Title 920 KAR — Cabinet for Health and Family Services

title-920920 KARRegulation

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Chapter 1 Administration

920 KAR 1:060 Protection of human subjects {#sec-920-kar-1-060 omnilex-key=us-ky-regs-official--title-920--920 KAR 1:060}

Section 1. Definitions.

(1) "Board" or "IRB" means the cabinet's Institutional Review Board required by Section 2 of this administrative regulation.

(2) "Cabinet" is defined by KRS 194A.005(1).

(3) "Principal investigator" means the investigator involved in the research project who has responsibility for making decisions regarding the research study.

(4) "Research" is defined by 45 C.F.R. 46.102(d).

Section 2. Institutional Review Board.

(1) An IRB for the Protection of Human Subjects shall be created within the cabinet.

(2) The board shall:

(a) Consist of not less than five (5) nor more than eleven (11) members appointed by the secretary;

(b) Include members from various professional and academic fields including consideration of race, gender, and cultural backgrounds in accordance with 45 C.F.R. 46.107(a);

(c) Include, in accordance with 45 C.F.R. 46.107(c), at least one (1) member each with primary concerns in the following areas:

  1. Scientific; and

  2. Nonscientific;

(d) Include, in accordance with 45 C.F.R. 46.107(d), at least one (1) member who shall not:

  1. Otherwise be affiliated with the cabinet; and

  2. Be part of the immediate family of a person who is affiliated with the cabinet;

(e) Include at least one (1) member designated by the secretary to act as a chair; and

(f) Meet as needed to review a project.

(3) The secretary shall appoint an IRB administrator, within a cabinet department or office, who shall:

(a) Serve as liaison between the board and the U.S. Department of Health and Human Services;

(b) Maintain records in accordance with 45 C.F.R. 46.115;

(c) Conduct a preliminary review of a submitted project;

(d) Determine if a project requires board review in accordance with:

  1. 45 C.F.R. 46.101;

  2. 45 C.F.R. 46.102(d); and

  3. Section 3(1) of this administrative regulation;

(e) Refer to the board a project to which this administrative regulation applies; and

(f) Make recommendations to the board on the disposition of an applicable project.

(4) The commissioner or executive director of the department or office in which the IRB Administrator is appointed shall:

(a) Provide administrative support to the board; and

(b) Assign necessary staff.

Section 3. Project Submission.

(1) A research project involving a human subject shall be submitted by the principal investigator to the board chair or board staff for review if it:

(a) Is conducted, supported financially, endorsed, or approved by the cabinet;

(b) Uses staff or facilities provided by the cabinet;

(c) Involves a present or former client or beneficiary of the cabinet as a subject because of that relationship with the cabinet;

(d) Involves a present or former employee of the cabinet as a subject because of that relationship with the cabinet; or

(e) Involves a cabinet record relating to a present or former client, beneficiary, or employee of the cabinet.

(2) Project submission shall include the following, if applicable:

(a) A completed "Request for Research Activity Approval, Institutional Review Board for the Protection of Human Subjects (IRB), Kentucky Cabinet for Health and Family Services";

(b) A narrative description of the project's purpose and proposed research procedures;

(c) The research instrument to be used;

(d) A narrative description of how subject confidentiality shall be maintained; and

(e) The research subject consent documents to be used.

(3) Unless first approved by the board, modification in the research protocol or design of an approved research project that may increase the level of risk to a subject shall not be implemented.

(a) If an alteration becomes necessary, the principal investigator shall obtain prior approval of the board.

(b) Failure to obtain prior approval of the board may result in suspension or termination of all research activity, depending on whether the failure to obtain prior approval was willful and the severity of the potential increase of the level of risk to a subject.

Section 4. Board Approval.

(1) The board shall review a research project submitted as specified in Section 3(1) of this administrative regulation and not specifically exempted from board review by 45 C.F.R. 46.101(b).

(2) Board approval of a project shall represent a judgment that human subjects are adequately protected, and shall not represent a:

(a) Judgment concerning its ultimate research value; or

(b) Policy decision regarding the value of the research to the cabinet.

(3) Except to provide information requested by the IRB, a member of the board shall not participate in the IRB's initial or continuing review of any project in which the member has a conflicting interest.

(4) A principal investigator may request a reconsideration of an adverse decision by the board by submitting a written request for reconsideration to the chair of the IRB.

(5) The request shall be made within thirty (30) days of the principal investigator's receipt of notification of the adverse decision.

(6) A reconsideration shall be made in the same manner as the initial review.

