10200 Conducting an Investigation
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10200 Conducting an Investigation

Conducting a thorough investigation is critical to ensuring the safety and well-being of the Involved Adult (IA). The APS Specialist shall use their professional judgment throughout the investigation.

 

  1. Statutes pertaining to the investigation

KSA 39-1433(a)

 

The Kansas Department for Children and Families upon receiving a report that an adult is being, or has been abused, neglected, or exploited or is in need of protective services, shall:

 

    1. Review report for immediate concerns. When a criminal act has occurred or has appeared to have occurred, immediately notify, in writing, the appropriate law enforcement agency; by sending the PPS 10100,10110, and 10120A.
    2.  Make a face to face visit with the Involved Adult:
      1. Within 24 hours when the information from the reporter indicates imminent danger to the health or welfare of the Involved Adult;
      2. Within three (3) working days for all reports of suspected abuse, when the information from the reporter indicates no imminent danger;
      3. Within five (5) working days for all reports of neglect or financial exploitation when the information from the reporter indicates no imminent danger.
    3.  Complete all other tasks associated with investigations, within thirty (30) working days of receiving a report for cases involving Abuse, Neglect, and Self Neglect. Sixty (60) working days will be allowed for cases assigned for Financial Exploitation. A thorough investigation and evaluation to determine the situation relative to the condition of the Involved Adult and what action and services, if any, are required. The evaluation shall include, but not be limited to, consultation with those individuals having knowledge of the facts of the particular case. If conducting the investigation within thirty (30) or sixty (60) working days would interfere with an ongoing criminal investigation, the time period for the investigation shall be extended, but the investigation and evaluation shall be completed within ninety (90) working days.

KSA 75-723 Section 3 (7) (e)

Whenever a state agency reports a matter involving suspected abuse, neglect or exploitation of an adult to a law enforcement agency or a county or district attorney, such state agency shall simultaneously forward such report to the Abuse, Neglect, Exploitation (ANE) Unit of Attorney General Office.  Notification to ANE Unit shall be made by sending the PPS 10100, 10110, and the 10120A.

 

  1. The Medicaid Fraud unit has authority to investigate allegations of abuse, neglect and exploitation of Medicaid recipients and Medicaid facilities. Un-redacted Reports (PPS 10100 and 10110,) of this type shall also be forwarded to MFCU@AG.KS.GOV.
    1. The APS Specialist or designee shall determine if the allegation of abuse, neglect, or financial exploitation involves:
      1. Persons in programs or residential care facilities receiving federal healthcare funds; or
      2. The alleged perpetrator is either a provider or an employee of a provider receiving federal healthcare funds; or
      3. The setting where the abuse occurred was that of a federally funded healthcare provider.
    2. If the allegation involves any one of the three listed above, the APS Specialist shall provide a copy of the PPS 10100 and 10110, to the Medicaid Fraud and Abuse Division of the Kansas Attorney General’s Office
    3. Provide the Medicaid Fraud and Abuse Division of the Kansas Attorney General’s Office with copies of all reports required to be filed with the Department of Health and Human Services with respect to its activities under the Department’s regulations, and referrals to the Department of Health and Human Services.

  1. Documentation in KIPS
    1. Throughout the investigation, documentation shall be accurately and timely recorded in the appropriate chapters in KIPS. Timely documentation shall be considered no more than five (5) working days after the activity, event, or incident occurred.
    2. APS Specialist shall request records relevant to the investigation within ten (10) working days of the Face to Face contact of the Involved Adult (IA). See appendix 10C.

 

  1. Reports on DCF Employees and/or Their Relatives Identified as Alleged Perpetrators

If a report has been assigned for investigation and a DCF employee is identified as the Alleged Perpetrator, the following shall occur:

 

    1. The report shall be forwarded to the APS Supervisor by the assigned APS Specialist.
    2. The APS Supervisor shall set the investigation to confidential in KIPS once it has been assigned.
    3. Using the KPRC Supervisors e-mail mailbox (PRC Sups), the APS Supervisor shall request, the intake be set to confidential.
    4. The report shall be referred to the local law enforcement agency by the APS Supervisor.
    5. The referral to law enforcement shall contain a request for a copy of the completed law enforcement investigation.
      1. If law enforcement agrees to conduct an investigation, the APS Supervisor shall obtain a copy of the investigation report for the purposes of APS making a case finding.
      2. If law enforcement is not going to pursue an investigation, the APS Supervisor shall consult with the APA to determine if the investigation should be conducted by another DCF region.

