10320 Required Documentation for Case Findings
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10320 Required Documentation for Case Findings

The APS Protection Specialist shall review all abuse, neglect, exploitation, and fiduciary abuse findings with the supervisor or designee.  Once a finding is reviewed, the APS Protection Specialist shall complete all necessary documentation in the Kansas Intake/Investigation Protection System (KIPS) notes section within 5 working days.

 

  1. Notes Section Documentation

The necessary documentation shall include the following information:

 

    1. The APS Protection Specialist, in consultation with the supervisor and/or designee shall make the finding decision.  The finding decision and its rationale shall be documented by the APS supervisor and/or designee in KIPS as Meeting/Case Conference note type.

a. The minimum six elements are required in finding note, but not limited to:

        1. Summary of allegations including, but not limited to, vulnerability, cognitive status, and legal representative.
        2. Summary of interview with the Involved Adult (IA).
        3. Documentation of Interview for Decisional Abilities (IDA) and a brief summary of the outcome of the IDA.
        4. Collateral information which helps support the finding
        5. Summary of interview or explanation of attempts to interview the Alleged Perpetrator (ALP).
        6. Finding is based on evidence that meets or does not meet the clear and convincing standard of proof.

    1. Notice of Agency Decision note type including documentation of recipients of the notices.

  1. Notice of Agency Decision

The Notice of Agency Decision shall be sent to the alleged perpetrator on all findings, excluding self-neglect, within five (5) working days of making the finding. The Notice shall include a brief explanation of the allegation, basis for the finding, and the Prevention and Protection Services Policy and Procedure Manual (PPM) reference for the definition of substantiated or unsubstantiated. The PPS 10300 shall not be sent to the involved adult.     

 

The involved adult or, if applicable, his/her guardian shall also be notified, including closure of a self-neglect investigation. The APS Protection Specialist shall use professional judgment based on interaction with the involved adult and his/her understanding as to whether notification is made by personal visit, telephone, or letter. If notification is in written form, the PPS 10320A form letter shall be used for self-neglect assessments, and the PPS 10320B form letter shall be used for investigations of all other allegations.  The APS Protection Specialist may delay sending the PPS 10320A or PPS 10320B until after all allegations in a case have a finding.  The PPS 10320A or PPS 10320B shall be sent within 5 days following all allegations in a case have a finding.

 

If the guardian is the alleged perpetrator, the PPS 10320B shall not be sent to the guardian, as they receive notice of the agency decision by receiving the PPS 10300

 

When there are allegations of self-neglect and one of the other allegation types, the involved adult shall be sent only the PPS 10320B.

 

The APS Protection Specialist shall consult with the supervisor, and if necessary the Regional attorney, if there are concerns notification to the involved adult and/or alleged perpetrator might jeopardize the safety of the adult. If the involved adult lives with the alleged perpetrator and notifying the alleged perpetrator of the unsubstantiated finding may result in safety concerns an exception to sending the Notice of Agency Decision may be made. The decision not to send a Notice of Agency Decision shall be documented in KIPS. In all substantiated cases, the alleged perpetrator shall be notified.

 

  1. Notification to Law Enforcement, County/District Attorney

If the finding is substantiated, a copy of the PPS 10350 shall be forwarded to law enforcement within five (5) working days of the finding date and if appropriate, the county/district attorney’s office.

 

  1. Notification to Economic and Employment Services (EES) Regarding APS Finding

If the finding is the result of an EES referral for misappropriation of funds, provide the PPS 10300 to the EES worker who made the referral.

 

  1. Memo Notifications to Community Based Facility Regarding APS Finding (PPS 10340)

The Memo Notification to the community-based facility regarding the APS finding shall be sent to the Chief Administrative Officer of the KDADS licensed community-based facility in the following situations:

 

    1. The abuse, neglect or exploitation (ANE) occurred in the facility (residential, day services, etc.) or
    2. The alleged perpetrator of abuse, neglect, or exploitation is an employee of the KDADS licensed community-based facility, and the facility is providing in-home services to the involved adult.

The PPS 10340 shall be sent within five (5) working days of the finding decision. The memo shall not include the name of the perpetrator.

