10320 Required Documentation for Case Findings
The APS Protection Specialist shall review all abuse, neglect, and financial exploitation 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.
A. Notes Section Documentation
1. The APS Protection Specialist, in consultation with the supervisor or designee, shall make the finding decision. The finding decision and its rationale shall be documented by the APS supervisor or designee in KIPS as a Meeting/Case Conference note type.
a. The finding note required elements include, but not limited to:
i. A summary of allegations and information about the involved adult, including, but not limited to, vulnerability, cognitive status, and if applicable legal representative.
ii. A summary of the interview with the Involved Adult (IA).
iii. Documentation of Interview for Decisional Abilities (IDA) and the outcome of the IDA.
iv. Collateral information
v. A summary of the interview or explanation of attempts to interview the Alleged Perpetrator (ALP).
vi. A finding determination based on clear and convincing evidence and the definition of Abuse, Neglect, or Financial Exploitation.
B. Notice of Agency Decision(s)
1. The PPS 10300 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.
a. The Notice of Agency Decision shall include 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.
b. The following language shall be used in PPS 10300 Notice of Agency Decision.
i. On DATE, DCF received a report alleging ALLEGATION of VICTIM. Based on the information gathered during the investigation there (is/is not) clear and convincing evidence to determine ALLEGATION has occurred as defined by K.S.A. 39-1430.
c. The PPS 10300 Notice of Agency Decision shall not be sent to the Involved Adult.
2. The PPS 10320A Notice of APS Case Closure - For Self Neglect Cases and PPS 10320B Notice of APS Case Closure - Non-Self Neglect Cases shall be sent to the involved adult or, if applicable, his/her guardian. 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.
a. The APS Protection Specialist may delay sending the PPS 10320B until after all allegations in a case have a finding.
i. The PPS 10320A or PPS 10320B shall be sent within five (5) working days after all case allegations have a finding.
ii. 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 Notice of Agency Decision.
iii. When there are allegations of both self-neglect and another allegation type(s), the involved adult shall be sent only the PPS 10320B.
3. The APS Protection Specialist shall consult with the supervisor, and if necessary, the regional attorney, if there are concerns of notification of a finding to the involved adult or alleged perpetrator might jeopardize the safety of the involved adult. If the decision is not to send a PPS 10320B Notice of APS Case Closure Non Self-Neglect or PPS 10300 Notice of Agency Decision, the reason shall be documented in KIPS. In all substantiated cases, the alleged perpetrator shall be notified.
C. Notification to Law Enforcement, County/District Attorney
1. If the finding is substantiated, a copy of the PPS 10350 shall be forwarded to the appropriate law enforcement agency within five (5) working days of the finding date and, if appropriate, the county/district attorney’s office.
D. Notification to Economic and Employment Services (EES) Regarding APS Finding
1. 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 within five (5) working days of the finding date.
E. Memo Notifications to Community-Based Facility Regarding APS Finding(s) (PPS 10340)
1. 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:
a. The abuse, neglect or financial exploitation (ANE) occurred in the facility (residential, day services, etc.) or
b. The alleged perpetrator of abuse, neglect, or financial exploitation is an employee of the KDADS licensed community-based facility, and the facility is providing in-home services to the involved adult.
2. The PPS 10340 shall be sent within five (5) working days of the finding decision. The memo shall not include the perpetrator’s name.
3. See PPM 10111.A.2.a, for examples of community-based facilities licensed by KDADS.
4. If the allegation is self-neglect, do not send a PPS 10340.
F. Notification to Quality Management Specialists (QMS) Regarding APS Finding
1. The QMS shall be notified of the investigation outcome by sending the PPS 10100, 10110, and 10300 or 10320A (as applicable) to the KDADS.CSSPRC@ks.gov for adults on a waiver or to the KDADS.MHPRCReports@ks.gov for adults receiving services from a Certified Community Behavioral Health Clinics (CCBHC) within five (5) working days of the finding date.
2. The QMS shall also be sent the PPS 10340 Memo Notification to Community Based Facility Regarding APS Finding 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).
3. The subject line of the email shall contain specific information necessary to identify the type of report for KDADS. The subject line shall not include the involved adult’s name:
a. Finding: Substantiated or Unsubstantiated
i. HCBS Waiver Type: FE, PD, IDD, BI, etc. or name of Certified Community Behavioral Health Clinics (CCBHC)
ii. County where the facility is located: Two letter code
iii. An example for the subject line of the e-mail shall read:
Unsubstantiated PD JO
Substantiated Pawnee Mental Health Services RL
4. If additional information is obtained during the investigation which that was not fully described on the PPS 10100, PPS 10110, or PPS 10340 the Protection Specialist may provide a summary in the email notification.
G. Notification to the Attorney General’s Abuse, Neglect, and Exploitation (ANE) Unit.
1. The following shall be 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:
a. A copy of the PPS 10300, Notice of Agency Decision, except self- neglect;
b. Notifications to Law Enforcement: PPS 10120A and PPS 10350;
c. The APS Closure Summary document printed from KIPS Documentation Chapter;
d. The PPS 10100 and PPS 10110;
e. The 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.
f. The subject line shall include the following wording: “New Finding” and “encrypt”. E-mail documents to the following address ANE@ag.ks.gov
H. Notification to the Attorney General’s Medicaid Fraud Control Unit (MFCU)
1. The following shall be e-mailed to MFCU within (10) working days of the date of finding if the finding is substantiated:
a. A copy of the PPS 10300, Notice of Agency Decision, except self- neglect;
b. Notifications to Law Enforcement: PPS 10120A and PPS 10350;
c. The APS Closure Summary document printed from KIPS Documentation Chapter;
d. The PPS 10100 and PPS 10110;
e. In the MFCU Unit e-mail, include in the subject line the wording “New Finding” and “encrypt”. E-mail documents to the following address: MFCU@ag.ks,gov
I. Reports to State Regulatory Authority from Adult Protective Services Regarding Finding of Abuse, Neglect, or Exploitation (PPS 10360)
1. 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).
J. 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 Licensing or KDHE
1. When a substantiated finding is made regarding 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:
a. The APS Protection Specialist notifies the supervisor
b. The APS Supervisor informs the APS Assistant Program Administrator (APA).
c. 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:
i. 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.
2. Review of the substantiated finding and providing additional information shall follow PPM10212 C-E.