(7)

(a) The IRB may invite individuals with competence in special areas to assist in the review of issues that require expertise beyond or in addition to that available on the IRB.

(b) These individuals shall not vote with the IRB.

Section 5. Board Responsibilities. The board shall:

(1) In coordination with IRB staff, call a meeting as needed to conduct board business; and

(2) Review and determine disposition of an applicable research project consistent with 45 C.F.R. 46.101 to 46.409.

Section 6. Responsibilities of Principal Investigators.

(1) If a change is made in research design or protocol that affects the level of risk to a subject, confidentiality procedures, or consent procedures, the principal investigator shall submit the change, before implementation, to the board for approval.

(2) The principal investigator shall report to the board:

(a) An unanticipated problem involving a risk to a subject or another individual, as a result of research activity, within ten (10) working days; and

(b)

  1. A research subject death within seven (7) days of the principal investigator's knowledge of a death; and

  2. Whether the death appears likely to be related to participation in the research project.

(3) The principal investigator shall submit to the board:

(a) A copy of final research findings and conclusions; and

(b) An annual report and request for reapproval for a research study that extends beyond one (1) year.

Section 7. Confidentiality.

(1) Research information that identifies an individual subject shall be regarded as confidential in accordance with KRS 194A.060(1), 45 C.F.R. 46.111(a)(7), and 45 C.F.R. 164.512(i) and shall not be disclosed to a person outside the research project staff or published without the subject's prior written authorization.

(2) Raw or summary data may be released if the data does not identify a subject.

Section 8. References. The decision of the board concerning the protection of a human subject shall be in accordance with:

(1) The "Belmont Report Ethical Principles and Guidelines for the Protection of Human Subjects of Research, National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, edition April 18, 1979";

(2) 45 C.F.R. 46.101 through 45 C.F.R. 46.409; and

(3) 45 C.F.R. 164.512(i).

Section 9. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) The "Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research, National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, edition April 18, 1979"; and

(b) "Request for Research Activity Approval, Institutional Review Board for the Protection of Human Subjects (IRB), Kentucky Cabinet for Health and Family Services, edition 1/07".

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Cabinet for Health and Family Services, IRB Administrator, 275 East Main Street, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. through 4:30 p.m.

History

  • RELATES TO: 45 C.F.R. 46.101-46.409, 164.512(i)
  • STATUTORY AUTHORITY: KRS 194A.050(1), 194A.060(1), 45 C.F.R. 46.101(a)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the secretary to promulgate administrative regulations necessary to implement programs mandated by federal law, or to qualify for receipt of federal funds and necessary to cooperate with other state and federal agencies for the proper administration of the cabinet and its agencies. 45 C.F.R. 46.101(a) requires the cabinet to have an Institutional Review Board for the Protection of Human Subjects to protect the rights and welfare of human subjects involved in research. This administrative regulation establishes specific requirements for protecting human subjects involved in research and incorporates by reference applicable publications that establish additional requirements.
  • History: 25 Ky.R. 2740; 26 Ky.R. 66; eff. 8-18-1999; 30 Ky.R. 754; 1294; eff. 11-19-2003; 33 Ky.R. 1743; 2329; eff. 3-1-2007; Crt eff. 7-23-2018; TAm eff. 7-25-2018; Crt eff. 5-19-2025.
920 KAR 1:070 Services for individuals who are deaf, hard of hearing, or speech impaired {#sec-920-kar-1-070 omnilex-key=us-ky-regs-official--title-920--920 KAR 1:070}

Section 1. Definitions.

(1) "Assignment" means interpreting for a client as approved by a cabinet program.

(2) "Cabinet" is defined by KRS 194A.005(1).

(3) "Cabinet program" means a program of service, financial aid, or other benefit administered by the cabinet and provided:

(a) Directly by the cabinet; or

(b) Indirectly by the cabinet through a contractual or other arrangement.

(4) "Client" means a person who:

(a) Applies in writing, electronically, verbally, or through a designated representative for participation in a cabinet program; or

(b) Receives a service, financial aid, or other benefit from a cabinet program.

(5) "Companion" means a family member, friend, or associate of an individual seeking access to a service, program, or activity of the cabinet, who, along with that individual, is an appropriate person with whom the cabinet communicates.

(6) "Deaf" and "hard of hearing" are defined by KRS 163.500.

(7) "Emergency" means a situation of an urgent nature in which a client determines that a delay of the event for more than twenty-four (24) hours is likely to result in loss of service, financial aid, or other benefit in a cabinet program.

(8) "Individual with a communication disability" means a person who is deaf, hard of hearing, or speech impaired.

(9) "Interpreter" is defined by KRS 309.300(4).