 

See PPM 10110 (B)(1)(b) for examples of community-based facilities licensed by KDADS.

 

If the allegation is self-neglect, do not send a PPS 10340.

 

  1. Notification to Quality Management Specialists (QMS) Regarding APS Finding

The QMS shall be notified of the investigation outcome by sending the PPS 10100, 10110, and 10300 or 10320 A (as applicable) to the KDADS.CSSPRC@ks.gov mailbox for adults on a waiver or to the KDADS.MHPRCReports@ks.gov.mailbox for adults receiving services from a Community Mental Health Center within five (5) working days of the finding date.

 

The QMS shall also be sent the Memo Notification to Community Based Facility Regarding APS Finding (PPS 10340) for all cases in which the PPS 10340 is sent to the Chief Administrative Officer of the KDADS licensed community-based facility, per PPM 10320(E).
 

The subject line of the email shall contain specific information necessary to identify the type of report for KDADS:  

 

    1. Finding:  Substantiated or Unsubstantiated
    2. Waiver Type:  FE, PD, IDD, BI, etc. or name of Community Mental Health Facility
    3. County where the facility is located: Two letter code
    4. An example for the subject line of the e-mail shall read:                              
      1. Unsubstantiated PD JO
      2. Substantiated Pawnee Mental Health Center RL

 

If additional information is obtained during the investigation which was not fully described on the PPS 10100, PPS 10110 or PPS 10340 the social worker may provide a summary in the email notification.

 

  1. Notification to the Abuse, Neglect, and Exploitation (ANE) Unit.

The following shall be faxed or e-mailed to the ANE Unit of the Attorney General’s office within ten (10) working days of the date of finding if the finding is substantiated:

 

    1. A copy of the PPS 10300, Notice of Agency Decision, except self- neglect;
    2. Notification to Law Enforcement: PPS 10120 and PPS 10350;
    3. A summary of finding printed from KIPS Notes Section;
    4. PPS 10100 and PPS 10110;
    5. PPS 10370 Coversheet located in the forms section of the Manual.  If there is a delay in making a finding, the reason for the delay shall be included on the cover sheet.
    6. The ANE Unit prefers the documents be faxed, but if e-mailing, include in the subject line the wording “New Finding” and “encrypt”.  E-mail documents to the following address: ane@ag.ks.gov

  1. Notification to the Medicaid Fraud Unit (MFCU)

The following shall be faxed or e-mailed to the Medicaid Fraud Unit within (10) working days of the date of finding if the finding is substantiated:

                 

    1. A copy to of all reports submitted to Law Enforcement regarding alleged criminal activity to MFCU.  The following forms will be sent to MFCU@ag.ks.gov; PPS 10100, 10110, 10120a,10300, 10350, Closure Summary.

  1. Reports to State Regulatory Authority from Adult Protective Services Regarding Finding of Abuse, Neglect, or Exploitation (PPS 10360)

At the conclusion of the appeal period, the APS Protection Specialist or designated staff shall, within five (5) working days forward the substantiated finding involving providers of services licensed, registered, or otherwise authorized to provide services in this state to the appropriate state authority, using the PPS 10360. K.S.A. 1433(4)(b).

 

  1. Notification to PPS Administration of Substantiated Finding on Person who Works, Resides, or Volunteers in a childcare facility (foster or group homes) regulated by DCF

When a substantiated finding is made on an alleged perpetrator who works, resides, or volunteers in a childcare facility regulated by DCF Licensing or KDHE, PPS Administration shall be notified of the substantiated finding.  

The steps are as follows:

    1. The APS Protection Specialist notifies the supervisor
    2. The Supervisor informs the Assistant Program Administrator (APA).
    3. The APA will complete the PPS 10212 Critical Incident Form and send it, along with the copy of PPS 10100, 10110 and the 10300 to Assistant Regional Director, Regional Attorney APS Program Administrator, and the DCF Critical Incident mailbox by close of business on the next working day after finding made:

In the subject line of the e-mail indicate this is a substantiated finding on a person who works, resides, or volunteers in a childcare facility regulated by DCF Licensing or KDHE.

Review of the substantiated finding and providing additional information shall follow PPS10212C-E.