceeding to terminate parental rights in circuit court — Appointment of counsel. (Enact. Acts 1980, ch. 280, § 59).

208C.090. Involuntary termination of parental rights. (Enact. Acts 1980, ch. 280, § 60).

208C.100. Order of termination — Contents — Right to inherit — Records to be confidential. (Enact. Acts 1980, ch. 280, § 61).

208C.110. Appeal from order of termination — Exception. (Enact. Acts 1980, ch. 280, § 62).

208C.120. Regulations. (Enact. Acts 1980, ch. 280, § 63).

CHAPTER 208D Status Offenders [Repealed]

208D.010 to 208D.990. Status offenders. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 630.

208D.010 . Purpose. (Enact. Acts 1980, ch. 280, § 64).

208D.020. Definitions. (Enact. Acts 1980, ch. 280, § 65).

208D.030. Jurisdiction of the court. (Enact. Acts 1980, ch. 280, § 66).

208D.040. Conditions for child to be taken into custody. (Enact. Acts 1980, ch. 280, § 67).

208D.050. Child taken into custody — Alternatives — Placement. (Enact. Acts 1980, ch. 280, § 68).

208D.060. Conference prior to judicial proceedings. (Enact. Acts 1980, ch. 280, § 69).

208D.070. Petition — Contents. (Enact. Acts 1980, ch. 280, § 70).

208D.080. Informal adjustment. (Enact. Acts 1980, ch. 280, § 71).

208D.090. Detention — Detention hearings. (Enact. Acts 1980, ch. 280, § 72).

208D.100. Conduct of hearings. (Enact. Acts 1980, ch. 280, § 73).

208D.110. Secure detention prior to adjudication. (Enact. Acts 1980, ch. 280, § 74).

208D.120. Secure detention prior to disposition. (Enact. Acts 1980, ch. 280, § 75).

208D.130. Conduct of dispositional hearings — Commitment — Placement. (Enact. Acts 1980, ch. 280, § 76).

208D.140. Secure detention after disposition. (Enact. Acts 1980, ch. 280, § 77).

208D.150. Regulations. (Enact. Acts 1980, ch. 280, § 78).

208D.160. Court order for cooperation of parents — Issuance of summons — Contempt powers. (Enact. Acts 1980, ch. 280, § 79(1)).

208D.990. Penalties. (Enact. Acts 1980, ch. 280, § 79(2)).

CHAPTER 208E Juvenile Public Offenders [Repealed]

208E.010 to 208E.990. Juvenile public offenders. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 635.

208E.010 . Law of arrest applicable to children. (Enact. Acts 1980, ch. 280, § 80).

208E.020. Detention facilities. (Enact. Acts 1980, ch. 280, § 81).

208E.030. Child not to be detained in police station, lockup, jail or prison — Exception. (Enact. Acts 1980, ch. 280, § 82).

208E.040. Detention hearing — Right to counsel. (Enact. Acts 1980, ch. 280, § 83).

208E.050. Physical evidence — How obtained and utilized. (Enact. Acts 1980, ch. 280, § 84).

208E.060. Court — Designated worker — Complaint procedure. (Enact. Acts 1980, ch. 280, § 85).

208E.070. Child who has committed a felony, misdemeanor or violation — Exception. (Enact. Acts 1980, ch. 280, § 86).

208E.080. Decree in proceedings concerning children who are charged with a public offense. (Enact. Acts 1980, ch. 280, § 87).

208E.090. Adjudication not a conviction. (Enact. Acts 1980, ch. 280, § 88).

208E.100. Detention and evaluation prior to disposition. (Enact. Acts 1980, ch. 280, § 89).

208E.110. Disposition of children committing public offenses. (Enact. Acts 1980, ch. 280, § 90).

208E.120. Community services work program — Imposition of fine — Detention for failure to comply. (Enact. Acts 1980, ch. 280, § 91).

208E.130. Commitment for purpose of institutionalization. (Enact. Acts 1980, ch. 280, § 92).

208E.140. Violation of supervised placement conditions — Disposition of child incapable of benefiting from treatment by cabinet facilities. (Enact. Acts 1980, ch. 280, § 93).

208E.150. Regulations. (Enact. Acts 1980, ch. 280, § 94).

208E.990. Penalties. (Enact. Acts 1980, ch. 280, § 95).

CHAPTER 208F Youthful Offenders [Repealed]

208F.010 to 208F.250. Youthful offenders. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 640.

208F.010 . Preliminary hearing — Transfer of youth to circuit court. (Enact. Acts 1980, ch. 280, § 96).

208F.020. Transference of youthful offender. (Enact. Acts 1980, ch. 280, § 97).

208F.030. Sentencing procedures — Duration of sentence. (Enact. Acts 1980, ch. 280, § 98).

208F.040. Sentencing appropriate for Class A felony. (Enact. Acts 1980, ch. 280, § 99).

208F.050. Supervision of probation or conditional discharge by cabinet. (Enact. Acts 1980, ch. 280, § 100).

208F.060. Commitment to corrections cabinet. (Enact. Acts 1980, ch. 280, § 101).

208F.070. Youthful offender parole board — Membership — Duties — Powers. (Enact. Acts 1980, ch. 280, § 102).

208F.080. Parole by board — Cabinet to provide information — Conditions. (Enact. Acts 1980, ch. 280, § 103).

208F.090. Conduct of preliminary revocation hearings of parole. (Enact. Acts 1980, ch. 280, § 104).

208F.100. Retention of parole. (Enact. Acts 1980, ch. 280, § 105).

208F.110. Parole time not counted as part of maximum sentence — Exception. (Enact. Acts 1980, ch. 280, § 106).

208F.120. Parolees amendable to board and cabinet. (Enact. Acts 1980, ch. 280, § 107).

208F.130. Parolees subject to supervision of cabinet. (Enact. Acts 1980, ch. 280, § 108).

208F.140. Termination of parole status by commission of crime. (Enact. Acts 1980, ch. 280, § 109).

208F.150. Final discharge from parole. (Enact. Acts 1980, ch. 280, § 110).

208F.160. Effect of final discharge or restoration of civil rights. (Enact. Acts 1980, ch. 280, § 111).

208F.170. Statement of case to be sent to institution. (Enact. Acts 1980, ch. 280, § 112).

208F.180. Information, reports and access furnished to board by cabinet or prison. (Enact. Acts 1980, ch. 280, § 113).

208F.190. Subpoenas by board. (Enact. Acts 1980, ch. 280, § 114).

208F.200. Provisions to parolee. (Enact. Acts 1980, ch. 280, § 115).

208F.210. Order of board sufficient for officer to release paroled youthful offender from custody. (Enact. Acts 1980, ch. 280, § 116).

208F.220. Regulation dress not required while on parole or conditional release. (Enact. Acts 1980, ch. 280, § 117).

208F.230. Violation of conditions of release — Arrest — Warrant. (Enact. Acts 1980, ch. 280, § 118).

208F.240. Cabinet to transfer records. (Enact. Acts 1980, ch. 280, § 119).

208F.250. Regulations. (Enact. Acts 1980, ch. 280, § 120).

CHAPTER 208G Treatment of Children With Mental Disorders [Repealed]

208G.010 to 208G.190. Treatment of children with mental disorders. [Repealed.]

Compiler’s Notes.

The following sections which would have become effective July 15, 1984, were instead repealed by Acts 1984, ch. 184, § 1, effective July 13, 1984. For present law see KRS Chapter 645.

208G.010 . Purpose. (Enact. Acts 1980, ch. 280, § 121).

208G.020. Definitions. (Enact. Acts 1980, ch. 280, § 122).

208G.030. Continuation of court jurisdiction for continuity of treatment — Petitions of classes of admissions — Precedence of jurisdiction. (Enact. Acts 1980, ch. 280, § 123).

208G.040. Mandated court appointment of advocate. (Enact. Acts 1980, ch. 280, § 124).

208G.050. Consent to continued hospitalization. (Enact. Acts 1980, ch. 280, § 125).

208G.060. Voluntary admissions — Class I proceedings. (Enact. Acts 1980, ch. 280, § 126).

208G.070. Rights of child for Class I and II admissions. (Enact. Acts 1980, ch. 280, § 127).

208G.080. Institutional transfers — Procedure for Class III admission. (Enact. Acts 1980, ch. 280, § 128).

208G.090. Involuntary and emergency commitments — Class IV petition. (Enact. Acts 1980, ch. 280, § 129).

208G.100. Petition — Contents — Appointment of counsel. (Enact. Acts 1980, ch. 280, § 130).

208G.110. Procedure for interested parties to file petition with circuit court clerk. (Enact. Acts 1980, ch. 280, § 131).

208G.120. Warrant for child taken into custody — Immediate evaluation — Hearing. (Enact. Acts 1980, ch. 280, § 132).

208G.130. Child taken into custody without warrant — Examination — Detention. (Enact. Acts 1980, ch. 280, § 133).

208G.140. Detention for purpose of pre-hearing evaluation — Appointment of counsel. (Enact. Acts 1980, ch. 280, § 134).

208G.150. Initial court review hearing — Right to counsel — Placement prior to adjudicatory hearing. (Enact. Acts 1980, ch. 280, § 135).

208G.160. Formal court proceedings — Rights of child. (Enact. Acts 1980, ch. 280, § 136).

208G.170. Commitment order for residential treatment or hospitalization. (Enact. Acts 1980, ch. 280, § 137).

208G.180. Mandated court review of children receiving residential treatment or hospitalization. (Enact. Acts 1980, ch. 280, § 138).

208G.190. Regulations. (Enact. Acts 1980, ch. 280, § 139).