(10) "Interpreting" is defined by KRS 309.300(5).

(11) "Kentucky Board of Interpreters for the Deaf and Hard of Hearing" means:

(a) "Board" as defined by KRS 309.300(1); and

(b) The board established by KRS 309.302.

(12) "Kentucky Commission on the Deaf and Hard of Hearing" or "KCDHH" means the commission established by KRS 163.506.

(13) "Office of Human Resource Management" or "OHRM" means the major organizational unit of the cabinet established by KRS 194A.030(9).

(14) "Ongoing interpreting services" means interpreting services required to meet the needs of a client in a cabinet program in accordance with the client's plan of care, case plan, or program eligibility.

(15) "Qualified interpreter" means an interpreter who, via a video remote interpreting (VRI) service or an on-site appearance, is:

(a) Able to interpret effectively, accurately, and impartially, both receptively and expressively, using any necessary specialized vocabulary; and

(b) A sign language interpreter, oral transliterator, or cued-language transliterator.

(16) "Time-limited interpreting services" means interpreting services that are provided to a client at a specific time and location in order to access a cabinet program.

Section 2. Provision of Interpreting Services.

(1) A cabinet program shall:

(a) Make available qualified interpreting services to a client who is deaf, hard of hearing, or speech impaired; and

(b) Take appropriate steps to ensure that communication with an applicant, participant, member of the public, or companion with a disability is as effective as communication with others.

(2) Interpreting services provided by a cabinet program shall be at no charge to a client.

(3) Interpreting provided by a cabinet program shall be in accordance with KRS 309.301.

(4) On behalf of a client who is deaf, hard of hearing, or speech impaired and does not waive interpreting services in accordance with Section 4(2) of this administrative regulation, a cabinet program shall:

(a) Access a qualified interpreter licensed by the Kentucky Board of Interpreters for the Deaf and Hard of Hearing in accordance with KRS 309.300-309.319 and 201 KAR Chapter 39; or

(b) Request interpreting services:

  1. In accordance with 735 KAR 2:050; and

  2. Through the Interpreter Referral Service Program established by KCDHH in 735 KAR Chapter 2.

(5) A cabinet program may utilize an employee for interpreting as an alternative to the requirement of subsection (4) of this section if:

(a) The cabinet program employs an individual who is licensed by the Kentucky Board of Interpreters for the Deaf and Hard of Hearing in accordance with KRS 309.300-309.319 and 201 KAR Chapter 39;

(b) The employee is a qualified interpreter; and

(c) No actual or perceived conflict exists between the employee's job duties and the provision of interpreting services for the client, as approved by the employee's supervisor.

(6) A cabinet program or a client may access the Kentucky Telephone or Video Relay Service Program established in accordance with KRS 278.548.

Section 3. Interpreter Selection.

(1) In the selection of an interpreter, a cabinet program shall give consideration to:

(a) An interpreter's:

  1. Licensure;

  2. Certification;

  3. Years of experience; and

  4. Exposure to the cabinet program or familiarity with the jargon of the cabinet program;

(b) Prior use of the interpreter by the cabinet program for the same client;

(c) Any preference of the client; and

(d) The estimated cost for the interpreting services.

(2) An interpreter who provides interpreting services to a cabinet program shall:

(a) Comply with:

  1. 735 KAR 2:040 if the interpreter is retained through KCDHH Interpreter Referral Services Program; and

  2. Licensure requirements of the Kentucky Board of Interpreters for the Deaf and Hard of Hearing in accordance with KRS 309.300-309.319 and 201 KAR Chapter 39; and

(b) Agree to confidentiality in the provision of interpreting services in accordance with KRS 194A.060, and 45 C.F.R. 160, 162, and 164.

Section 4. Client Rights.

(1) A cabinet program shall inform a client who is deaf, hard of hearing, or speech impaired of the client's right to effective communication through the provision of the CHFS-OHRM-EEO-2, Your Right to Equally Effective Communication.

(2)

(a) A client who is deaf, hard of hearing, or speech impaired shall have the right to waive interpreting services provided by a cabinet program.

(b) To waive interpreting services:

  1. A client shall complete and sign the CHFS-OHRM-EEO-3, Waiver of Free Interpreting Services; and

  2. The cabinet program shall provide a copy of the signed CHFS-OHRM-EEO-3 to the client.

(c) A client may rescind the CHFS-OHRM-EEO-3 at any time.

