12 CCR 2518-1-30.510 - INVESTIGATION AND ASSESSMENT OVERVIEW

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.

Notes

12 CCR 2518-1-30.510

37 CR 15, August 10, 2014, effective 9/1/2014 40 CR 01, January 10, 2017, effective 2/1/2017 41 CR 05, March 10, 2018, effective 4/1/2018 41 CR 09, May 10, 2018, effective 6/1/2018 41 CR 13, July 10, 2018, effective 7/30/2018 42 CR 17, September 10, 2019, effective 10/1/2019 42 CR 23, December 10, 2019, effective 12/30/2019 43 CR 13, July 10, 2020, effective 8/1/2020 43 CR 21, November 10, 2020, effective 11/30/2020 44 CR 11, June 10, 2021, effective 6/30/2021 45 CR 03, February 10, 2022, effective 3/2/2022 45 CR 19, October 10, 2022, effective 11/1/2022