12200 Conducting and Investigation
Conducting a thorough investigation is critical to ensuring the safety
and well-being of the involved adult. The APS worker shall use his/her
professional judgment throughout the investigation regarding contact with
the alleged perpetrator, collaterals such as Guardian/Conservators, family
members, neighbors, medical providers, and service providers. Refer to
Section 12020 for information regarding confidentiality.
K.S.A.
39 – 1433(1) When a report includes information regarding an alleged
criminal act, the appropriate Law Enforcement agency shall be contacted
immediately in writing. The ES
– 1019a is to be used to notify Law Enforcement, and includes a request
for assistance from Law Enforcement in contacting the adult, if necessary.
The APS supervisor/designee shall:
Notify Law Enforcement SRS will not conduct an investigation
relating to the alleged criminal offense, but will complete an APS
investigation, and offer protective services as needed and appropriate.
Check with Law Enforcement to ensure SRS/APS involvement
does not interfere with the criminal investigation or case.
Order of Case Files
Tab – Intake and Assessment
ES-1000, ES1001, Risk and Safety Assessment
Tab – Release of Information
ES-1003, Authorization for Release of Confidential Information
Tab – Case Logs
ES-1017 APS Case Activity Log, Protected Health Information Disclosure Tracking Log
Tab – Case Findings
ES-1008, ES-1008.1, ES-1008.2
Tab – Service Plans/ Corrective Action Plan
ES-1007, Corrective Action Plan, ES-1009
Tab – Adult Emergency Purchases
Request for funds, bids for services, receipts, documentation for purchases (may vary by Region)
Tab – Guardian/Conservator
ES-1011, ES-1012, Documentation of Evaluation, Notification from KGP, Journal Entries, Court orders, Non-court documents (POA, etc)
Tab – Correspondence (I.E. Faxes, Emails, Letters)
Police Reports, additional medical information received
Tab – Miscellaneous
Tab – Attorney Correspondence (separate file)
Verbal and written correspondence with Central Office Legal division, Regional attorney, Attorney General’s office. The records of consultations between the APS worker and the SRS attorney are protected by attorney/client privilege. Records of consultations with the attorney are to be clearly marked as attorney/client contacts and maintained in a separate file so that the information will not be shared with third parties.
12210 Contacts during the Investigation
Limited English Proficiency (LEP)
In a guidance (hyperlink) from the U.S. Department of Health and Human
Services, dated August 8, 2003, the following information was provided:
“Department of Health and Human Services regulations, 45 CFR 80.3(b)(2), require all recipients of federal financial assistance from HHS to provide meaningful access to LEP persons. …Recipients of HHS assistance may include, for example …public and private contractors, subcontractors, and vendors. …Sub-recipients likewise are covered when federal funds are passed through from one recipient to a sub-recipient. Coverage extends to a recipient’s entire program or activity, i.e. to all parts of a recipient’s operations. This is true even if only one part of the recipient receives the federal assistance”.
In compliance with the above, SRS will provide meaningful access to
services for LEP person which are equal to those provided to other consumers.
For those persons who may have difficulty understanding or communicating
in English, SRS will provide interpretations and may provide translation
in the preferred language. Interpretation will be performed by trained
or tested, competent individuals. For information about how to obtain
translated materials contact the Regional LEP contact person. Minor children
will not be used to translate or interpret, even at the request of the
adult.
Procedures for obtaining an interpreter in your Region can be provided
by the Regional LEP person. A list of contact can be found on the intranet
under “Regional Policy and Task Contacts” on the SRSNet Home Page. For
more information on LEP, go to “Policy and Procedures” on the EES intranet
site.
Worker Safety and Determination of Assistance Needed
When the report indicates the involved adult is in a life endangering situation,
or there is safety risk(s) to the APS worker, s/he will determine if assistance
is needed from Law Enforcement. When the report indicates there is a medical
issue needing assessment, contact Disability and Behavioral Health Supports
(DBHS) at 785.296.3981 for consultation assistance. The local/county health
department or home health agency may be contacted to request assistance.
