Current through Register Vol. 47, No. 5, March 10, 2024
A.
Beginning January 4, 2023, provisions in this Section 30.510 apply to
investigations and/or assessments regardless of whether they are assigned to
the alternative response track or the traditional response track.
B. The county department shall conduct a
thorough and complete investigation into the allegations, with the following
exceptions:
1. If the assessment and/or
further investigation confirms that the client is not an at-risk adult, the
county department shall close the APS case, as outlined in Section 30.660.
a. The client assessment status areas of
activities of daily living (ADLS)/ instrumental activities of daily living
(IADLS), cognition, behavioral concerns, and medical shall be used as the key
determiners of whether an adult is at-risk, by definition.
b. The county department may provide the
adult referrals to resources or continue to assist the adult through other
county department programs.
c. The
finding for the allegation(s) shall reflect that an investigation was not
required.
2. If the only
allegation is self-neglect and the county department is able to determine by
confirming with other professionals that the client's health, safety, and
welfare is no longer at risk because the client's needs are being met by a safe
placement or an appropriate and adequate level of services, the county
department shall close the case as outlined in Section 30.660.
3. If the client has passed away and the only
allegation in the case is self-neglect the county department shall stop the
investigation and close the case, as outlined in Section 30.660.
C. In cases where there is an
allegation of mistreatment and the client is deceased the county department
shall conduct an investigation.
D.
The investigation and assessment may be conducted independent of one another or
simultaneously, depending on the nature of the allegations.
E. If upon initial investigation, the county
department determines a different county has jurisdiction, the originating
county department shall transfer the case in CAPS. The county department
determined to have jurisdiction shall uphold the screening decision and conduct
the investigation and assessment, unless:
1.
Additional or new information related to the safety of the adult or alleged
mistreatment or self-neglect indicating the case may be closed is gathered by
the county department determined to have jurisdiction.
2. The basis for the decision to close the
case shall be documented in CAPS.
F. If upon initial investigation, a change in
jurisdiction is appropriate, as outlined in Section 30.410.F.5 , the ongoing
investigation will follow the established agreement.
G. For counties participating in the
Alternative Response pilot, investigations shall be conducted as follows:
1. For allegations assigned to the
traditional response track, a traditional response track investigation must be
completed in accordance with requirements set forth in Section
30.520.
2. For allegations assigned
to the alternative response track, an alternative response track investigation
must be completed in accordance with requirements set forth in Section
30.525.
H. For counties
not participating in the Alternative Response pilot, all investigations must be
conducted in accordance with requirements set forth in 30.520.
I. The county department shall complete the
investigation into the allegation(s) within sixty (60)
calendar days of the receipt of the report. When allegations
are received or identified after the initial report, the county department
shall complete the investigation into the additional allegation(s) within sixty
(60) days of the receipt or identification of the additional mistreatment or
self-neglect. For all investigations the county department shall ensure that
documentation of the investigation occurs in CAPS throughout the investigation
process, as follows:
1. All
interviews, contacts, or attempted contacts with the client, collaterals,
alleged perpetrators, and other contacts during the investigation shall be
documented within fourteen (14) calendar days of receipt of the
information.
2. All evidence
collected during the investigation shall be scanned and attached to the case by
the completion of the investigation.
3. If the county is unable to complete the
investigation timely for good cause, the cause shall be documented in
CAPS.
J. Each employer
defined by section 30.960.A must provide access to the county department to
conduct an investigation into an allegation of mistreatment. Access includes
the ability to request interviews with relevant persons and to obtain relevant
documents and other evidence, as follows:
1.
The patient, client, resident, or consumer of the agency who is the client in
an APS case of mistreatment or who is relevant to the APS investigation;
and,
2. Personnel, including paid
employees, contractors, volunteers, and interns who are relevant to the
investigation; and,
3. Individual
patient, client, resident, or consumer records relevant to the investigation,
including:
a. Health records;
b. Incident and investigative
reports;
c. Care and behavioral
plans;
d. Staffing schedules and
time sheets; and,
e. Photos and
other technological evidence.
4. Entrance to the employer's premises as
necessary to complete a thorough investigation. At the time of entry, county
department staff must identify themselves and the purpose of the investigation
to the person in charge of the entity.
5. The professional license number issued by
DORA for any current or former staff person who is a licensed healthcare
professional and who is substantiated of mistreatment during the provision of
their duties.
6. Attorneys and
their staff who are providing legal assistance pursuant to a contract with an
area agency on aging, and the long-term care ombudsman are not subject to the
requirements in this Section 30.510.J.
