Department for Community Based Services

Standards of Practice Online Manual

20.5 Investigations in State Operated Facilities

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:
11/21/2014
Section:
20.5 Investigations in State Operated Facilities
Version:
5

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Legal Authority/Introduction

LEGAL AUTHORITY:

State operated facilities are licensed by the Office of the Inspector General (OIG) and receive Medicaid Funds.  They also receive direction from the Department for Behavioral Health, Developmental and Intellectual Services.  State operated facilities include Central State Hospital, Glasgow State Hospital, and Western State Hospital.

Procedure

The SSW: 

  1. Contacts the facilities risk manager for assistance in arranging access to the alleged victim;
  2. Proceeds to the facility to conduct the investigation when the facility is not the reporting source; 1 
  3. Completes the DPP-115-Confidential Suspected Abuse/Neglect, Dependency or Exploitation Reporting Form and forwards copies to:
    1. Law enforcement;
    2. Office of the Inspector General;
    3. County and commonwealth attorney;
    4. Office of the Attorney General;
    5. The Division of Behavioral Health, if it is a mental health facility; or
    6. The Division of Developmental and Intellectual Disabilities, if it is a facility that provides services to individuals with developmental and intellectual disabilitie;
  4. Contacts the risk manager/investigator for assistance in arranging access to the alleged victim, the alleged perpetrator to the alleged victim, witnesses and records when the facility is the reporting source;
  5. Completes the following tasks when family members, visitors, off duty employees or other individuals are the reporting source:
    1. Proceeds to the facility to conduct the investigation;
    2. Informs the administrator or designee as to the SSW’s presence; and
    3. Proceeds with the investigation;
  6. Conducts an exit interview with the administrator or designee to discuss results of the investigation and recommendations;
  7. Forwards a Adult Protective Services State Operated Facility Investigation Results Letter Template to the facility administrator following the exit interview; 2 
  8. Forwards a copy of the Notice of Protective Services Investigative Finding-Adult Abuse, Neglect or Exploitation to:
    1. Law enforcement;
    2. Office of the Inspector General;
    3. County and commonwealth attorney;
    4. Office of the Attorney General;
    5. Division of Behavioral Health if it is a mental health facility; or
    6. Division of Developmental and Intellectual Disabilities if it is a facility that provides services to individuals with developmental and intellectual disabilities;
  9. 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;
  10. Sends notice of the finding, via the DPP-248 APS Substantiated Investigation Notification to the perpetrator by certified mail;   
  11. 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
  12. Provides verbal information to the alleged victim or legal guardian as to the results of the investigation and action(s) DCBS will take, if any, to remedy the abusive, neglectful or exploitative situation. 3

The SRA or designee: 

  1. Reviews the report to determine if it meets standards for investigation pursuant to KRS Chapter 209;
  2. Assigns the report for investigation using the DPP-115 if it meets standards; and
  3. Documents the reason(s) why the report did not meet standards for investigation, if not accepted. 4
 

Footnotes

  1. These facilities include Glasgow State Hospital, Central State Hospital, and Western State Hospital.
  2. This step applies only to state operated facilities. 
  3. Steps 6-8 occur after the investigation has been completed and approved.
  4. Documentation is maintained for one year.  Notification not to accept a report is forwarded to the facility administrator using the Adult Protective Services Report Not Accepted Sample Letter.  This step applies only to state operated facilities.

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