Adult Protective Services

Adult Protective Services

The purpose of this section is to provide statewide policy and general procedures for the Adult Protective Services (APS) program. Local procedures developed by each Region may supplement this chapter. APS staff must know and implement state and local policy and procedure.

Chapter 74.34 RCW authorizes the Department of Social and Health Services (DSHS) to investigate reports of abandonment, abuse, financial exploitation, neglect and self-neglect of vulnerable adults, and to provide protective services and legal remedies to protect vulnerable adults.

Table of Contents

Adult Protective Services 1

Ask an Expert 6

Definitions 7

Vulnerable Adults 7

Types of Abuse under RCW 74.34.020 7

Other Definitions Used by APS 10

Overview of the APS Program 14

Scope – Who performs investigations within ALTSA? 14

APS Reporting Requirements and Information 16

Mandated Reporting of Abuse of Vulnerable Adults 16

Failure of a Mandated Reporter to Make an APS Report 17

Permissive Reporting of Abuse of Vulnerable Adults 17

Reporter Confidentiality and Immunity 18

Interference with Reporting Requirements 18

APS Intake 19

APS Receipt of Reports 19

Summoning Emergency Response 20

As an APS Worker, Where do I enter information and what do I include in an APS Intake Report? 21

Sensitive, Critical or High Profile Cases – Restricted Case Designation 22

Intake and Coordination of Cross-Region APS Reports & Cases 23

APS Referrals to/from other Investigative Authorities 24

Reporting to Law Enforcement 24

Reporting Provider Fraud to Medicaid Fraud Control Unit (MFCU) and Reporting Client Fraud 25

Department of Health (DOH) 26

Licensing Authorities for Professions under Title 18 RCW (other than Health Professionals covered by DOH) 28

DSHS (RCS, CPS) 29

Indian Tribes in Washington 30

APS or Law Enforcement in another State 31

Part in WA, Part in another State: 31

Overview Chart: Sharing APS Intake Report Information with others 31

Screening Reports 33

APS Intake Report Screening Process 33

Reports Containing an Alleged Victim Age 18 or Older who has a Developmental Disability 34

Overview Chart of Intake Flow 35

Overview of Screening Decision Factors 36

Circumstances under which DSHS will Screen-Out an Intake Report (not assign for APS investigation) 37

Screen Out Decision Criteria Chart 37

Circumstances under which APS will investigate 39

The alleged victim is deceased at the time of intake 42

Investigation Response Priority Categories: “High,” “Medium” or “Low” 42

Investigation: Coordinating with Other Investigative Authorities 44

Coordinating with Law Enforcement 44

Coordinating Investigations with Medicaid Fraud Control Unit (MFCU) 45

If requested, APS shall provide MFCU an unredacted copy of the APS case record.Coordinating with RCS for Investigations Involving Residents in a DSHS Licensed or Certified Setting 45

Coordinating with CA for Investigations Involving Residents in a DSHS Licensed or Certified Setting 48

Coordinating with the Department of Health (DOH) 49

Coordinating with Tribes 49

Coordinating with the DDA and Long-Term Care Ombudsman Programs 49

Safe Field Work Practices 50

For additional information related to APS worker safety refer to 52

Investigation: Procedures for All APS Investigations 53

Searching Databases 53

Consent to Investigate 53

Obtaining Documentary Evidence 53

Interviewing the Reporter 54

Interviews - General Protocol for All APS Interviews 54

Interview Documentation 54

Interpreters 55

Interview Behavior 55

APS Worker Interview Safety 56

Interviewing the Alleged Victim 56

Timeframe to Conduct the Interview – Alleged Victim 57

Timeframe Exceptions: 57

Scheduled versus Unscheduled Interview - Alleged Victim 58

Third Party Presence in an Interview- Alleged Victim 59

Decision Making Screening 60

Giving Clients the “Your Rights”, DSHS 14-521 Form 62

Interviewing the Alleged Perpetrator 62

When a Face to Face Interview is Not Required 63

For AP interviews only when investigation is leading to a substantiated finding: 64

Interviews - Unique Circumstances 64

Person to be Interviewed is Incarcerated 64

Person to be Interviewed is a Minor Under Age 18 64

Person to be Interviewed Has a DPOA or Legal Guardian 65

A Person is Reported to be “Non-Interviewable” 65

Investigation: Unique Circumstances 66

Alleged Perpetrator is a DSHS Employee, AAA Employee, or AAA Subcontractor (including employees in RHCs and SOLAs) 66

APS Investigation of an Alleged Perpetrator Who May Have Also Committed a Crime 69

APS Investigation of a Personal Aide Providing Self-directed Care 70

APS Investigation of a Minor Alleged Perpetrator Under Age 18 71

APS Investigation Involving a Client of a DSHS/Aging Network Case Manager 71

APS Investigation Involving a Client Participating in New Freedom, Program of All-Inclusive Care for the Elderly (PACE) or Managed Care Plan 73

