Current through Register Vol. 51, No. 6, December 1, 2024
NECESSITY, FUNCTION, AND CONFORMITY: KRS 17.554(2) requires the
Sex Offender Risk Assessment Advisory Board to establish a comprehensive sex
offender presentence evaluation procedure for court-ordered evaluations of sex
offenders. KRS 17.564(1) authorizes the board to promulgate administrative
regulations necessary to carry into effect the purposes of KRS 17.500 to 17.580
and 17.991. This administrative regulation establishes the evaluation procedure
to ensure the quality of court-order comprehensive sex offender presentence
evaluations.
Section 1. Definitions.
(1) "Amenability to treatment" means the
offender is free from intellectual disability or psychological disturbance that
would prevent the offender from engaging meaningfully in sex offender treatment
and he is at least minimally able to participate in the treatment
process.
(2) "Appropriate setting"
means a secure institutional setting or a community-based setting.
(3) "Approved provider" is defined by KRS 17.550(3).
(4) "Board" is defined
by KRS 17.550(1).
(5) "Clinically
adjusted" means a change in the risk level recommendation based on compelling
evidence which indicates to an approved provider that the probability of
recidivism ranges are inappropriate for a sex offender, such as a risk factor
being in an acute phase of severity.
(6) "Comprehensive sex offender presentence
evaluation" means a comprehensive mental health evaluation by an approved
provider that includes a focus on the clinical data necessary to address the
four (4) areas of assessment listed in KRS 17.554(2).
(7) "Evidence based standards of care" means
standards and practices that:
(a) Are based on
the best available clinical scientific research or evidence for treatment of
sex offenders;
(b) Take into
account the offender's current clinical state and factors that may influence
treatment gain; and
(c) Are
generally accepted by reasonable providers within the sex offender treatment
field.
(8) "Nature of
required sex offender treatment" means the treatment management issues
including recommendations for the focus of treatment, special treatment
considerations, further evaluation, and restrictions to minimize the risk of
recidivism.
(9) "Responsivity
factors" means factors that impact an offender's ability to begin, engage in,
and complete treatment and can interfere with the ability of the offender to
respond to treatment.
(10) "Risk of
recommitting a sex crime" means a designation of high or not high risk based on
the finding of the instrument used or other clinically relevant data that
suggests sexual reoffense is more likely than not.
(11) "Sex offender" is defined by KRS 17.550(2).
(12) "Stages of change"
means the change process occurs gradually over time and includes levels or
stages as follows:
(a) Precontemplation, in
which the individual does not intend to make a change in the
behavior;
(b) Contemplation, in
which the individual has an awareness of the problem and may consider the
pluses and minuses of change;
(c)
Preparation, in which the individual intends to take action within one (1)
month and may make small behavioral changes;
(d) Action, in which the individual modifies
the problem behavior for one (1) to six (6) months; and
(e) Maintenance, in which the behavior change
extends from six (6) months and the individual works to prevent
relapse.
Section
2. Comprehensive Sex Offender Presentence Evaluation Procedures.
(1)
(a) An
approved provider shall conduct a comprehensive mental health evaluation
following evidence based standards of care.
(b) The evaluation shall include a
face-to-face interview and a review of collateral information. The face-to-face
interview may be conducted by videoconferencing if it allows the approved
provider to see the offender at all times during the interview.
(c) If the results of initial mental health
screening procedure dictate, additional appropriate psychological testing
addressing cognitive functioning, mental illness, and severe characterological
impairment shall be employed as circumstances allow.
(2) Risk of recommitting a sex crime shall be
determined in the following manner:
(a) If
applicable, an actuarial instrument shall be used which is appropriate to the
sex offender. An actuarial instrument shall be appropriate for use if:
1. The instrument's developmental sample or
subsequent study samples contained individuals with characteristics similar to
the offender being evaluated; and
2. The instrument's reliability and validity
has been demonstrated through research. The results of the instrument may be
clinically adjusted at the discretion of the approved provider.
(b) If an actuarial instrument is
not appropriate, an empirically guided approach shall be used. An
empirically-guided approach shall mean that the approved provider shall
consider risk factors that research has demonstrated to be associated with risk
for recidivism.
(3) The
threat to public safety shall be determined in the following manner:
(a) The approved provider shall consider the
following domains in assessing the sex offender's immediate threat to public
safety and in arriving at a recommendation regarding an appropriate treatment
setting:
1. The sex offender's amenability to
treatment;
2. The degree of threat
of harm or actual force employed in the index offense and in prior
offenses;
3. The nature and
duration of the offending;
4. The
sex offender's psychological adjustment;
5. The sex offender's social and occupational
adjustment; and
6. The sex
offender's statements or indications of harm directed to another.
(b) The approved provider shall
make a recommendation as to the appropriate setting in which treatment, if
indicated, should be provided for the sex offender.
(4) The approved provider shall assess the
following factors for amenability:
(a) The sex
offender shallNot exhibit symptoms of a psychological disturbance that may
significantly inhibit treatment participation;
(b) The sex offender shall exhibit a level of
intellectual functioning sufficient to complete the task assigned in the
treatment program to which he will be referred;
(c) Whether the sex offender will receive a
benefit from treatment designed for sex offenders with intellectual
developmental disorder, if the sex offender has an intellectual developmental
disorder;
(d) Whether the sex
offender acknowledges involvement in the sex offense for which he or she is
convicted;
(e) Whether the sex
offender considers his or her involvement in the sex offense to be a
problematic behavior that he or she does not want to repeat; and
(f) The level of acknowledgment and current
stage of change expressed by the sex offender.
(5) In assessing the nature of required sex
offender treatment, the approved provider shall address management issues
including:
(a) Recommendations for the focus
of treatment;
(b) Special treatment
considerations, including:
1. Recommendations
to address identified responsivity factors; and
2. Other issues that impact the offender's
ability to engage in treatment;
(c) Further evaluation; and
(d) Restrictions to minimize the risk of
recidivism.
Section
3. Evaluation Report.
(1) An
approved provider shall prepare a comprehensive sex offender presentence
evaluation report to the court in the form of a bifurcated document.
(2) The first section of the report shall
consist of information prepared specifically for the court and shall contain
the following headings:
(a) Identifying
information including:
2. Social Security number;
5. Indictment number or county;
(b) Referral information,
including reason for referral, informed consent, and procedures;
(c) Information sources; and
(d) Summary, conclusions, and
recommendations.
(3) The
second section shall include the following information from which the summary
and conclusions were reached:
(a) Criminal
justice information, including index offense, prior sex offense, or other legal
history;
(b) Psychosocial history
including:
(c) Behavioral observations and mental
status;
(d) Standardized assessment
or psychological testing;
(e)
Diagnosis impressions;
(f)
Treatment considerations; and
(g)
The statutory factors found in KRS 17.554(2).
(4) The report shall be entitled
"Comprehensive Sex Offender Presentence Evaluation."
(5) An approved provider shall place his or
her signature at the end of the recommendation report if the approved provider:
(a) Conducted the comprehensive sex offender
presentence evaluation; or
(b)
Reviewed and approved the evaluation.
(6) If the approved provider previously
provided treatment to the sex offender, he shall not perform a sex offender
presentence evaluation for the offender.
Section 4. Recordkeeping.
(1) An approved provider shall maintain the
evaluation records for the period of time required for the approved provider to
maintain patient files by the licensing or certifying body under which the
approved provider has professional status.
(2) The original or a copy of all
comprehensive sex offender presentence evaluation information shall be provided
to the boardupon request.