Department for Community Based Services

Standards of Practice Online Manual

20.11 Completion and Distribution of Investigative Findings Notification

Cabinet for Health and Family Services

Department for Community Based Services
Division of Protection and Permanency
Standards of Practice Online Manual
Chapter:
Chapter 20-APS Investigations and Assessment
Effective:
6/8/2018
Section:
20.11 Completion and Distribution of Investigative Findings Notification
Version:
8

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Legal Authority/Introduction

LEGAL AUTHORITY:

The Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation Reporting form is used to inform law enforcement and other authorized agencies of the Cabinet’s investigative findings, including whether an adult accepted or refused Cabinet services.  With the creation of the Caregiver Misconduct Registry, the perpetrator of adult abuse, neglect or exploitation who is an employee or volunteer of an adult care provider, or otherwise is acting with an expectation of compensation, is now notified of investigative findings, by using the DPP-247 Adult Protective Services Unsubstantiated Investigation Notification Letter or DPP-248 Adult Protective Services Substantiated Investigation Notification.

Procedure

The SSW: 

  1. Sends/submits a Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form to all of the following authorized agencies with a legitimate interest in the case within twenty-four (24) hours of completion of an investigation and records the name of the perpetrator on the form, if known:
    1. The appropriate law enforcement agency;
    2. The commonwealth's attorney;
    3. The county attorney;
    4. The Office of Inspector General-regional office when the alleged victim resides in or receives services from the following:
        1. Nursing facility;
        2. Hospital;
        3. Intermediate care facility; or
        4. Home health agency;
    5. The state long term care ombudsman (when appropriate);
    6. Appropriate licensure/certification boards (when appropriate);
    7. The Office of Attorney General for possible investigation and prosecution of reports involving facilities that receive Medicaid funding, which includes home health agencies.  In addition to the Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form, staff should also send the completed and approved ADT;
    8. Division of Developmental and Intellectual Disabilities when the alleged victim resides in a support for community living facility; and
    9. Division of Behavioral Health when the alleged victim resides in a state operated facility;
  2. Notifies the Kentucky Board of Medical Licensure at the following address or telephone number if during the course of an investigation the SSW believes there are sufficient grounds to seek disciplinary action against a doctor:

    Kentucky Board of Medical Licensure
    310 Whittington Parkway
    Suite 1B,
    Louisville, KY 40222
    Phone 502-429-8046, FAX 502-429-9923
  3. Attempts to minimize the involvement of the adult victim in the legal proceedings and hearings;
  4. Upon completion and approval of the ADT sends the DPP-245 Victim Notification Letter.  If the victim has a court appointed private or state guardian sends the DPP-246 APS Guardian Notification Letter.
  5. Sends notice of the finding, via the DPP-248 APS Substantiated Investigation Notification to the perpetrator by certified mail;
  6. Upon approval of the assessment by the FSOS, sends to the alleged perpetrator, a notification of findings letter (DPP-247 or DPP-248), within ten (10) working days, when the alleged perpetrator is: 
    1. An employee of an adult care provider;
    2. A volunteer of an adult care provider;
    3. A privately compensated caregiver; or
    4. A waiver compensated caregiver;
  7. Sends a copy of the DPP-248 APS Substantiated Investigation Notification to:

    Office of the Ombudsman
    Performance Enhancement Branch
    Quality Assurance Section
    275 East Main Street, 1E-B
    Frankfort, KY 40621 

    Or via e-mail
    APS.Appeals@ky.gov

 

Contingencies and Clarifications

When a Cabinet substantiation is overturned the SSW sends, by mail, a copy of the DPP-249 Adult Protective Services Notice of Overturned Substantiated Finding letter to the alleged perpetrator providing notice that the:

    1. Substantiated finding has been overturned;
    2. Finding will be changed to unsubstantiated in the Cabinet's permanent records; and
    3. Alleged perpetrator's name will not be placed on the Caretaker Misconduct Registry.

 



Assisted Living Facilities 1 

The SSW:

  1. Forwards a copy of the Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form to the Department of Aging of Independent Living (DAIL)/Division of Operations and Support, law enforcement, county and commonwealth attorney upon concluding the investigation; and
  2. Shares a copy of the full investigation with the DAIL, law enforcement, county and commonwealth attorney upon receipt of a faxed, electronic or other written request from that office.

Registered Boarding Homes

The SSW:

  1. Forwards a copy of the Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form to the Department of Public Health (DPH), law enforcement, county and commonwealth attorney upon concluding the investigation; and
  2. Shares a copy of the full investigation with the DPH, law enforcement, county and commonwealth attorney upon receipt of a faxed, electronic or other written request from that office.

Supports for Community Living (SCL)

The SSW:

  1. Forwards a copy of the Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form to Division of Developmental and Intellectual Disabilities (DDID), law enforcement, county and commonwealth attorney and the office of Attorney General Medicaid Fraud and Abuse Control Division upon concluding the investigation; and
  2. Shares a copy of the full investigation with the DDID, law enforcement, county and commonwealth attorney upon receipt of a faxed, electronic or other written request from that office.

Practice Guidance

  • If during the course of an investigation, the SSW believes there are sufficient grounds to seek disciplinary action against another professional, they may contact the Kentucky Division of Occupations and Professions.
  • The SSW may seek the appropriate professional disciplinary board on the Division of Occupations and Professions web page. 
  • The Department for Aging and Independent Living certifies assisted living facilities.
  • The Department of Public Health (DPH), Food Safety Branch registers boarding homes.
  • Division of Developmental and Intellectual Disabilities (DDID) certifies supports for community living.
 

Footnotes

  1. The Office of the Inspector General does not license the following types of facilities; therefore, a Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation form is not sent to them, unless the report indicates the facility may be operating as an illegal health care facility.

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