CHAPTER 209 Protection of Adults

209.005. Elder Abuse Committee — Membership — Duties — Annual report.

  1. The Cabinet for Health and Family Services shall create an Elder Abuse Committee to develop a model protocol on elder abuse and neglect in the Commonwealth, that shall be comprised of various agency representatives that include but are not limited to:
    1. The Department for Community Based Services;
    2. The Department for Public Health;
    3. The Department for Behavioral Health, Developmental and Intellectual Disabilities;
    4. The Department for Aging and Independent Living;
    5. The Office of Inspector General’s Division of Health Care;
    6. The Office of the Ombudsman;
    7. Area Agencies on Aging;
    8. Local and state law enforcement official; and
    9. Prosecutors.
  2. The committee shall address issues of prevention, intervention, investigation, and agency coordination of services on a state and local level through interaction with local groups or entities that either directly or indirectly provide services to the elder population, including but not limited to:
    1. Senior citizen centers;
    2. Local governmental human service groups;
    3. The Sanders-Brown Center on Aging at the University of Kentucky;
    4. Long-Term Care Ombudsmen; and
    5. Other organizations or associations dedicated to serving elder citizens and their families in the Commonwealth.
  3. The committee shall:
    1. Recommend a model protocol for the joint multidisciplinary investigation of reports of suspected abuse, neglect, or exploitation of the elderly;
    2. Recommend practices to assure timely reporting of referrals of abuse, neglect, or exploitation required under KRS 209.030(12);
    3. Explore the need for a comprehensive statewide resource directory of services for the elderly;
    4. Enhance existing public awareness campaigns for elder abuse and neglect; and
    5. Provide forums for the exchange of information to educate the elder population and their families on the rights of elders.
  4. The committee shall produce an annual report of their activities, products, and recommendations for public policy to the Governor and the Legislative Research Commission.

History. Enact. Acts 1998, ch. 370, § 6, effective July 15, 1998; 2000, ch. 14, § 40, effective July 14, 2000; 2001, ch. 81, § 3, effective June 21, 2001; 2005, ch. 99, § 293, effective June 20, 2005; 2005, ch. 132, § 29, effective June 20, 2005; 2007, ch. 24, § 16, effective June 26, 2007; 2012, ch. 146, § 66, effective July 12, 2012; 2012, ch. 158, § 34, effective July 12, 2012.

Legislative Research Commission Notes.

(7/12/2012). This statute was amended by 2012 Ky. Acts chs. 146 and 158, which do not appear to be in conflict and have been codified together.

209.010. Purpose and application of chapter.

  1. The purpose of this chapter is:
    1. To provide for the protection of adults who may be suffering from abuse, neglect, or exploitation, and to bring said cases under the purview of the Circuit or District Court;
    2. To provide that any person who becomes aware of such cases shall report them to a representative of the cabinet, thereby causing the protective services of the state to be brought to bear in an effort to protect the health and welfare of these adults in need of protective services and to prevent abuse, neglect, or exploitation; and
    3. To promote coordination and efficiency among agencies and entities that have a responsibility to respond to the abuse, neglect, or exploitation of adults.
  2. This chapter shall apply to the protection of adults who are the victims of abuse, neglect, or exploitation inflicted by a person or caretaker. It shall not apply to victims of domestic violence unless the victim is also an adult as defined in KRS 209.020(4).

History. Enact. Acts 1976, ch. 157, § 2; 1976 (Ex. Sess.), ch. 14, § 200, effective January 2, 1978; 1978, ch. 370, § 1, effective June 17, 1978; 2005, ch. 132, § 1, effective June 20, 2005.

Legislative Research Commission Notes.

(11/9/93). A prior reference to the “department” in this statute was changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, § 50(5), and KRS 7.136(2).

Opinions of Attorney General.

An attorney who knows that his client is an abused spouse may not, contrary to his client’s wishes, make a report to the Cabinet for Human Resources (now Families and Children) since KRS Chapter 209 neither requires nor permits a lawyer to breach the confidence between himself and his client. OAG 83-367 .

Research References and Practice Aids

Northern Kentucky Law Review.

Quarm and Schwartz, Legal Reform and the Criminal Court: The Case of Domestic Violence, 10 N. Ky. L. Rev. 199 (1983).

Jones, Kentucky Tort Liability for Failure to Report Family Violence, 26 N. Ky. L. Rev. 43 (1999).

209.020. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Secretary” means the secretary of the Cabinet for Health and Family Services;
  2. “Cabinet” means the Cabinet for Health and Family Services;
  3. “Department” means the Department for Community Based Services of the Cabinet for Health and Family Services;
  4. “Adult” means a person eighteen (18) years of age or older who, because of mental or physical dysfunctioning, is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may be in need of protective services;
  5. “Protective services” means agency services undertaken with or on behalf of an adult in need of protective services who is being abused, neglected, or exploited. These services may include but are not limited to conducting investigations of complaints of possible abuse, neglect, or exploitation to ascertain whether or not the situation and condition of the adult in need of protective services warrants further action; social services aimed at preventing and remedying abuse, neglect, and exploitation; and services directed toward seeking legal determination of whether or not the adult in need of protective services has been abused, neglected, or exploited and to ensure that he or she obtains suitable care in or out of his or her home;
  6. “Caretaker” means an individual or institution who has been entrusted with or who has the responsibility for the care of the adult as a result of family relationship, or who has assumed the responsibility for the care of the adult person voluntarily or by contract, employment, legal duty, or agreement;
  7. “Deception” means but is not limited to:
    1. Creating or reinforcing a false impression, including a false impression as to law, value, intention, or other state of mind;
    2. Preventing another from acquiring information that would affect his or her judgment of a transaction; or
    3. Failing to correct a false impression that the deceiver previously created or reinforced, or that the deceiver knows to be influencing another to whom the person stands in a fiduciary or confidential relationship;
  8. “Abuse” means the infliction of injury, sexual abuse, unreasonable confinement, intimidation, or punishment that results in physical pain or injury, including mental injury;
  9. “Exploitation” means obtaining or using another person’s resources, including but not limited to funds, assets, or property, by deception, intimidation, or similar means, with the intent to deprive the person of those resources;
  10. “Investigation” shall include but is not limited to:
    1. A personal interview with the individual reported to be abused, neglected, or exploited. When abuse or neglect is allegedly the cause of death, a coroner’s or doctor’s report shall be examined as part of the investigation;
    2. An assessment of individual and environmental risk and safety factors;
    3. Identification of the perpetrator, if possible; and
    4. Identification by the Office of Inspector General of instances of failure by an administrator or management personnel of a regulated or licensed facility to adopt or enforce appropriate policies and procedures, if that failure contributed to or caused an adult under the facility’s care to be abused, neglected, or exploited;
  11. “Emergency” means that an adult is living in conditions which present a substantial risk of death or immediate and serious physical harm to himself or herself or others;
  12. “Emergency protective services” are protective services furnished an adult in an emergency;
  13. “Protective placement” means the transfer of an adult from his or her present living arrangement to another;
  14. “Court” means the Circuit Court or the District Court if no judge of that Circuit Court is present in the county;
  15. “Records” means the medical, mental, health, and financial records of the adult that are in the possession of any hospital, firm, corporation, or other facility, if necessary to complete the investigation mandated in this chapter. These records shall not be disclosed for any purpose other than the purpose for which they have been obtained;
  16. “Neglect” means a situation in which an adult is unable to perform or obtain for himself or herself the goods or services that are necessary to maintain his or her health or welfare, or the deprivation of services by a caretaker that are necessary to maintain the health and welfare of an adult; and
  17. “Authorized agency” means:
    1. The Cabinet for Health and Family Services;
    2. A law enforcement agency or the Department of Kentucky State Police;
    3. The office of a Commonwealth’s attorney or county attorney; or
    4. The appropriate division of the Office of the Attorney General.

History. Enact. Acts 1976, ch. 157, § 3; 1978, ch. 370, § 2, effective June 17, 1978; 1980, ch. 372, § 2, effective July 15, 1980; 1986, ch. 56, § 1, effective July 15, 1986; 1998, ch. 370, § 1, effective July 15, 1998; 1998, ch. 426, § 239, effective July 15, 1998; 2000, ch. 14, § 41, effective July 14, 2000; 2005, ch. 99, § 294, effective June 20, 2005; 2005, ch. 132, § 2, effective June 20, 2005; 2007, ch. 85, § 242, effective June 26, 2007.

Legislative Research Commission Notes.

(6/20/2005). Under 2005 Ky. Acts chs. 184, § 18, changes in the names of agencies and officers that are made in bills confirming a reorganization of the executive branch are to be codified only to the extent those changes do not conflict with other 2005 amendments. Accordingly, an amendment to this section in Acts ch. 132 prevails over a name change made in Acts ch. 99.

NOTES TO DECISIONS

1.“Abuse” Definition.

When a person or institution assumes the role of caretaker, the caretaker is prohibited from inflicting physical pain or injury or mental injury or depriving the adult of any services necessary to maintain his or her health and welfare; to describe every possible situation in which the infliction of pain or injury or the deprivation of necessary services could occur would be pointless and would make the statute unwieldy; KRS 209.990(2) and this section provide adequate warning to ordinary persons of the prohibited conduct and are sufficient guides to discourage arbitrary or discriminatory enforcement. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

Evidentiary hearing was required on defendant’s motion to withdraw a guilty plea because (1) defendant never had the chance to review the evidence, so a hearing was required to evaluate the soundness of counsel’s advice to plead guilty, and (2) KRS 209.020(8), (9), and (16) did not authorize the Commonwealth’s theory of guilt, as the Commonwealth said defendant had to force defendant’s mother to seek medical treatment despite the mother’s competence to refuse, and the mother consented to defendant’s withdrawals from the mother’s bank account. Robbins v. Commonwealth, 365 S.W.3d 211, 2012 Ky. App. LEXIS 328 (Ky. Ct. App. 2012).