(d) A client may rely on an accompanying adult companion who uses sign language to interpret or facilitate communication if:

  1. The client makes the request;

  2. The accompanying adult companion agrees;

  3. Reliance on the accompanying adult companion is appropriate under the circumstances; and

  4. The accompanying adult companion's impartiality or effectiveness is not in doubt.

(3) If a client refuses a specific interpreter, a cabinet program shall attempt to find a replacement but shall not guarantee a replacement.

Section 5. Payment for Interpreting Services.

(1)

(a) Unless an emergency exists, a cabinet program shall approve payment for interpreting services, whether time-limited or ongoing interpreting services, with an interpreter prior to the provision of interpreting services to a client.

(b) The total payment approved shall:

  1. Be documented in writing;

  2. Be copied or shared with the interpreter and the cabinet program;

  3. Include identifying information about the cabinet program and the assignment; and

  4. Include a breakdown of the interpreter's:

a. Hourly rate in accordance with subsection (3) of this section;

b. Projected number of hours for the assignment in accordance with subsection (4) of this section;

c. Projected mileage;

d. Meal required during the assignment; and

e. Overnight lodging requested for the assignment in accordance with paragraph (c) of this subsection.

(c) An overnight lodging request for interpreting services shall include:

  1. A justification for the overnight lodging;

  2. The estimated length of the lodging;

  3. A preferred lodging establishment; and

  4. Projected lodging costs.

(2) Mileage and meal reimbursement shall be in accordance with 200 KAR 2:006.

(3)

(a) A cabinet program shall pay an interpreter an hourly rate:

  1. For interpreting services provided Monday through Friday between the hours of 8 a.m. and 5 p.m.; and

  2. Consistent with the prevailing rate for the service area.

(b) In addition to the hourly rate established in paragraph (a) of this subsection, a cabinet program shall pay an enhanced hourly rate consistent with the prevailing enhanced rate for the service area if the interpreter's assignment falls:

  1. Between 5 p.m. and 8 a.m. Monday through Friday;

  2. Between 5 p.m. Friday and 8 a.m. Monday; or

  3. On a state holiday established in accordance with KRS 2.110.

(c) The cabinet shall consult annually with KCDHH regarding accessibility and the provision of accommodations.

(4)

(a) With the exception of mileage, a meal, and lodging, the hourly rate established in accordance with subsection (3) of this section shall include:

  1. Time on the assignment; and

  2. Reasonable time traveling for the assignment.

(b) A cabinet program shall determine an interpreter's time traveling as reasonable based on:

  1. Mileage; and

  2. Road and driving conditions on the date of the interpreter's assignment.

(5) If an interpreter's assignment in a cabinet program is less than two (2) hours, the cabinet program shall pay:

(a) Two (2) hours for the assignment; or

(b) Less than two (2) hours in accordance with the invoice submitted for the assignment.

(6)

(a) A cabinet program shall pay an interpreter for the assignment in accordance with the payment approved pursuant to subsection (1) of this section if:

  1. A client does not appear for an appointment or cancels an appointment with less than twenty-four (24) hours' notice; or

  2. The cabinet fails to notify the interpreter of the cancellation twenty-four (24) hours or more in advance of the appointment.

(b) The cabinet shall re-schedule an appointment if:

  1. A request to re-schedule is received two (2) business days in advance of the appointment; or

a. The cabinet determines that staff of the cabinet program, the interpreter, or the client is not at fault for failure to keep the appointment; and

b. The client requests re-scheduling of the appointment.

(7)

(a) An interpreter shall:

  1. Document actual costs of interpreting services to a cabinet program; and

  2. Submit an invoice to the cabinet program for verification and payment.

(b) For each assignment, an interpreter's invoice shall contain the following:

  1. The purpose of the assignment, including the client's name or an identifier for the client's case;

  2. For each date of the assignment, the:

a. Hours of the day during which the interpreting services were provided;

b. Total number of hours of the interpreting services;

c. Hourly rate for the interpreting services;

d. Mileage for the assignment; and

e. Rate per mile in accordance with subsection (2) of this section;

  1. The total cost for any lodging;

  2. A grand total for all costs;

  3. Contact information for an employee with the cabinet program to verify:

a. The provision of interpreting services; and

b. Costs approved in accordance with subsection (1) of this section;

  1. The interpreter's:

a. Name;

b. Social Security number or federal identification number;

c. Contact number;

d. E-mail address, if one is available; and

e. Mailing address;

  1. The date of the invoice; and

  2. A number for the invoice.

(c) If an interpreter submits an invoice to a cabinet program that includes lodging, the interpreter shall attach the original receipt from the lodging establishment.