These agencies are not mandated to provide assistance with investigations,
and may charge a fee for providing assistance.
Joint Investigations with Law Enforcement
When a report indicates there is serious physical injury to or serious
deterioration or sexual abuse or exploitation or the adult and that action
may be required to protect the adult, the investigation may be conducted
as a joint effort between the Department of Social and Rehabilitation
Services and the appropriate Law Enforcement agency or agencies, with
a free exchange of information between such agencies. Upon completion
of the investigation by the Law Enforcement agency, a full report shall
be provided to the Department of Social and Rehabilitation Services K.S.A.
39-1443(b).
If a dispute develops between agencies investigating a reported case of
abuse, neglect, exploitation or fiduciary abuse, then the appropriate
county or district attorney shall take charge of, direct and coordinate
the investigation. The APS worker must document in the case log the reason
for the dispute K.S.A.
39- 1443(c).
Contacting Collaterals
When warranted, the worker may obtain information relevant to the investigation
by making contact with collaterals. Whenever possible, the APS worker
should attempt to have the involved adult or his/her guardian sign a consent
form. Information is shared with collaterals only on a need to know basis,
and the APS worker shall at all times take steps to protect confidentiality.
12211 Contacting the Involved Adult
Initial contact with the involved adult is to be made within the timeframe
assigned on the intake. If contact is not made within the timeframe assigned,
notify the APS supervisor immediately and document the reason in the case
log. Every effort shall be made to contact the adult and make Reasonable
Efforts to Determine Safety. Notify the involved
adult we must contact Law Enforcement if we believe a crime has occurred.
If contacting Law Enforcement may increase the risk to the involved adult,
discuss with the APS supervisor and Regional attorney options prior to
notifying LE.
If the APS report indicates the involved adult has a guardian/conservator,
the APS worker shall contact the guardian/conservator to coordinate contact
with the involved adult. If the APS worker does not find out until after
contact is made with the involved adult there is a guardian/conservator,
the guardian/conservator shall be notified after initial contact. If the
guardian/conservator is named as the alleged perpetrator, refer to: Section
12213 Contacting the Alleged Perpetrator.
Once the APS worker has contacted the involved
adult, s/he shall:
Any inability by the APS worker to complete the above tasks shall be documented in the case log.
Note: If the first face to face interview with the adult reveals inaccurate information and no need for investigation. Attach the case logs to the ES – 1001 and close within seven (7) days after the face to face interview. Follow the process for closing a case.
Reasonable Efforts to Determine Safety
K.S.A.
39 – 1433(2) requires a personal visit with the adult. This personal
visit must be made within the assigned timeframe to assess the adult’s
safety.
Reasonable effort is made if the APS worker attempted to contact the adult
in a location where it is reasonable to expect the adult to be found.
If the APS worker is able to locate the adult, a personal visit must be
made within the response time set. If the APS worker is not able to locate
the adult in a location where it is reasonable to expect the adult to
be found, the worker shall attempt at least two (2) times within the assigned
response time to locate the adult.
If the worker is unable to locate the adult in the two (2) attempts within
the assigned response time, an additional attempt (3 total attempts) by
the close of the following business day will be considered due diligence
to locate the adult.
For a 24-hour response time, the 3rd attempt would need to be within the
following 24 hours. For a three (3) day, by the next business day, and
for a five (5) day, by the next business day. Document attempts to contact
in the case log. If the worker is unable to locate the adult, s/he shall
notify supervisor immediately, and determine what other options may be
used to try to locate the adult.
There may be instances when it is not possible to determine the safety
of the adult within the assigned response time. If contact is not made
in the assigned contact time, notify APS supervisor and document the reason
in the case log. Allowable reasons, which should be documented in the
log include:
NOTE: Allowable reasons apply only to assigned response
time requirements. If the person to be interviewed can be located or made
available, the investigation should be carried out (for example, the adult
missed a scheduled appointment, causing the initial contact to be delayed,
but the investigation will continue and follow finding timeline).