2.Caretaker.

Before defendants can be found guilty of either reckless homicide or manslaughter, there must exist a legal duty owed by the defendants to the victim; thus, because there was presented substantial evidence from which the jury could have concluded that the brother of 54-year-old disabled woman who died from conditions attributed to caretaker neglect assumed the duty of care and that he was acting in the capacity of “caretaker” as that term is defined by the provisions of this section, the trial court did not err by instructing the jury with respect to reckless homicide and complicity to reckless homicide and evidence was sufficient to support convictions of brother and his wife. West v. Commonwealth, 935 S.W.2d 315, 1996 Ky. App. LEXIS 179 (Ky. Ct. App. 1996).

3.“Adult” Definition.

In an action alleging negligence for failure to initiate investigation under the Kentucky Adult Protection Act, appellant government employee was entitled to qualified official immunity because she did not have information that appellee was an adult as defined by KRS 209.020(4) as she had no information as to appellee’s physical or mental capacity. Gibson v. Hicks, 2012 Ky. App. LEXIS 125 (Ky. Ct. App. July 27, 2012).

Cited in:

Morris v. Commonwealth, 783 S.W.2d 889, 1990 Ky. App. LEXIS 24 (Ky. Ct. App. 1990).

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Paquin, The Development and Organization of Domestic Relations Mediation in a Multi-Function Mediation Center in Kentucky, 81 Ky. L.J. 1133 (1992-93).

Treatises

Petrilli, Kentucky Family Law, Actions, § 17.15.

209.030. Administrative regulations — Reports of adult abuse, neglect, or exploitation — Cabinet actions — Status and disposition reports.

  1. The secretary may promulgate administrative regulations in accordance with KRS Chapter 13A to effect the purposes of this chapter. While the cabinet shall continue to have primary responsibility for investigation and the provision of protective services under this chapter, nothing in this chapter shall restrict the powers of another authorized agency to act under its statutory authority.
  2. Any person, including but not limited to physician, law enforcement officer, nurse, social worker, cabinet personnel, coroner, medical examiner, alternate care facility employee, or caretaker, having reasonable cause to suspect that an adult has suffered abuse, neglect, or exploitation, shall report or cause reports to be made in accordance with the provisions of this chapter. Death of the adult does not relieve one of the responsibility for reporting the circumstances surrounding the death.
  3. An oral or written report shall be made immediately to the cabinet upon knowledge of suspected abuse, neglect, or exploitation of an adult.
  4. Any person making such a report shall provide the following information, if known:
    1. The name and address of the adult, or of any other person responsible for his care;
    2. The age of the adult;
    3. The nature and extent of the abuse, neglect, or exploitation, including any evidence of previous abuse, neglect, or exploitation;
    4. The identity of the perpetrator, if known;
    5. The identity of the complainant, if possible; and
    6. Any other information that the person believes might be helpful in establishing the cause of abuse, neglect, or exploitation.
  5. Upon receipt of the report, the cabinet shall conduct an initial assessment and take the following action:
    1. Notify within twenty-four (24) hours of the receipt of the report the appropriate law enforcement agency. If information is gained through assessment or investigation relating to emergency circumstances or a potential crime, the cabinet shall immediately notify and document notification to the appropriate law enforcement agency;
    2. Notify each appropriate authorized agency. The cabinet shall develop standardized procedures for notifying each appropriate authorized agency when an investigation begins and when conditions justify notification during the pendency of an investigation;
    3. Initiate an investigation of the complaint; and
    4. Make a written report of the initial findings together with a recommendation for further action, if indicated.
    1. The cabinet shall, to the extent practicable, coordinate its investigation with the appropriate law enforcement agency and, if indicated, any appropriate authorized agency or agencies. (6) (a) The cabinet shall, to the extent practicable, coordinate its investigation with the appropriate law enforcement agency and, if indicated, any appropriate authorized agency or agencies.
    2. The cabinet shall, to the extent practicable, support specialized multidisciplinary teams to investigate reports made under this chapter. This team may include law enforcement officers, social workers, Commonwealth’s attorneys and county attorneys, representatives from other authorized agencies, medical professionals, and other related professionals with investigative responsibilities, as necessary.
  6. Any representative of the cabinet may enter any health facility or health service licensed by the cabinet at any reasonable time to carry out the cabinet’s responsibilities under this chapter. Any representative of the cabinet actively involved in the conduct of an abuse, neglect, or exploitation investigation under this chapter shall also be allowed access to financial records and the mental and physical health records of the adult which are in the possession of any hospital, firm, financial institution, corporation, or other facility if necessary to complete the investigation mandated by this chapter. These records shall not be disclosed for any purpose other than the purpose for which they have been obtained.
  7. Any representative of the cabinet may with consent of the adult or caretaker enter any private premises where any adult alleged to be abused, neglected, or exploited is found in order to investigate the need for protective services for the purpose of carrying out the provisions of this chapter. If the adult or caretaker does not consent to the investigation, a search warrant may be issued upon a showing of probable cause that an adult is being abused, neglected, or exploited, to enable a representative of the cabinet to proceed with the investigation.
  8. If a determination has been made that protective services are necessary when indicated by the investigation, the cabinet shall provide such services within budgetary limitations, except in such cases where an adult chooses to refuse such services.
  9. In the event the adult elects to accept the protective services to be provided by the cabinet, the caretaker shall not interfere with the cabinet when rendering such services.
  10. The cabinet shall consult with local agencies and advocacy groups, including but not limited to long-term care ombudsmen, law enforcement agencies, bankers, attorneys, providers of nonemergency transportation services, and charitable and faith-based organizations, to encourage the sharing of information, provision of training, and promotion of awareness of adult abuse, neglect, and exploitation, crimes against the elderly, and adult protective services.
    1. By November 1 of each year and in accordance with state and federal confidentiality and open records laws, each authorized agency that receives a report of adult abuse, neglect, or exploitation shall submit a written report to the cabinet that provides the current status or disposition of each case referred to that agency by the cabinet under this chapter during the preceding year. The Elder Abuse Committee established in KRS 209.005 may recommend practices and procedures in its model protocol for reporting to the cabinet under this section. (12) (a) By November 1 of each year and in accordance with state and federal confidentiality and open records laws, each authorized agency that receives a report of adult abuse, neglect, or exploitation shall submit a written report to the cabinet that provides the current status or disposition of each case referred to that agency by the cabinet under this chapter during the preceding year. The Elder Abuse Committee established in KRS 209.005 may recommend practices and procedures in its model protocol for reporting to the cabinet under this section.
    2. By December 30 of each year, the cabinet shall provide a written report to the Governor and the Legislative Research Commission that summarizes the status of and actions taken on all reports received from authorized agencies and specific departments within the cabinet under this subsection. The cabinet shall identify any report required under paragraph (a) of this subsection that is not received by the cabinet. Identifying information about individuals who are the subject of a report of suspected adult abuse, neglect, or exploitation shall not be included in the report under this paragraph. The report shall also include recommendations, as appropriate, to improve the coordination of investigations and the provision of protective services. The cabinet shall make the report available to community human services organizations and others upon request.

History. Enact. Acts 1976, ch. 157, § 4; 1978, ch. 370, § 3, effective June 17, 1978; 1980, ch. 372, § 3, effective July 15, 1980; 1998, ch. 370, § 2, effective July 15, 1998; 2005, ch. 132, § 3, effective June 20, 2005.

Legislative Research Commission Notes.

(7/15/98). The amendment to this statute proposed in the introduced version of House Bill 652 was deleted in the House Committee substitute that was adopted and became 1998 Ky. Acts ch. 370; no changes to the existing statute were left in that Act as enacted.

(11/9/93). Prior references to the “department” in this statute were changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

NOTES TO DECISIONS

1.Duty to investigate.

In an action alleging negligence for failure to initiate investigation under the Kentucky Adult Protection Act, appellant government employee was entitled to qualified official immunity because she did not have information that appellee was an adult as defined by KRS 209.020(4) as she had no information as to appellee’s physical or mental capacity. Gibson v. Hicks, 2012 Ky. App. LEXIS 125 (Ky. Ct. App. July 27, 2012).

Opinions of Attorney General.

In view of the mandatory reporting provision of subsection (2) of this section, law enforcement officers who do not report the abuse if the victim will not prosecute or refuses to remove himself or herself from the abusive home environment, are clearly exceeding their authority by declining to make the report. OAG 83-187 .

There is no bar by virtue of the physician-patient relationship to the report of a case of suspected adult abuse by the attending physician, and therefore, physicians who decline to make the report as required by this section if the adult abuse victim is receiving medical treatment are clearly violating the express language of subsection (2) of this section which reads “ . . . . . shall report.” OAG 83-187 .

Counselors that do not report suspected adult abuse if the adult abuse victim is in therapy are clearly violating the mandatory reporting provision of subsection (2) of this section. OAG 83-187 .

An attorney who knows that his client is an abused spouse may not, contrary to his client’s wishes, make a report to the Cabinet for Human Resources since KRS Chapter 209 neither requires nor permits a lawyer to breach the confidence between himself and his client. OAG 83-367 .

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Graham, Implementing Custody Mediation in Family Court: Some Comments on the Jefferson County Family Court Experience, 81 Ky. L.J. 1107 (1992-93).