(8)

(a) Payment for interpreting services shall be available to an interpreter who is not:

  1. A volunteer; or

  2. An employee of a cabinet program.

(b) An employee of a cabinet program, who is utilized in accordance with Section 2(5) of this administrative regulation, shall not receive payment for interpreting services in addition to the employee's:

  1. Pay and employee benefits from the cabinet program; and

  2. Reimbursement for travel in accordance with 200 KAR 2:006.

Section 6. Complaints. If an individual is aggrieved by a cabinet program's provision of, or failure to provide, interpreting services in accordance with this administrative regulation, the individual may submit a:

(1) Grievance to the KCDHH in accordance with 735 KAR 2:060; or

(2) Client Civil Rights complaint, if discriminatory action by a cabinet program is alleged, to the:

(a) Office of Human Resource Management in accordance with 920 KAR 1:090;

(b) U.S. Department of Health and Human Services' Office for Civil Rights;

(c) U.S. Department of Agriculture's Office of the Assistant Secretary for Civil Rights;

(d) U.S. Department of Education's Office for Civil Rights;

(e) U.S. Department of Labor's Civil Rights Center;

(f) U.S. Department of Justice's Civil Rights Division;

(g) Kentucky Commission on Human Rights; or

(h) Another federal, state, or local agency with jurisdiction over the cabinet program involved in the alleged discrimination.

Section 7. Incorporation by Reference.

(1) The following material is incorporated by reference:

(a) "CHFS-OHRM-EEO-2, Your Right to Equally Effective Communication", March 2020; and

(b) "CHFS-OHRM-EEO-3, Waiver of Free Interpreting Services", 2020.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Cabinet for Health and Family Services, Office of Human Resource Management, 275 East Main Street, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30 p.m.

History

  • RELATES TO: KRS 2.110, 163.500, 163.506, 194A.005(1), 194A.030(9) 194A.060, 278.548, 309.300-309.319, 344.500(1), 28 C.F.R. 35.104, 35.160, 29 U.S.C. 794, 42 U.S.C. 12131-12213, 45 C.F.R. 160, 162, 164
  • STATUTORY AUTHORITY: KRS 12.290, 194A.050(1)
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the Secretary of the Cabinet for Health and Family Services to 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 proper administration of the cabinet and its programs. In accordance with federal mandates in 28 C.F.R. 35.160, 29 U.S.C. 794, and 42 U.S.C. 12131-12213, and KRS 12.290 and 344.500(1), the Cabinet for Health and Family Services has a responsibility to provide accessibility to program services delivered directly by the cabinet or indirectly through a contractual or other arrangement to an individual who is deaf or hard of hearing. This administrative regulation establishes cabinet procedures for the provision of interpreting services to a client who is deaf or hard of hearing.
  • History: 20 Ky.R. 2941; 3203; 21 Ky.R.19; eff. 6-9-1994; Recodified from 900 KAR 1:070, 10-30-1998; 36 Ky.R. 1366; 1940; eff. 3-5-2010; Crt eff. 05-29-2019; 46 Ky.R. 1970, 2670; 47 Ky.R. 4; eff. 7-29-2020.
920 KAR 1:090 Client Civil Rights complaint process {#sec-920-kar-1-090 omnilex-key=us-ky-regs-official--title-920--920 KAR 1:090}

Section 1. Definitions.

(1) "Cabinet" is defined by KRS 194A.005(1).

(2) "Cabinet program" means a program of service, financial aid, or other benefit administered by the cabinet and provided:

(a) Directly by the cabinet; or

(b) Indirectly by the cabinet through a contractual or other arrangement.

(3) "Client" means a person who:

(a) Applies in writing, electronically, verbally, or through a designated representative for participation in a cabinet program; or

(b) Receives a service, financial aid, or other benefit from a cabinet program.

(4) "Complaint" means a verbal or written allegation of discrimination in the delivery of a cabinet program.

(5) "Complainant" means a person or group of people who alleges discrimination in the delivery of a service, financial aid, or other benefit in a cabinet program.

(6) "Discrimination" is defined by KRS 344.010(5).

(7) "Nutrition program or activity":

(a) Means a cabinet program administered federally by the U.S. Department of Agriculture, Food and Nutrition Services; and

(b) Includes the Supplemental Nutrition Assistance Program (SNAP), formerly known as the Food Stamp Program:

  1. Defined by 7 U.S.C. 2012, as amended by Pub.L. 110-246; and

  2. Governed by Title 921 KAR Chapter 3.

(8) "Office of Human Resource Management" or "OHRM" means the major organizational unit of the cabinet established in accordance with KRS 194A.030(1)009.