Contact by Authorized Collaterals
Authorized collaterals may be used to ascertain safety by making a personal
visit to the adult. Authorized collaterals may be a SRS employee or Law
Enforcement officer. In reports of fiduciary abuse/financial exploitation
occurring in a facility with no other allegation (abuse or neglect), an
authorized collateral may be the facility Director of Nursing or administrator.
If contact is made by an authorized collateral
within the assigned time frame, initial contact will be met. Document
in the case log that contact was made by authorized collateral.
APS should honor a request from Law Enforcement not to take action which
would interfere with a criminal investigation. Such a request however,
does not relieve SRS or the Law Enforcement agency of the responsibility
to determine the safety of an adult as possibly abused, neglected or exploited.
If the timing of the investigations cannot be resolved, the county/district
attorney should be contacted.
Death of Involved Adult Prior to Interview
When a report has been received and the involved adult dies prior to being
interviewed by the APS worker, there may be situations when the investigation
should be continued, consult the APS supervisor.
12212 Critical Incident Notification Procedures
Definitions
Critical Incident: An incident that may potentially draw political, legislative, public attention or media involvement.
Adult Death: An adult who is the subject of an APS investigation whose death is related to an allegation of abuse, neglect and/or exploitation.
Near Death: An adult who is the subject of an APS investigation who is near death or dying related to an allegation of abuse, neglect or and/or exploitation.
SRS Critical Incident Team: Individuals and positions designated by the Secretary of SRS to receive information regarding critical incidents. SRS_Critical_Incident@srs.ks.gov is the email address.
Procedure – The Regional
Director (or designee) notifies the EES Director (or designee), coordinates
the gathering of specific information and a summary of the case and provides
to the SRS Critical Incident Team, using the Critical Incident address,
by no later than the next business day or as soon as possible.
Information sent to the SRS Critical Incident Team shall include:
Once information has been received regarding the critical incident, a review will be completed via teleconference or in person. The call is coordinated by the Regional Director (or designee). The Regional Director and EES director or their designees shall participate and members of the SRS Critical Incident Team may also participate. As necessary the case file may be reviewed by the EES director or their designee.
Updates regarding critical incidents will be communicated to the Secretary;
ISD Deputy Secretary; Special Assistant; EES Director; Legal; and Director
of Communications.
12213 Contacting the Alleged Perpetrator
Contact with the alleged perpetrator shall
be made unless doing so puts the involved adult at further risk. If the
adult does not want the APS worker to contact the alleged perpetrator,
the APS worker may consult the APS supervisor and/or Regional attorney
to discuss how to proceed. An inability to contact the alleged perpetrator
may result in a report being made to Law Enforcement. See Section 12221
Unable to Complete Investigation. Any inability to contact the alleged
perpetrator shall be documented in the log.
Contact the alleged perpetrator using form letter to perpetrator to set
up an appointment, and place copy in the file. If an appointment is made
with the alleged perpetrator using a different method (telephone, face
to face), document in the case log. Two documented attempts to will be
considered due diligence.
If the alleged perpetrator is contacted, s/he shall be informed of the
allegation(s) and his/her rights using the ES-2003 Brochure “What happens
if you are Accused of Abuse, Neglect, Exploitation or Fiduciary Abuse”.
Providing the brochure to the alleged perpetrator shall be documented
in the case log.
If the APS worker has been directed to not interview alleged perpetrator
by Law Enforcement, the report of a Law Enforcement investigation may
be used to make a finding.
MINORS – when the alleged perpetrator is less than 18
years of age, written permission must be obtained from the parent or guardian
for the alleged perpetrator to be interviewed. The parents or guardian
may request to be present during the interview(s). The ES-1008 and all
forms shall be sent to the alleged perpetrator in care of the parent or
guardian. If a Corrective Action Plan (CAP) or request for Fair Hearing
is initiated, it must be signed by the parent or guardian.
12220 Courtesy Interviews and Joint Investigations
Joint Investigations with Agency Providers
Joint investigations may be conducted with SRS licensed facilities or agencies.