Paquin, The Development and Organization of Domestic Relations Mediation in a Multi-Function Mediation Center in Kentucky, 81 Ky. L.J. 1133 (1992-93).

Essay, The Mandatory Reporting of Adult Victims of Violence: Perspectives From the Field, 90 Ky. L.J. 1071 (2001-02).

Treatises

Petrilli, Kentucky Family Law, Actions, § 17.15.

209.032. Query as to whether prospective or current employee has validated substantiated finding of adult abuse, neglect, or exploitation — Administrative regulations — Central registry of substantiated findings made on or after July 15, 2014.

  1. As used in this section:
    1. “Employee” means a person who:
      1. Is hired directly or through a contract by a vulnerable adult services provider who has duties that involve or may involve one-on-one contact with a patient, resident, or client; or
      2. Is a volunteer who has duties that are equivalent to the duties of an employee providing direct services and the duties involve, or may involve, one-on-one contact with a patient, resident, or client;
    2. “Validated substantiated finding of adult abuse, neglect, or exploitation” means that the cabinet has:
      1. Entered a final order concluding by a preponderance of the evidence that an individual has committed adult abuse, neglect, or exploitation against a different adult for whom the individual was providing care or services as an employee or otherwise with the expectation of compensation;
      2. The individual has been afforded an opportunity for an administrative hearing under procedures compliant with KRS Chapter 13B, and an appeal to the Circuit Court of the county where the abuse, neglect, or exploitation is alleged to have occurred or, if the individual consents, to the Franklin Circuit Court; and
      3. That any appeal, including the time allowed for filing an appeal, has concluded or expired; and
    3. “Vulnerable adult service provider” means:
      1. Adult day health care program centers as defined in KRS 216B.0441 ;
      2. Adult day training facilities;
      3. Assisted-living communities as defined in KRS 194A.700 ;
      4. Boarding homes as defined in KRS 216B.300 ;
      5. Group homes for individuals with an intellectual disability and developmentally disabled (ID/DD);
      6. Home health agencies as defined in KRS 216.935 ;
      7. Hospice programs or residential hospice facilities licensed under KRS Chapter 216B;
      8. Long-term-care hospitals as defined in 42 U.S.C. sec. 1395 ww(d)(1)(B)(iv);
      9. Long-term-care facilities as defined in KRS 216.510 ;
      10. Personal services agencies as defined in KRS 216.710 ;
      11. Providers of home and community-based services authorized under KRS Chapter 205, including home and community based waiver services and supports for community living services; and
      12. State-owned and operated psychiatric hospitals.
  2. A vulnerable adult services provider shall query the cabinet as to whether a validated substantiated finding of adult abuse, neglect, or exploitation has been entered against an individual who is a bona fide prospective employee of the provider. The provider may periodically submit similar queries as to its current employees and volunteers. The cabinet shall reply to either type of query only that it has or has not entered such a finding against the named individual.
  3. An individual may query the cabinet as to whether the cabinet’s records indicate that a validated substantiated finding of adult abuse, neglect, or exploitation has been entered against him or her. The cabinet shall reply only that it has or has not entered such a finding against the named individual, although this limitation shall not be construed to prevent the individual who is the subject of the investigation from obtaining cabinet records under other law, including the Kentucky Open Records Act. An individual making a query under this subsection may direct that the results of the query be provided to an alternative recipient seeking to utilize the care or services of the querying individual.
  4. Every cabinet investigation of adult abuse, neglect, or exploitation committed by an employee or a person otherwise acting with the expectation of compensation shall be conducted in a manner affording the individual being investigated the level of due process required to qualify any substantiated finding as a validated substantiated finding of adult abuse, neglect, or exploitation.
  5. The cabinet shall promulgate administrative regulations to implement the provisions of this section. Included in these administrative regulations shall be:
    1. An error resolution process allowing an individual whose name is erroneously reported to have been the subject of a validated substantiated finding of adult abuse, neglect, or exploitation to request the correction of the cabinet’s records; and
    2. A designation of the process by which queries may be submitted in accordance with this section, which shall require that the queries be made using a secure methodology and only by providers and persons authorized to submit a query under this section.
  6. If the cabinet does not respond to a query under subsection (2) of this section within twenty-four (24) hours and a vulnerable adult services provider hires or utilizes an employee provisionally, the provider shall not be subject to liability solely on the basis of hiring or utilizing the employee before having received the cabinet’s response.
  7. This section shall only apply to instances of abuse, neglect, or exploitation substantiated on or after July 15, 2014, which shall be compiled into a central registry for the purpose of queries submitted under this section.

History. Enact. Acts 2014, ch. 110, § 1, effective July 15, 2014.

209.035. Cabinet’s authority to promulgate administrative regulations on general adult services.

The cabinet shall promulgate administrative regulations for the provision of general adult services to include uniform criteria for adult intake and appropriate and necessary service provision.

History. Enact. Acts 1998, ch. 370, § 7, effective July 15, 1998.

209.040. Remedies — Injunctive relief.

Any court may upon proper application by the cabinet issue a restraining order or other injunctive relief to prohibit any violation of this chapter, regardless of the existence of any other remedy at law.

History. Enact. Acts 1976, ch. 157, § 5; 1980, ch. 372, § 4, effective July 15, 1980.

Legislative Research Commission Notes.

(11/9/93). A prior reference to the “department” in this statute was changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.050. Immunity from civil or criminal liability.

Anyone acting upon reasonable cause in the making of any report or investigation or participating in the filing of a petition to obtain injunctive relief or emergency protective services for an adult pursuant to this chapter, including representatives of the cabinet in the reasonable performance of their duties in good faith, and within the scope of their authority, shall have immunity from any civil or criminal liability that might otherwise be incurred or imposed. Any such participant shall have the same immunity with respect to participation in any judicial proceeding resulting from such report or investigation and such immunity shall apply to those who render protective services in good faith pursuant either to the consent of the adult or to court order.

History. Enact. Acts 1976, ch. 157, § 6; 1980, ch. 372, § 9, effective July 15, 1980.

Legislative Research Commission Notes.

(11/9/93). A prior reference to the “department” in this statute was changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.060. Privileged relationships not ground for excluding evidence.

Neither the psychiatrist-patient privilege nor the husband-wife privilege shall be a ground for excluding evidence regarding the abuse, neglect, or exploitation of an adult or the cause thereof in any judicial proceeding resulting from a report pursuant to this chapter.

History. Enact. Acts 1976, ch. 157, § 7.

NOTES TO DECISIONS

1.Cases of Abuse.

A privilege designed to preserve marriages should not apply to cases where violence has replaced marital harmony. Dawson v. Commonwealth, 867 S.W.2d 493, 1993 Ky. App. LEXIS 159 (Ky. Ct. App. 1993).

In cases of abuse, the privilege may not be used to shield an abuser; therefore, an abused wife had no right to refuse to testify. Dawson v. Commonwealth, 867 S.W.2d 493, 1993 Ky. App. LEXIS 159 (Ky. Ct. App. 1993).

Research References and Practice Aids

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

209.070. Prohibitions. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1976, ch. 157, § 8) was repealed by Acts 1980, ch. 372, § 12, effective July 15, 1980.

Section 146 of Acts 1982, ch. 141, effective July 1, 1982, repealed Acts 1980, ch. 396, § 72, which purportedly would have amended this section effective July 1, 1982.

Legislative Research Commission Notes.

This section was amended in Acts 1980, ch. 396, § 72 and repealed in Acts 1980, ch. 372, § 12. The repeal prevails as it was the later enactment.

209.080. Title.

This chapter may be cited as the Kentucky Adult Protection Act.

History. Enact. Acts 1976, ch. 157, § 1.

209.090. Legislative intent.

The General Assembly of the Commonwealth of Kentucky recognizes that some adults of the Commonwealth are unable to manage their own affairs or to protect themselves from abuse, neglect, or exploitation. Often such persons cannot find others able or willing to render assistance. The General Assembly intends, through this chapter, to establish a system of protective services designed to fill this need and to assure their availability to all adults. It is also the intent of the General Assembly to authorize only the least possible restriction on the exercise of personal and civil rights consistent with the person’s needs for services, and to require that due process be followed in imposing such restrictions.

History. Enact. Acts 1980, ch. 372, § 1, effective July 15, 1980.

NOTES TO DECISIONS

1.No Palpable Error.

Prosecutor’s reading from KRS 209.090 did not constitute palpable error because the Commonwealth was simply responding to defendant’s argument that the statute prohibiting exploitation of adults was only aimed at protecting adults who did not have their mental facilities about them. Roach v. Commonwealth, 313 S.W.3d 101, 2010 Ky. LEXIS 123 ( Ky. 2010 ).

Research References and Practice Aids

Northern Kentucky Law Review.

Quarm and Schwartz, Legal Reform and the Criminal Court: The Case of Domestic Violence, 10 N. Ky. L. Rev. 199 (1983).

209.100. Emergency protective services.

  1. If an adult lacks the capacity to consent to receive protective services in an emergency, these services may be ordered by a court on an emergency basis through an order pursuant to KRS 209.110 , provided that:
    1. The adult is in a state of abuse or neglect and an emergency exists;
    2. The adult is in need of protective services;
    3. The adult lacks the capacity to consent and refuses to consent to such services; and
    4. No person authorized by law or court order to give consent for the adult is available to consent to emergency protective services or such person refuses to give consent.
  2. In ordering emergency protective services, the court shall authorize only that intervention which it finds to be the least restrictive of the individual’s liberty and rights while consistent with his welfare and safety.