(9) "Protected class" means a group of people who qualifies for protection from discrimination under law, policy, or similar authority.

(10) "Retaliation" means an action taken against an individual because the individual participated in a protected activity, such as:

(a) Opposing or reporting a discriminatory practice; or

(b) Participating in or cooperating with an investigation of discrimination.

Section 2. Administrative Policy.

(1) The cabinet shall comply with the following federal and state laws prohibiting discrimination:

(a) In a cabinet program:

  1. KRS 344.015 and 344.020;

  2. 28 C.F.R. 35 or 36;

  3. 20 U.S.C. 1681;

  4. 29 U.S.C. 794;

  5. 42 U.S.C. 12131-12213, as amended by Pub.L. 110-325;

  6. 42 U.S.C. 2000d-2000d-7;

  7. 42 U.S.C. 6101-6107 or 45 C.F.R. 91;

  8. Presidential Executive Order 13166; or

  9. Another federal, state, or local law applicable to a cabinet program;

(b) In a nutrition program or activity:

  1. 7 C.F.R. 15, 15a, 15b, 15d, 15e, 16, or 272.6; or

  2. 7 U.S.C. 2011-2036, as amended by Pub.L. 110-246; or

(c) In a cabinet program funded through the U.S. Department of Health and Human Services:

  1. 45 C.F.R. 80, 83, 84, 85, 86, 90, 260.34, or 260.35;

  2. 42 U.S.C. 290dd-1, 300w-7, 300x-57, 708, 1996b, 8625, 9918, or 10406; or

  3. 42 U.S.C. 608(d), as amended by Pub.L. 109-171.

(2) If a federal or state law specifies or sets a restriction for a cabinet program, such as eligibility for a service, financial aid, or other benefit, the restriction shall take precedence over a protected class under subsection (1) of this section.

Section 3. Complaint Submission.

(1) The Office of Human Resource Management shall provide an internal complaint process to investigate and stop an activity in a cabinet program in accordance with Section 2(1) of this administrative regulation.

(2) An individual shall report a complaint by:

(a) Submitting a completed and signed CHFS-OHRM-CCRC, CHFS Client Civil Rights Complaint Form", edition Rev. 2024;

(b) Submitting a written and signed statement to OHRM; or

(c) Verbally reporting a complaint to OHRM, if the individual refuses or declines to place allegations of discrimination in writing.

(3) The cabinet shall accept an anonymous complaint that provides sufficient information about alleged discrimination in a cabinet program to enable an investigation by OHRM.

(4) Staff of OHRM shall attempt to elicit from a complainant the following:

(a) The name, address, and telephone number or other means of contacting the complainant;

(b) The name of the cabinet program involved in the alleged discrimination and specific location delivering the cabinet program;

(c)

  1. The nature of the incident or action that led the complainant to believe that discrimination was a factor; or

  2. An example of the method of administration that is having a discriminatory effect on:

a. The public;

b. A potential eligible person; or

c. A client;

(d) The basis on which the complainant believes discrimination or harassment exists, for example:

  1. Race;

  2. Color;

  3. Religion;

  4. Sex;

  5. National origin;

  6. Age;

  7. Retaliation;

  8. Sexual orientation;

  9. Disability;

  10. Political beliefs;

  11. Sexual harassment; or

  12. Limited English Proficiency;

(e) The name, telephone number, title, and business or personal address of any other person who may have knowledge of the alleged discrimination;

(f)

  1. The date or dates during which the alleged discrimination occurred; and

  2. The duration of the alleged discrimination, if it is continuing; and

(g) Recommendation of the complainant to resolve the alleged discrimination.

(5) Staff of OHRM shall document verbal information elicited in accordance with subsection (4) of this section.

(6)

(a) No cabinet employee shall:

  1. Retaliate against an individual who:

a. Submits a complaint in accordance with this section; or

b. Assists in the investigation of a complaint; or

  1. Interfere with an investigation of a complaint.

(b) An employee who does not comply with paragraph (a) of this subsection shall be subject to disciplinary action, up to and including dismissal in accordance with KRS 18A.095.

Section 4. Complaint Acceptance.