The exception is when the report alleges self-neglect by an employee of DCF.

 

In that situation, APS staff in the region in which the employee resides shall conduct the investigation or request a courtesy interview from another DCF region.

 

When the Alleged Perpetrator of abuse/neglect/financial exploitation (ANE) is a relative of a DCF employee, the investigation shall be conducted by APS staff in another portion of the region in which the Involved Adult resides, or a request for a courtesy investigation from staff in another region shall be made by the Supervisor.  If the decision has been made to request a courtesy investigation, the APS APA shall send an e-mail requesting the courtesy investigation to the APS APA for the region to which the request is being made.

 

  1. Conflict of Interest

When an employee is given an assignment that is or could be construed as a conflict of interest, the employee shall notify the Supervisor who shall, in consultation and concurrence with the Regional APS Assistant Program Administrator, determine whether it is appropriate to continue the assignment in question or to reassign the work to another staff person. 

 

  1. Law Enforcement Report

A report that alleges wrong-doing by a Law Enforcement Officer (LEO), the report shall be referred to the Kansas Bureau of Investigation or internal affairs of the law enforcement agency, if one exists.

 

If there are parts of the report that allege ANE by others or self-neglect, the report shall be assigned to APS if screened in, however the part that alleges wrong-doing by a LEO will not be investigated.

 

  1. Joint Investigations with Law Enforcement

A joint investigation between the APS Specialist and law enforcement may occur in the following situations:

 

Per KSA 39 1433 Section 3 (1)

Immediately notify, in writing, the appropriate law enforcement agency when a criminal act has occurred or appears to have occurred.

 

The PPS 10100, 10110, and 10120A shall be used to notify law enforcement and includes a request for assistance from law enforcement in contacting the Involved Adult, if necessary

 

The Supervisor/designee shall:

 

    1. Notify law enforcement DCF 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.
    2. Check with law enforcement to ensure APS involvement does not interfere with the criminal investigation or case.
    3. Document in KIPS record all contacts with law enforcement.

Per KSA 75-523 Section 3 (7) (e), whenever a state agency reports a matter involving suspected abuse, neglect or financial exploitation of an adult to a law enforcement agency or a county or district attorney, such state agency shall simultaneously forward such report to the ANE unit of Attorney General Office.

 

The PPS 10100, 10110, and 10120A shall be used to notify the ANE unit of all reports, excluding self-neglect, forwarded to law enforcement or county or district attorney of alleged abuse, neglect, or financial exploitation which include information regarding an alleged criminal act.

 

    1. If the report/assessment indicates the Involved Adult is in a life endangering situation, including self-harm or neglect, the APS Specialist shall determine if law enforcement assistance is needed.
    2. If determined there is a safety risk to the APS Specialist.

There shall be a free exchange of information between the APS Specialist and law enforcement. Upon completion of the criminal investigation by the law enforcement agency, a full report shall be provided to the Department for Children and Families K.S.A. 39-1443(b).

 

If a dispute develops between agencies investigating a reported case of abuse, neglect, or financial exploitation, the appropriate county or district attorney shall take charge of, direct, and coordinate the investigation.

 

  1. Notification to KDADS licensed community-based facility Chief Administrative Officer (CAO)

If the report is assigned for further assessment, and the allegation occurred in a KDADS licensed community based facility or agency or the Involved Adult is receiving in-home services provided by a KDADS licensed community based facility and the Alleged Perpetrator is an employee of that facility, the assigned APS Specialist shall forward to the CAO of the involved KDADS licensed community based facility the following:

 

    1. Completed PPS 10125 within five (5) working days
    2. A copy of the PPS 10110 with the following information redacted (if provided in PPS 10110):
      1. Name and any identifying information about the reporter
      2. Name, address, and relationship of Alleged Perpetrator to the Involved Adult

A community-based facility or agency licensed by Kansas Department for Aging and Disability Services include:

 

    1. Residential Care Facilities (RCF),
    2. Community Service Providers (CSP),
    3. Community Developmental Disability Organizations (CDDO) Affiliates,
    4. Community Mental Health Centers (CMHC),
    5. Affiliated Community Mental Health Service Providers, and
    6. Private Psychiatric Hospitals which does not include psychiatric units in a local community hospital which are licensed by KDHE.