History. Enact. Acts 1980, ch. 372, § 5, effective July 15, 1980; 1998, ch. 370, § 3, effective July 15, 1998.

209.110. Petition — Guardian ad litem — Summons — Notice — Hearing — Report to court — Fee.

  1. A petition by the cabinet for emergency protective services shall be verified by an authorized representative of the cabinet and shall set forth the name, age, and address of the adult in need of protective services; the nature of the disability of the adult, if determinable; the proposed protective services; the petitioner’s reasonable belief, together with the facts supportive thereof, as to the existence of the facts, and the facts showing the petitioner’s attempts to obtain the adult’s consent to the services and the outcomes of such attempts. The petition and all subsequent court documents shall be entitled: “In the interest of  . . . . . , an adult in need of protective services.” The petition shall be filed in the court of the adult’s residence, or if filed pursuant to KRS 209.130 , the court of the county in which the adult is physically located.
  2. When a petition for emergency protective services is filed, the court or the clerk shall immediately appoint a guardian ad litem to represent the interest of the adult. The duties of a guardian ad litem representing an adult for whom a petition for emergency protective services has been filed shall include personally interviewing the adult, counseling with the adult with respect to this chapter, informing him of his rights and providing competent representation at all proceedings, and such other duties as the court may order.
  3. Following the filing of a petition, a summons shall be issued and served with a copy of the petition, and notice of the time, date and location of the hearing to be held on the petition. Service shall be made upon the adult and his guardian or, if none, his caretaker. Should the adult have no guardian or caretaker, service shall be made upon the adult’s guardian ad litem. Notice of the hearing shall be given to the adult’s spouse, or, if none, to his adult children or next of kin, unless the court is satisfied that notification would be impractical. Service shall not be made upon any person who is believed to have perpetrated the abuse, neglect, or exploitation. Service of the petition shall be made at least three (3) calendar days prior to the hearing for emergency protective services.
  4. The hearing on the petition for an emergency order for protective services shall be heard under the following conditions:
    1. The hearing on the petition, in the interests of expedition, may be held in any county within the judicial district or circuit served by the court. The court shall give priority to the holdings of the hearings pursuant to petitions filed under this chapter;
    2. The adult or his representative may present evidence and cross-examine witnesses; and
    3. The adult or his representative may petition the court to have any order which is entered pursuant to this chapter, set aside or modified for good cause.
  5. Where protective services are rendered on the basis of an order pursuant to this section, the cabinet shall submit a report to the court describing the circumstances including the name, place, date, and nature of the services. Such report shall be made at least once or on a monthly basis if protective services are provided the adult for a period of longer than one (1) month.
  6. The fee of the guardian ad litem shall be paid by the cabinet not to exceed three hundred dollars ($300). This fee is not to be paid to attorneys employed by government funded legal services programs.

History. Enact. Acts 1980, ch. 372, § 6, effective July 15, 1980; 1982, ch. 141, § 66, effective July 1, 1982; 2005, ch. 132, § 5, effective June 20, 2005.

Legislative Research Commission Notes.

(11/9/93). Prior references to the “department” in this statute were changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.115. Disqualification from serving in fiduciary capacity for felony conviction under KRS Chapter 209.

  1. Any person convicted of a felony under this chapter shall be disqualified from being appointed or serving as a guardian, limited guardian, conservator, limited conservator, executor, administrator, fiduciary, personal representative, attorney-in-fact, or health care surrogate as to the victim of the offense or the victim’s estate. The sentencing judge shall inform the defendant of the provisions of this section at sentencing.
  2. Any interested person or entity, as that phrase is defined in KRS 387.510 , shall have standing to contest the appointment or continued service of a person subject to the prohibition established in subsection (1) of this section.
  3. Actions of a guardian, limited guardian, conservator, limited conservator, executor, administrator, fiduciary, personal representative, attorney-in-fact, or health care surrogate disqualified from acting in that capacity due to the provisions of subsection (1) of this section shall remain valid as to third parties acting in good faith and without knowledge of the person’s disqualification.

History. Enact. Acts 2011, ch. 43, § 5, effective June 8, 2011.

209.120. Findings by court — Limitations of court’s power — Termination of order.

  1. Upon petition by the cabinet a court may issue an order authorizing the provision of emergency protective services to an adult after a hearing and upon a finding based on a preponderance of the evidence that:
    1. The adult is in a state of abuse, neglect, or exploitation and is living in conditions which present a substantial risk of death or immediate and serious physical harm to himself or others;
    2. The adult is in need of protective services;
    3. The adult lacks the capacity to consent to such services; and
    4. No person authorized by law or court order to give consent for the adult is available to consent to protective services or such person refuses to give consent.
  2. In issuing an emergency order the court shall adhere to the following limitations:
    1. Only such protective services, including medical and surgical care and protective placement, as are necessary to remove the conditions creating the emergency shall be covered, and the court shall specifically designate the approved services in its order. Such designation of approved services shall be deemed to be the consent of the court authorizing the provision of such services.
    2. Protective services authorized by the court shall not include hospitalization or protective placement unless the court specifically finds such action is necessary and gives specific approval for such action in its order.
    3. The issuance of an emergency order shall not deprive the adult of any rights except to the extent validly provided for in the order.
    4. To implement an order, the court may authorize forcible entry of the premises of the adult for the purpose of rendering protective services or transporting the adult to another location for the provision of such services. Authorized forcible entry shall be accomplished by a peace officer accompanied by a representative of the cabinet.
  3. If the court finds, pursuant to a hearing, that the adult is in need of protective services, and should that adult have a guardian who has been derelict in providing for the welfare of the adult, the court shall have the discretion to remove the guardian and appoint another guardian, if an individual is available, willing, and able to function as guardian; such removal and appointment shall be in compliance with the provisions of KRS Chapter 387. It is not necessary for the court to find a guardian has been derelict as a requirement for the issuance of an order for protective services.
  4. If the court finds that protective services are no longer needed by the adult, the court shall order the emergency protective services to terminate.

History. Enact. Acts 1980, ch. 372, § 7, effective July 15, 1980; 1982, ch. 141, § 67, effective July 1, 1982; 1998, ch. 370, § 4, effective July 15, 1998.

Legislative Research Commission Notes.

(11/9/93). Prior references to the “department” in this statute were changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.130. Ex parte order of court — Implementation.

  1. When from an affidavit or sworn testimony of an authorized representative of the cabinet, it appears probable that an adult will suffer immediate and irreparable physical injury or death if protective services are not immediately provided, and it appears that the adult is incapable of giving consent, the court may assume jurisdiction and issue an ex parte order providing that certain specific protective services be provided the adult. The court shall not authorize such protective services except those specifically designed to remove the adult from conditions of immediate and irreparable physical injury or death. A copy of the order shall be served upon the adult and his guardian, or if none, his caretaker. Service shall not be made upon the person or caretaker who is believed to have perpetrated the abuse, neglect, or exploitation.
  2. To implement an ex parte order, the court may authorize forcible entry of the premises of the adult for the purpose of rendering protective services or transporting the adult to another location for the provision of such services. Authorized forcible entry shall be accomplished by a peace officer accompanied by a representative of the cabinet.
  3. Upon the issuance of an ex parte order, the cabinet must file a petition as soon as possible. A hearing must be held within seventy-two (72) hours, exclusive of Saturdays and Sundays, from the issuance of an ex parte order.

History. Enact. Acts 1980, ch. 372, § 8, effective July 15, 1980; 1982, ch. 141, § 68, effective July 1, 1982; 2005, ch. 132, § 6, effective June 20, 2005.

Legislative Research Commission Notes.

(11/9/93). Prior references to the “department” in this statute were changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.140. Confidentiality of information.

All information obtained by the department staff or its delegated representative, as a result of an investigation made pursuant to this chapter, shall not be divulged to anyone except:

  1. Persons suspected of abuse or neglect or exploitation, provided that in such cases names of informants may be withheld, unless ordered by the court;
  2. Persons within the department or cabinet with a legitimate interest or responsibility related to the case;
  3. Other medical, psychological, or social service agencies, or law enforcement agencies that have a legitimate interest in the case;
  4. Cases where a court orders release of such information; and
  5. The alleged abused or neglected or exploited person.

History. Enact. Acts 1980, ch. 372, § 10, effective July 15, 1980.

Legislative Research Commission Notes.

(11/9/93). Prior references to the “bureau” and the “department” in this statute were changed to “department” and “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

NOTES TO DECISIONS

1.Nonprofit advocates

Nonprofit corporation that advocated for children and adults with mental disabilities and their families was not a social service agency for purposes of Ky. Rev. Stat. Ann. § 209.140(3), and thus, was not entitled to the Cabinet for Health and Family Services' confidential investigation records, where it was not an agency, and the statute required a direct stake in the cases at issue, not just a generalized interest. Council on Developmental Disabilities, Inc. v. Cabinet for Health & Family Servs., 473 S.W.3d 597, 2015 Ky. LEXIS 1857 ( Ky. 2015 ), modified, 2015 Ky. LEXIS 2025 (Ky. Dec. 17, 2015), modified, 2015 Ky. LEXIS 2079 (Ky. Dec. 17, 2015).

Opinions of Attorney General.

This section and KRS 61.878(1)(j) operate in tandem in authorizing the Department of Social Services to withhold information compiled in the course of an investigation of adult abuse except for release to persons suspected of abuse, neglect, or exploitation. OAG 91-230 .

The Department for Social Services improperly denied the Kentucky Board of Nursing’s Credentials Consultant’s request for a report prepared by the Department in the course of its investigation into suspected adult abuse pursuant to this section, which is incorporated into the Open Records Act by operation of subdivision (1)(k) of KRS 61.878 . OAG 93-ORD-131.