(1) Prior to taking action on a complaint, including an investigation, OHRM:

(a) Shall verify the complaint:

  1. Indicates a violation of a law specified in Section 2 of this administrative regulation; and

  2. Meets minimum reporting requirements established in Section 3 of this administrative regulation;

(b) Shall determine an action plan to address the complaint, including investigative steps; and

(c) May request consultation on the complaint from:

  1. The head of the major organizational unit within the cabinet administering the cabinet program involved in the complaint or a designee;

  2. The cabinet's Office of Legal Services; or

  3. An entity listed in Section 9(1) of this administrative regulation.

(2) If an individual's allegation does not involve discrimination in a cabinet program in accordance with Section 2 of this administrative regulation, OHRM shall:

(a) Refer the individual to the:

  1. Head of the major organizational unit within the cabinet administering the cabinet program involved in the allegation or a designee; or

  2. Another federal, state, or local agency if the agency has jurisdiction over the program involved in the individual's allegation; or

(b) Provide written notice to the individual that no further action or investigation by OHRM is warranted, if the individual provided contact information.

Section 5. Complaint Processing.

(1)

(a) Except for a complaint that alleges discrimination in a nutrition program or activity, OHRM shall provide notice of a complaint's acceptance in accordance with Section 4(1) of this administrative regulation, to the:

  1. Complainant, if the complaint includes information in accordance with Section 3(4)(a) of this administrative regulation; and

  2. Head of the major organizational unit within the cabinet administering the cabinet program involved in the complaint.

(b) The Office of Human Resource Management shall process a complaint that alleges discrimination in a nutrition program or activity pursuant to Section 6 of this administrative regulation.

(2) In accordance with the complaint's action plan developed pursuant to Section 4(1)(b) of this administrative regulation, OHRM shall:

(a) Conduct an investigation, which may include:

  1. Inspection of a cabinet program's records; and

  2. An interview with:

a. A client;

b. Staff of a cabinet program; or

c. An individual with knowledge of the complaint who is either identified in the complaint or discovered during the course of the investigation; and

(b) Send written notice of the investigation's outcome to the:

  1. Complainant, if the complainant provided information in accordance with Section 3(4)(a) of this administrative regulation; and

  2. Head of the major organizational unit within the cabinet administering the cabinet program involved in the complaint.

(3)

(a) The Office of Human Resource Management shall process a complaint in a cabinet program, subject to this section, within 180 days from the complaint's initial report.

(b) The executive director of OHRM or a designee may grant an extension to the timeframe specified in paragraph (a) of this subsection if OHRM:

  1. Requires additional time to determine a complaint's outcome, including investigation of the complaint; and

  2. Notifies the complainant who provided information in accordance with Section 3(4)(a) of this administrative regulation of the extension.

Section 6. Processing Complaints in a Nutrition Program or Activity.

(1) In accordance with 7 C.F.R. 15 or 272.6, the cabinet shall maintain a separate Civil Rights complaint process for clients under a nutrition program or activity.

(2)

(a) If a complaint in a nutrition program or activity is reported and accepted in accordance with Section 4(1) of this administrative regulation, OHRM shall advise the complainant, if known, in writing:

  1. That the complaint has been received;

  2. Of confidentiality and applications of 5 U.S.C. 552a;

  3. Of planned actions, including investigation of the complaint; and

  4. If additional information is needed to resolve the issue at the lowest possible level of the cabinet's organizational structure.

(b) If OHRM determines that further investigation of a complaint under a nutrition program or activity is not warranted, OHRM shall provide written explanation to the United States Department of Agriculture, Food and Nutrition Services, Southeast Regional Office.

(3) The Office of Human Resource Management shall refer a client complaint of discrimination based on age in a nutrition program or activity to the United States Department of Agriculture, Food Nutrition Service, Southeast Regional Office, within five (5) days of the complaint's initial report.

(4) Unless the United States Department of Agriculture grants an extension, OHRM shall process a complaint in a nutrition program or activity, accepted in accordance with Section 4(1) of this administrative regulation, within ninety (90) days of the complaint's initial report.

(5) An investigation of a complaint in a nutrition program or activity shall consist of:

(a) Contact with the client involved in the alleged discrimination or an authorized representative;

(b) A review of the client's case file;

(c) A review of a sample of case files of similarly situated clients, if the client involved in the alleged discrimination is a client in the Supplemental Nutrition Assistance Program; and

(d) Contact with the major organizational unit within the cabinet that administers the nutrition program or activity for a response to the allegation established in the complaint.

(6) Upon conclusion of any planned action on a complaint under a nutrition program or activity, OHRM shall provide written notice to the complainant, if known, that contains:

(a) The name of the complainant;

(b) A number identifying the complaint;

(c) The date the complaint was reported to OHRM;

(d) The cabinet's jurisdictional authority;

(e) A statement of each allegation and an applicable legal citation from Section 2(1) of this administrative regulation;

(f) The methodology for the investigation of the complaint;

(g) The outcome of the investigation; and

(h) The complainant's right to file a complaint with the Secretary of the United States Department of Agriculture and contact information.