Whether APS will conduct a joint investigation is up to the Regional office.
If it is determined joint investigations will be done, there shall be
a memorandum of agreement (MOA) between the Region and agency or facility.
There may be instances when joint investigations are not in the best interest
of the adult. Therefore, the decision to conduct a joint investigation
is solely the decision of APS staff. If there is question as to whether
or not a joint investigation should be conducted consult APS Supervisor.
The MOA must be approved by the Central Office APS Attorney.
Memorandum of Agreement criteria – this information shall be included in the Agreement
- Applicable APS Statutes (K.S.A. 39 -1430 et seq.).
- Roles and responsibilities of APS worker.
- Roles and responsibilities of agency/facility staff and a designated contact to carry out responsibilities.
- Interviewing protocols to be used with the involved adult, alleged perpetrator and collaterals.
- Statement on confidentiality and limits of information sharing pursuant to K.S.A. 39 – 1434.
- Statement that rights of the involved adult and the perpetrator will be protected.
- Statement that indicates APS makes the final decision(s) regarding the allegation(s) and the facility will independently determine what action needs to be taken. The statement must include the caveat the facility cannot use the finding made by APS as the sole basis for any adverse personnel action.
In addition, the MOA will include the effective date of the Agreement, a date for review (at least annually) and under what conditions termination of the Agreement may occur.
Courtesy Interviews and Investigations
Courtesy interviews may be needed to complete an investigation. If an individual who must be interviewed to complete the investigation resides in a SRS Region different than where the involved adult resides, a request shall be made through the appropriate APS supervisor. The Region in which the investigation originated is responsible for the case finding.
When the involved adult is a resident of one SRS Region but the ANE occurs in another SRS Region, the APS Supervisors shall discuss with the Program Administrator which Region will have primary responsibility for the investigation, taking into account: mandated response time; distance; resources available; caseloads; and any other relevant factors. Once the determination as to which Region will have responsibility, the receiving Protection Report Center will be notified. If a determination cannot be made, refer to the APS Program Manager for decision.
When Law Enforcement is involved and criminal charges may be filed, responsibility shall be with the Region where the ANE has occurred, as Law Enforcement files charges where the crime occurred.
Conflicts of Interest
When the involved adult or alleged perpetrator is a friend or relative of local/Regional SRS staff, or Central Office staff, the APS Supervisor shall consult with the Program Administrator to determine whether the investigation should be handled by another part of the Region. This is to avoid any question of conflict of interest or collusion. Appropriate timelines for investigations shall be followed. Records shall be retained by the office conducting the investigation. Follow appropriate guidelines for destruction of records.
12221 Unable to Complete an Investigation
The worker shall contact the Attorney General’s office within ten (10) days of being denied the opportunity or ability to complete an investigation. This would include cases where the worker is unable to substantiate abuse, neglect, and/or exploitation have occurred or have reason to believe abuse, neglect and/or exploitation occurred, but has been unable to gain necessary cooperation and/or documentation to make a finding. This does not include cases where there is an ongoing criminal investigation by Law Enforcement which has not resulted in a finding.
The case shall be staffed by the APS worker, Supervisor and Program Administrator. If it is determined the investigation cannot be completed, the APS Program Manager will be notified and a copy of the case shall be forwarded to Central Office Legal Division/designee within ten (10) days of the decision. The APS Program Manager will forward it to the Attorney General’s office.
12222 Request from the ANE Unit in the Attorney General’s Office
When a request regarding a specific case is initiated from the ANE unit, a full copy of the case record for that investigation (log notes, photographs, documents received, etc.) must be provided within ten (10) days of the request. Central Office Legal Division/designee will be responsible for coordinating all requests for records and will serve as liaison to the ANE unit.
The ANE unit may request additional information regarding a case. After identifying the additional information being requested, the APS worker will provide copies to the Program Administrator to be forwarded to the Central Office Legal Division/designee. The APS Program Manager will forward it to the Attorney General’s office.