Cabinet for Health Service properly relied on KRS 61.872(6) and 61.878(1)(a), (k) and ( l ) and various confidentiality provisions found in both state ( KRS 209.140 , 210.235 , 214.420 , 214.625 and 620.050 ) and federal law, in denying request for inspection of all nursing facility licensure inspection reports for a two year period where the Cabinet sustained the burden of showing that such request was an unreasonable burden on the Cabinet in describing with specificity the actual volumes of records implicated by the request and where the exemptions to disclosure provided by the state and federal law were mandatory and the difficulty of separation of confidential from releasable information constituted an unreasonable burden. 97-ORD-88.

Under the express terms of KRS 209.140 , the Cabinet must withhold all information acquired as a result of an investigation conducted pursuant to that chapter unless the requester can demonstrate that he or she falls within one of the excepted categories codified at KRS 209.140 . Neither an executrix or a representative of the alleged abused or neglected or exploited person fall within an excepted category set forth in KRS 209.140. Thus, the Cabinet properly denied the request. OAG 03-ORD-194.

Cabinet for Health and Family Services violated the Open Records Act in denying administratrix’s request for a copy of investigative report prepared by the Cabinet following the death of the administratrix’s mother in a nursing home; OAG 03-ORD-194 overruled. OAG 06-ORD-048.

Resolution of this issue turns on the proper interpretation of the phrase “applicable law” appearing in 45 CFR 164.502(g)(4). KRS 209.140 does not vest an executor, administrator, or any other person with authority to act on behalf of a deceased individual or the individual’s estate, but is instead a confidentiality provision the terms of which are engrafted upon the Open Records law by operation of KRS 61.878(1)( l ). It is KRS Chapter 395 that grants authority to act on behalf of a deceased individual or of the individual’s estate, and that law, operating in tandem with 45 CFR 164.502(g)(4), requires the Cabinet to accord the requester, as her mother’s personal representative, the same treatment it would have accorded her mother. As the mother would have been entitled to a copy of the report per KRS 209.140 (5), so the requester is entitled to a copy. To the extent that OAG 2003-ORD-194 is inconsistent with this view, it is hereby overruled. OAG 2006-ORD-048.

209.150. Who may make criminal complaint.

Any representative of the cabinet acting officially in that capacity, any person with personal knowledge of the abuse or neglect, or exploitation of an adult by a caretaker, or an adult who has been abused or neglected or exploited shall have standing to make a criminal complaint.

History. Enact. Acts 1980, ch. 372, § 11, effective July 15, 1980.

Legislative Research Commission Notes.

(11/9/93). A prior reference to the “department” in this statute was changed to “cabinet” pursuant to 1982 Ky. Acts ch. 393, sec. 50(5), and KRS 7.136(2).

209.160. Spouse abuse shelter fund — Department of Revenue to administer — Cabinet for Health and Family Services to use — Primary service providers. [Renumbered]

History. Enact. Acts 1982, ch. 161, § 2, effective July 15, 1982; 1992, ch. 338, § 18, effective July 14, 1992; 1994, ch. 428, § 35, effective July 15, 1994; 1998, ch. 426, § 240, effective July 15, 1998; 2005, ch. 85, § 624, effective June 20, 2005; 2005, ch. 99, § 295, effective June 20, 2005; 2005, ch. 132, § 28, effective June 20, 2005; was renumbered to be § 209.160 , by 2017, ch. 191, § 13, effective June 29, 2017.

Compiler’s Notes.

This section was renumbered as KRS 209A.045 effective June 29, 2017.

209.170. Staffing requirements.

The Cabinet for Health and Family Services shall provide for sufficient social worker staff to implement the provisions of this chapter. This staff shall obtain the training provided under KRS 194A.545 .

History. Enact. Acts 2005, ch. 132, § 4, effective June 20, 2005.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

209.180. Prosecution of adult abuse, neglect, and exploitation.

  1. If adequate personnel are available, each Commonwealth’s attorney’s office and each county attorney’s office shall have an attorney trained in adult abuse, neglect, and exploitation.
  2. Commonwealth’s attorneys and county attorneys, or their assistants, shall take an active part in interviewing the adult alleged to have been abused, neglected, or exploited, and shall inform the adult about the proceedings throughout the case.
  3. If adequate personnel are available, Commonwealth’s attorneys and county attorneys shall provide for an arrangement that allows one (1) lead prosecutor to handle the case from inception to completion to reduce the number of persons involved with the adult victim.
  4. Commonwealth’s attorneys, county attorneys, cabinet representatives, and other members of multidisciplinary teams shall minimize the involvement of the adult in legal proceedings, avoiding appearances at preliminary hearings, grand jury hearings, and other proceedings when possible.
  5. Commonwealth’s attorneys, county attorneys, and victim advocates employed by Commonwealth’s attorneys or county attorneys shall make appropriate referrals for counseling, private legal services, and other appropriate services to ensure the future protection of the adult when a decision is made not to prosecute the case. The Commonwealth’s attorney or county attorney shall explain the decision not to prosecute to the family or guardian, as appropriate, and to the adult victim.

History. Enact. Acts 2005, ch. 132, § 7, effective June 20, 2005.

209.190. Prosecutor’s manual.

The Attorney General, in consultation with legal, victim services, victim advocacy, and mental health professionals with an expertise in crimes against the elderly, shall develop a prosecutor’s manual for Commonwealth’s attorneys and county attorneys establishing the policies and procedures for the prosecution of crimes against the elderly. The manual shall be completed no later than January 1, 2006, and shall be revised by July 31 of every even-numbered year after 2007. The Attorney General shall distribute a copy of the manual to every Commonwealth’s attorney and county attorney.

History. Enact. Acts 2005, ch. 132, § 9, effective June 20, 2005.

209.195. Electronic development of and access to educational and training courses and materials.

Educational and training courses and materials required under KRS 15.760 , 21A.170 , 69.350 , 194A.540 , and 194A.545 may be developed and accessed by computer, Internet, or other electronic technology. Agencies are encouraged to post and maintain the programs on their Web sites.

History. Enact. Acts 2005, ch. 132, § 19, effective June 20, 2005.

209.200. Assisted living residences — Requirements for certification — Procedures. [Repealed.]

Compiler’s Notes.

This section (Enact. Acts 1996, ch. 351, § 1, effective July 15, 1996) was repealed by Acts 2000, ch. 141, § 19, effective July 14, 2000. For present law, see KRS 194A.700 et seq.

Legislative Research Commission Notes.

(7/14/2000). Under KRS 446.260 , the repeal of this section in 2000 Ky. Acts ch. 141 prevails over its amendment in 2000 Ky. Acts ch. 43.

Senior and Physically Disabled Adult Discount Program

209.400. Legislative intent. [Repealed]

HISTORY: Enact. Acts 1980, ch. 238, § 1, effective July 15, 1980; 1980, ch. 406, § 1, effective July 15, 1980; 1988, ch. 51, § 1, effective July 15, 1988; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

209.410. Definitions. [Repealed]

HISTORY: Enact. Acts 1980, ch. 238, § 2, effective July 15, 1980; 1980, ch. 406, § 2, effective July 15, 1980; 1988, ch. 51, § 2, effective July 15, 1988; 1990, ch. 248, § 1, effective July 13, 1990; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

209.420. Senior and Physically Disabled Adult Discount Program for retail goods and services. [Repealed]

HISTORY: Enact. Acts 1980, ch. 238, § 3, effective July 15, 1980; 1980, ch. 406, § 3, effective July 15, 1980; 1988, ch. 51, § 3, effective July 15, 1988; 1990, ch. 248, § 2, effective July 13, 1990; 1998, ch. 426, § 241, effective July 15, 1998; 2005, ch. 99, § 296, effective June 20, 2005; repealed by 2018 ch. 112, § 19, effective July 14, 2018.

Senior Games

209.500. Kentucky Senior Games Program.

The Kentucky Senior Games Program is hereby created within the Department for Aging and Independent Living of the Cabinet for Health and Family Services. The program shall develop a year-round recreation, fitness, and health promotion program for Kentuckians fifty-five (55) years of age or older which shall provide a network of local competition and participation that culminates in a senior games state final.

History. Enact. Acts 1994, ch. 427, § 5, effective July 15, 1994; 1998, ch. 426, § 242, effective July 15, 1998; 2000, ch. 6, § 27, effective July 14, 2000; 2005, ch. 99, § 297, effective June 20, 2005; 2007, ch. 24, § 17, effective June 26, 2007.

Immunization in Long-Term Care Facilities

209.550. Definitions for KRS 209.550 to 209.554.

As used in KRS 209.550 to 209.554 , unless the context requires otherwise:

  1. “Commissioner” means the commissioner of the department;
  2. “Department” means the Department for Public Health;
  3. “Documentation” means written evidence from an individual’s health care provider that indicates the date and place the individual received the influenza vaccine or the pneumococcal vaccine;
  4. “Employee” means an individual who is employed, directly or by contract, with another entity, on a part-time or full-time basis;
  5. “Medically contraindicated” describes a situation in which the influenza or pneumococcal vaccine should not be administered to an individual because of a condition that the individual has that will be detrimental to the individual’s health if the individual receives the vaccine; and
  6. “Long-term care facility” has the same meaning as in KRS 216.510 , except that for purposes of KRS 209.550 to 209.554 , “long-term care facility” does not include family-care homes or personal-care homes.

History. Enact. Acts 2002, ch. 151, § 1, effective July 15, 2002.