Section 7. Recommendation for Corrective Action.

(1) If an investigation's outcome indicates the need for a corrective action by the cabinet program, OHRM shall recommend the corrective action to the major organizational unit within the cabinet administering the cabinet program involved in the complaint.

(2) A recommendation for corrective action may include:

(a) Referral to law enforcement, if a criminal act is suspected;

(b) Technical assistance from a federal or state agency, if the federal or state agency has:

  1. Expertise sought by OHRM or the cabinet program; or

  2. Jurisdiction over the cabinet program involved in the complaint; or

(c) Disciplinary action against a cabinet employee, up to and including dismissal in accordance with KRS 18A.095, if the investigation's outcome indicates cause.

Section 8. Withdrawal of a Complaint.

(1) A complainant shall submit a written and signed statement to OHRM to:

(a) Request a withdrawal of a complaint; and

(b) State the reason for the withdrawal.

(2) The Office of Human Resource Management shall accept a request for a complaint's withdrawal from a complainant if:

(a) The request shows no sign of coercion, harassment, or another act to compel the complainant to withdraw the complaint; and

(b) The complaint's allegation no longer merits continuing the investigation.

(3) The Office of Human Resource Management shall send written notice to the complainant and the head of the major organizational unit within the cabinet administering the cabinet program involved in the complaint, if OHRM:

(a) Accepts the request for withdrawal; or

(b) Rejects the withdrawal request and proceeds with an investigation or another planned action.

Section 9. Alternative Complaint Processes.

(1) In lieu of, or in addition to, the Civil Rights complaint process established in this administrative regulation, a client may elect to file a complaint directly with another entity, such as the:

(a) U.S. Department of Health and Human Services' Office for Civil Rights;

(b) U.S. Department of Agriculture's Office of Assistant Secretary for Civil Rights or Food Nutrition Service Southeast Regional Office;

(c) U.S. Department of Education's Office of Civil Rights;

(d) U.S. Department of Labor's Civil Rights Center;

(e) U.S. Department of Justice's Civil Rights Division;

(f) Kentucky Commission on Human Rights; or

(g) Another federal, state, or local agency with jurisdiction over the cabinet program involved in the alleged discrimination.

(2) Upon request of a client, OHRM shall provide information on filing a complaint with an entity listed in subsection (1)(a) through (g) of this section.

(3) This administrative regulation shall not inhibit an individual's right to seek review through a court of appropriate jurisdiction.

Section 10. Incorporation by Reference.

(1) The "CHFS-OHRM-CCRC, CHFS Client Civil Rights Complaint Form", edition Rev. 2024 is incorporated by reference.

(2) This material may be inspected, copied, or obtained, subject to applicable copyright law, at the Cabinet for Health and Family Services, 275 East Main Street, Frankfort, Kentucky 40621, Monday through Friday, 8 a.m. to 4:30 p.m. or online at www.chfs.ky.gov/agencies/os/ohrm/Pages/default.aspx.

History

  • RELATES TO: KRS 18A.095, 194A.005(1), 194A.030(1), 344.010(5), 344.015, 344.020, 7 C.F.R. 15, 15a, 15b, 15d, 15e, 16, 272.6, 28 C.F.R. 35, 36, 45 C.F.R. 80, 83, 84, 85, 86, 90, 91, 260.34, 260.35, 5 U.S.C. 552a, 7 U.S.C. 2011-2036, 20 U.S.C. 1681, 29 U.S.C. 794, 42 U.S.C. 290dd-1, 300w-7, 300x-57, 608(d), 708, 1996b, 8625, 9918, 10406, 12131-12213, 2000d-2000d-7, 6101-6107, Pub.L. 109-171, 110-246, 110-325, 009 Pres. EO 13166
  • STATUTORY AUTHORITY: KRS 194A.050(1), 344.015
  • NECESSITY, FUNCTION, AND CONFORMITY: KRS 194A.050(1) requires the Secretary of the Cabinet for Health and Family Services to 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. KRS 344.015 and the federal grants to the cabinet, inclusive of those funds through the United States Departments of Health and Human Services and Agriculture, require the Cabinet for Health and Family Services to maintain a program atmosphere free from discrimination and to respond to a complaint alleging discrimination. This administrative regulation establishes the client Civil Rights complaint process for programs administered directly by the cabinet or indirectly through a contractual or other arrangement.
  • History: 920 KAR 001:090. 36 Ky.R. 1412; 1943; eff. 3-5-2010; Crt eff. 5-29-2019; 51 Ky.R. 1332; eff. 7-1-2025.

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