209.552. Immunization against pneumococcal disease and influenza — Documentation — Immunization of employees.

  1. Every long-term care facility shall require residents to be immunized against pneumococcal disease and influenza. Upon admission, the long-term care facility shall:
    1. Notify the resident of the requirements of this section and request that the resident agree to be immunized against pneumococcal disease and influenza virus;
    2. Assess the resident’s immunization status for influenza virus and pneumococcal disease;
    3. Counsel each resident on the risks of influenza and pneumococcal disease; the efficacy, side effects, and contraindications of these immunizations; and the recommendations of the Centers for Disease Control prior to administration of the vaccines; and
    4. Provide or arrange for immunizations against pneumococcal and influenza in accordance with the recommendations of the Advisory Committee on Immunization Practices of the Centers for Disease Control, unless medically contraindicated, if the resident or long-term care facility does not have documentation of the immunization.
  2. Every long-term care facility shall document immunization against influenza virus every influenza season, by October 15 or upon admission, whichever comes later, and pneumococcal immunization for each resident. Upon finding that a resident lacks either of these immunizations, the facility shall provide or arrange for the immunization in accordance with the recommendations of the Advisory Committee on Immunization Practices of the Centers for Disease Control, unless medically contraindicated.
  3. Every long-term care facility shall require each employee, regardless of employment status, to be immunized against pneumococcal and influenza virus. Upon employment, the long-term care facility shall:
    1. Notify the employee of the requirements of this section and request that the employee agree to be immunized against pneumococcal disease and influenza virus;
    2. Assess the employee’s immunization status for influenza virus and pneumococcal disease;
    3. Counsel each employee on the risks of influenza and pneumococcal disease; the efficacy, side effects, and contraindications of these immunizations; and the recommendations of the Centers for Disease Control prior to administration of the vaccines; and
    4. Provide or arrange for immunizations against pneumococcal and influenza in accordance with the recommendations of the Advisory Committee on Immunization Practices of the Centers for Disease Control, unless medically contraindicated, if the employee or the long-term care facility does not have documentation of the appropriate immunizations.
  4. Every long-term care facility shall document immunization against influenza virus every influenza season, by October 15 or upon employment, whichever comes later, and pneumococcal immunization for each employee. Upon finding that an employee lacks either of these immunizations, the facility shall provide or arrange for immunization in accordance with the recommendations of the Advisory Committee on Immunization Practices of the Centers for Disease Control, unless medically contraindicated.
  5. The provisions of this section shall not apply if:
    1. The vaccine is medically contraindicated;
    2. The employee, resident, or resident’s legal guardian objects to the immunizations due to religious beliefs; or
    3. The employee or resident refuses the vaccine after being fully informed of the health risks.

History. Enact. Acts 2002, ch. 151, § 2, effective July 15, 2002; 2020 ch. 36, § 15, effective July 15, 2020.

209.554. Administrative regulations — Educational literature — Information available on request.

  1. The commissioner of the department shall implement the provisions of KRS 209.550 to 209.554 through the promulgation of administrative regulations under KRS Chapter 13A.
  2. The department shall make educational literature that describes the risks of influenza and pneumococcal disease; the efficacy, side effects, and contraindications of these immunizations; and the recommendations from the Centers for Disease Control available to every long-term care facility.
  3. The commissioner of the department shall make available upon request the number of outbreaks in long-term care facilities for each year due to influenza virus and pneumococcal disease and the number of hospitalizations of long-term care facility residents due to influenza virus, pneumococcal disease, and associated complications.

History. Enact. Acts 2002, ch. 151, § 3, effective July 15, 2002; 2017 ch. 80, § 38, effective June 29, 2017; 2020 ch. 36, § 16, effective July 15, 2020.

Penalties

209.990. Penalties.

  1. Anyone knowingly or wantonly violating the provisions of KRS 209.030(2) shall be guilty of a Class B misdemeanor as designated in KRS 532.090 . Each violation shall constitute a separate offense.
  2. Any person who knowingly abuses or neglects an adult is guilty of a Class C felony.
  3. Any person who wantonly abuses or neglects an adult is guilty of a Class D felony.
  4. Any person who recklessly abuses or neglects an adult is guilty of a Class A misdemeanor.
  5. Any person who knowingly exploits an adult, resulting in a total loss to the adult of more than three hundred dollars ($300) in financial or other resources, or both, is guilty of a Class C felony.
  6. Any person who wantonly or recklessly exploits an adult, resulting in a total loss to the adult of more than three hundred dollars ($300) in financial or other resources, or both, is guilty of a Class D felony.
  7. Any person who knowingly, wantonly, or recklessly exploits an adult, resulting in a total loss to the adult of three hundred dollars ($300) or less in financial or other resources, or both, is guilty of a Class A misdemeanor.
  8. If a defendant is sentenced under subsection (5), (6), or (7) of this section and fails to return the victim’s property as defined in KRS 218A.405 within thirty (30) days of an order by the sentencing court to do so, or is thirty (30) days or more delinquent in a court-ordered payment schedule, then the defendant shall be civilly liable to the victim of the offense or the victim’s estate for treble damages, plus reasonable attorney fees and court costs. Any interested person or entity, as defined in KRS 387.510 , shall have standing to bring a civil action on the victim’s behalf to enforce this section. The sentencing judge shall inform the defendant of the provisions of this subsection at sentencing.

History. Enact. Acts 1976, ch. 157, § 9; 1980, ch. 372, § 11, effective July 15, 1980; 1986, ch. 56, § 2, effective July 15, 1986; 1998, ch. 249, § 1, effective July 15, 1998; 1998, ch. 370, § 5, effective July 15, 1998; 2005, ch. 132, § 8, effective June 20, 2005; 2011, ch. 43, § 1, effective June 8, 2011.

NOTES TO DECISIONS

1.Distinguished from Criminal Abuse.

While first-degree criminal abuse pursuant to KRS 508.100 is committed where one having custody of a person allows another to abuse that person, the offense established by subsection (2) of this section appears to contemplate either the infliction of physical pain or injury on the adult victim by the caretaker himself, or by someone acting at his instigation, or the deliberate deprivation by the caretaker of services necessary to maintain the health and welfare of the victim. Morris v. Commonwealth, 783 S.W.2d 889, 1990 Ky. App. LEXIS 24 (Ky. Ct. App. 1990).

2.Offense Not Found.

The offense of abuse of an adult by a caretaker does not encompass a situation in which the caretaker permits, rather than instigates, a third person to cause injury. Morris v. Commonwealth, 783 S.W.2d 889, 1990 Ky. App. LEXIS 24 (Ky. Ct. App. 1990).

3.Abuse by Caretaker.

There is nothing in subsection (2) of this section or any other authority which provides a defense to a caretaker charged with willful and knowing neglect of compliance with a physician’s orders. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

When a person or institution assumes the role of caretaker, the caretaker is prohibited from inflicting physical pain or injury or mental injury or depriving the adult of any services necessary to maintain his or her health and welfare; to describe every possible situation in which the infliction of pain or injury or the deprivation of necessary services could occur would be pointless and would make the statute unwieldy; subsection (2) of this section and KRS 209.020 provide adequate warning to ordinary persons of the prohibited conduct and are sufficient guides to discourage arbitrary or discriminatory enforcement. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

Where testimony revealed that patient was not rotated enough to prevent bed sores, conviction of licensed caretaker for neglect of adult patient was supported by sufficient evidence. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

4.— Agents of Corporate Caretaker.

Although a corporation can only act through its agents, agents in case at bar included not only three named nurses but live-in aides as well. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

5.Jury Instructions.

It is not beyond the average juror that “knowingly” means with knowledge or that “willfully” means with intent or intention, as these are not technical terms requiring instructions. Caretenders, Inc. v. Commonwealth, 821 S.W.2d 83, 1991 Ky. LEXIS 192 ( Ky. 1991 ).

6.Evidence Sufficient.

Trial court did not err by denying defendant’s motion for a directed verdict on the adult exploitation charge under KRS 209.990 because, despite the undisputed fact that the victim suffered no mental impairment, the evidence was sufficient to show that her physical limitations forced her to seek assistance in managing her affairs. Ample testimony showed that the victim’s limited vision required her to call on others to fill in checks, which she signed herself, and that her awareness of her checking account balance stemmed largely from her son’s or her daughter-in-law’s oral review of the bank statements with her. Roach v. Commonwealth, 313 S.W.3d 101, 2010 Ky. LEXIS 123 ( Ky. 2010 ).

Opinions of Attorney General.

An attorney who knows that his client is an abused spouse would not be subject to the penalty provisions of this section for not reporting an instance of spouse abuse, if his failure to so do is in accordance with his client’s wishes. OAG 83-367 .

Research References and Practice Aids

Cross-References.

Designation of offenses, penalties, see KRS 532.020 .

Sentence of imprisonment for felony, KRS 523.060 .

Sentence of imprisonment for misdemeanor, KRS 532.090 .

Kentucky Law Journal.

Smith, Medical and Psychotherapy Privileges and Confidentiality: On Giving With One Hand and Removing With the Other, 75 Ky. L.J. 473 (1986-87).

Chapter 209A Spousal Abuse or Neglect

209A.010. Purpose of chapter.

The purpose of this chapter is to identify victims of domestic violence and abuse and dating violence and abuse, to link those victims to services, and to provide protective or therapeutic services for those who choose to accept them.

History. Enact. Acts 2005, ch. 132, § 20, effective June 20, 2005; repealed, reenacted, and amended 2017, ch. 191, § 3, effective June 29, 2017.

209A.020. Definitions for chapter.

As used in this chapter, unless the context otherwise requires:

  1. “Cabinet” means the Cabinet for Health and Family Services;
  2. “Dating violence and abuse” has the same meaning as in KRS 456.010 ;
  3. “Domestic violence and abuse” has the same meaning as in KRS 403.720 ;
  4. “Law enforcement officer” means a member of a lawfully organized police unit or police force of county, city, or metropolitan government who is responsible for the detection of crime and the enforcement of the general criminal laws of the state, as well as a sheriff, sworn deputy sheriff, campus police officer, law enforcement support personnel, public airport authority security officer, other public and federal peace officer responsible for law enforcement, special local peace officer appointed pursuant to KRS 61.360 , school resource officer as defined in KRS 158.441 , and any other enforcement officer as defined by law;
  5. “Professional” means a physician, osteopathic physician, coroner, medical examiner, medical resident, medical intern, chiropractor, nurse, dentist, optometrist, emergency medical technician, paramedic, licensed mental health professional, therapist, cabinet employee, child-care personnel, teacher, school personnel, ordained minister or the denominational equivalent, victim advocate, or any organization or agency employing any of these professionals;
  6. “Victim” means an individual who is or has been abused by a spouse or former spouse or an intimate partner who meets the definition of a member of an unmarried couple as defined in KRS 403.720 , or a member of a dating relationship as defined in KRS 456.010 ; and
  7. “Victim advocate” has the same meaning as in KRS 421.570 .

History. Enact. Acts 2005, ch. 132, § 21, effective June 20, 2005; 2007, ch. 85, § 243, effective June 26, 2007; repealed, reenacted, and amended 2017, ch. 191, § 4, effective June 29, 2017; 2019 ch. 5, § 13, effective March 11, 2019.

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

209A.030. Penalty.

A professional knowingly or wantonly violating the provisions of this chapter shall be guilty of a Class B misdemeanor and penalized in accordance with KRS 532.090 . Each violation shall constitute a separate offense.

History. Enact. Acts 2005, ch. 132, § 22, effective June 20, 2005; repealed, reenacted, and amended 2017, ch. 191, § 9, effective June 29, 2017.

209A.040. Cabinet’s authority to promulgate administrative regulations on general adult services. [Repealed]

History. Enact. Acts 2005, ch. 132, § 23, effective June 20, 2005; repealed by 2017 ch. 191, § 16, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 2005, ch. 132, § 23, effective June20, 2005), was repealed by Acts 2017, ch. 191, § 16, effective June 29, 2017.

209A.045. Domestic violence shelter fund — Department of Revenue to administer — Cabinet for Health and Family Services to use — Primary service providers.

  1. There is hereby created a trust and agency account in the State Treasury to be known as the domestic violence shelter fund. Each county clerk shall remit to the fund, by the tenth of the month, ten dollars ($10) from each twenty-four dollars ($24) collected during the previous month from the issuance of marriage licenses. The fund shall be administered by the Department of Revenue. The Cabinet for Health and Family Services shall use the funds for the purpose of providing protective shelter services for domestic violence victims.
  2. The Cabinet for Health and Family Services shall designate one (1) nonprofit corporation in each area development district to serve as the primary service provider and regional planning authority for domestic violence shelter, crisis, and advocacy services in the district in which the designated provider is located.

History. Enact. Acts 1982, ch. 161, § 2, effective July 15, 1982; 1992, ch. 338, § 18, effective July 14, 1992; 1994, ch. 428, § 35, effective July 15, 1994; 1998, ch. 426, § 240, effective July 15, 1998; 2005, ch. 85, § 624, effective June 20, 2005; 2005, ch. 99, § 295, effective June 20, 2005; 2005, ch. 132, § 28, effective June 20, 2005; repealed, reenacted, and renumbered 2017, ch. 191, § 13, effective June 29, 2017.

Compiler’s Notes.

This section was formerly compiled as KRS 209.160 .

Legislative Research Commission Notes.

(6/20/2005). 2005 Ky. Acts chs. 11, 85, 95, 97, 98, 99, 123, and 181 instruct the Reviser of Statutes to correct statutory references to agencies and officers whose names have been changed in 2005 legislation confirming the reorganization of the executive branch. Such a correction has been made in this section.

209A.050. Immunity from civil or criminal liability for acting upon reasonable cause.

Anyone acting upon reasonable cause in complying with the provisions of this chapter shall have immunity from any civil or criminal liability that might otherwise be incurred or imposed. Any such participant shall have the same immunity with respect to participation in any judicial proceeding resulting from such compliance.

History. Enact. Acts 2005, ch. 132, § 24, effective June 20, 2005; repealed, reenacted, and amended 2017, ch. 191, § 10, effective June 29, 2017.

209A.060. Privileged relationships not ground for excluding evidence.

Neither the psychotherapist-patient privilege nor the husband-wife privilege shall be a ground for excluding evidence regarding the domestic violence and abuse or dating violence and abuse or the cause thereof in any judicial proceeding resulting from a report pursuant to this chapter.

History. Enact. Acts 2005, ch. 132, § 25, effective June 20, 2005; repealed, reenacted, and amended 2017, ch. 191, § 11, effective June 29, 2017.

209A.070. Confidentiality of the identity of domestic violence program clients or former clients.

All information that identifies a current or former client of a domestic violence program is confidential and shall not be disclosed by any person except as provided by law. The cabinet shall have access to client information relating to any domestic violence program for the limited purpose of monitoring the program.

History. Enact. Acts 2005, ch. 132, § 26, effective June 20, 2005; repealed, reenacted, and amended 2017, ch. 191, § 12, effective June 29, 2017.

209A.080. Confidentiality of spousal abuse or neglect investigation information — Exceptions. [Repealed]

History. Enact. Acts 2005, ch. 132, § 27, effective June 20, 2005; repealed by 2017 ch. 191, § 16, effective June 29, 2017.

Compiler’s Notes.

This section (Enact. Acts 2005, ch. 132, § 27, effective June 20, 2005), was repealed by Acts 2017, ch. 191, § 16, effective June 29, 2017.

209A.100. Report by professional of act of domestic violence and abuse or dating violence and abuse to law enforcement.

  1. Upon the request of a victim, a professional shall  report an act of domestic violence and abuse or dating violence and  abuse to a law enforcement officer.
  2. A professional who makes a report under this chapter  shall discuss the report with the victim prior to contacting a law  enforcement officer.

HISTORY: 2017 ch. 191, § 5, effective June 29, 2017.

209A.110. Report by professional to law enforcement concerning belief that client’s or patient’s death is related to domestic violence and abuse or dating violence and abuse.

  1. A professional shall report to a law enforcement officer his or her belief that the death of a victim with whom he or she has had a professional interaction is related to domestic violence and abuse or dating violence and abuse.
  2. Nothing in this chapter shall relieve a professional of the duty pursuant to KRS 620.030 to report any known or suspected abuse, neglect, or dependency of a child.
  3. Nothing in this chapter shall relieve a professional of the duty pursuant to KRS 209.030 to report to the cabinet any known or suspected abuse, neglect, or exploitation of a person eighteen (18) years of age or older who because of mental or physical dysfunction is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others.

HISTORY: 2017 ch. 191, § 6, effective June 29, 2017.

209A.120. Duty of law enforcement to provide assistance as required under KRS 403.785 and 456.090 — Use of JC-3 form.

  1. If a law enforcement officer receives a report of domestic violence and abuse or dating violence and abuse, the officer shall use all reasonable means to provide assistance as required under KRS 403.785 and 456.090 .
  2. A law enforcement officer who responds to a report of domestic violence and abuse or dating violence and abuse shall use the JC-3 form, or its equivalent replacement, as provided by the Justice and Public Safety Cabinet to document any information or injuries related to the domestic violence and abuse or dating violence and abuse.
  3. A completed JC-3 form, or its equivalent replacement, shall be kept in the records of the law enforcement officer’s agency of employment.
  4. If the JC-3 form, or its equivalent replacement, includes information that only relates to a victim as defined in KRS 209A.020 , the form shall not be forwarded to the cabinet.
  5. If the JC-3 form, or its equivalent replacement, includes information on known or suspected child abuse or neglect or the abuse or neglect of an elderly or disabled adult, the form shall be forwarded to the cabinet.

HISTORY: 2017 ch. 191, § 7, effective June 29, 2017.

209A.130. Educational materials to be provided suspected victim of domestic violence and abuse or dating violence and abuse — Availability of online materials.

  1. If a professional has reasonable cause to believe that a victim with whom he or she has had a professional interaction has experienced domestic violence and abuse or dating violence and abuse, the professional shall provide the victim with educational materials related to domestic violence and abuse or dating violence and abuse including information about how he or she may access regional domestic violence programs under KRS 209A.045 or rape crisis centers under KRS 211.600 and information about how to access protective orders.
  2. A nonprofit corporation designated by the cabinet pursuant to KRS 209A.045 as a primary service provider for domestic violence shelter, crisis, and advocacy services in the district in which the provider is located shall make the educational materials required under this section available on its Web site or in print form for professionals to provide to possible victims of domestic violence and abuse or dating violence and abuse.

HISTORY: 2017 ch. 191, § 8, effective June 29, 2017.

Legislative Research Commission Notes.

(6/29/2017). In subsection (1) of this statute, a reference to “ KRS 209.160 ” has been changed to read “ KRS 209A.045 .” Under 2017 Ky. Acts ch. 191, sec. 13, KRS 209.160 was repealed, reenacted, and renumbered as KRS 209A.045 . The Reviser of Statutes has corrected the reference under the authority of KRS 7.136(1)(e).