Alleged Victim Dies While the APS Case is Open 73

Alleged Perpetrator Dies During Open Case or Due Process 74

Self Neglect Specialist Protocol 74

Financial Exploitation Specialist Protocol 76

APS Tools 80

Legal Injunction 80

Photography to Document Evidence 80

Consent to Photograph 80

Photography Guidelines 81

Documentation and Tracking Photographs 81

APS Request for a Background Check through BCCU 81

How to Submit a Request for an APS Background Check through BCCU 81

Confidentiality of Background Check Information from BCCU 83

APS Use of Accurint to Search for Information 83

Purpose 83

Access to Accurint 83

Types of Searches 84

Confidentiality of Information Obtained through Accurint 84

Declaration Form 85

Investigation: Findings 86

Meaning of Recommended, Initial and Final Findings 86

Investigation Closure and Finding Options 87

Factors For Substantiation of Neglect or Abandonment 89

Factors For Substantiation of Abuse 90

Factors For Substantiation of Financial Exploitation 91

Factors for Substantiation of Self – Neglect 91

APS Investigation Staffing Protocol 92

Investigation Staffing Process: 92

Process for APS Program Managers or Field Service Administrators (FSAs): 93

Investigation Review of Recommended Substantiated Finding 94

Supervisor Approval 94

Regional Investigation Review Team (IRT): 94

Notification of APS Findings 96

Types of Outcome Reports 96

Outcome Report Form 96

Outcome Report – AP Form 96

Notification letters 96

Summary Chart of APS Notification: Who Gets What Investigation Outcome Information? 97

A Substantiated Initial Finding 103

Notifying the Alleged Victim/Legal Representative 103

Notifying the Alleged Perpetrator 103

Notifying the Agency/Program Employer of the Alleged Perpetrator 105

Notifying the DSHS (HCS, DDA, CA)/AAA/Aging Network Case Manager 106

Notifying the Home Care Referral Registry 106

Notifying Law Enforcement 106

Notifying the DSHS Facility Licensing Authority 106

Notifying the Facility in Which the Incident Occurred 107

An “Unsubstantiated,” Inconclusive,” or “Substantiated-Unknown Perpetrator” Finding 107

The Alleged Victim/Legal Representative 107

The Alleged Perpetrator 107

The Agency/Program Employer of the Perpetrator 107

Notifying the DSHS (HCS/DDA/CA)/AAA/Aging Network Case Manager 108

Notifying Law Enforcement 108

APS Due Process and ADS Abuse Registry 109

Administrative Hearing to Challenge an APS Initial Finding 109

Notifying the Alleged Perpetrator who is a Service Member on Active Duty or a Dependent of a Service Member on Active Duty 109

Discovery and Protective Order Procedure 111

Subpoenas 111

Dissemination of APS Case Record Information 112

When Discovery Has Been Requested 112

When Discovery Has Not Been Requested 112

Witness Payment 112

Change of Findings 113

Other Administrative Hearings that May Involve APS 113

DSHS Board of Appeals (BOA) 114

Judicial Review 114

Placing the Perpetrator on the ADS Registry 114

Nursing Assistant Employed in a Nursing Facility or Skilled Nursing Facility 115

Perpetrators other than Nursing Assistants in a Nursing Facility or Skilled Nursing Facility 115

Multiple Entries: Involving Alias Information, Multiple Cases or an Individual Previously Entered into the Abuse Registry 116

Changing an ADS Registry Entry 116

Sending Final Findings of Professionals under RCW 18.130 to DOH: 117

Sending Notice of a Final Finding against a Nursing Assistant employed in a Nursing Facility or Skilled Nursing Facility 117

Protective Services 119

Description of Protective Services 119

AAG involvement: 120

Authorization and Payment for APS Protective Services 121

Hierarchy of Protective Services Funding Sources 121

Intervention Services Funds 121

Authorization and Payment for Medicaid Services 122

Criteria for Use of State-Only-Funded Protective Services 122

Authorization and Payment for State-Only-Funded Protective Services 123

Legal Protective Services and Remedies 125

Protection Orders 125

Who may seek the protection order? 125

What “assistance” can an APS worker provide to the vulnerable adult who is seeking his/her own protection order? 126

Procedures 126

Guardianship 128

Petition under RCW 74.34.067(5) 128

Procedure to Remove or Modify a Guardianship 129

Power of Attorney 129

Coordination with Community Resources 131

Domestic Violence 131

Mental Health 131

APS Regional Resource Teams 131

APS Regional Resource Team Function 132

APS Regional Resource Team Membership and Appointments 132

APS Case Record and Documentation 134

The APS Case Record- Retention and Documentation Principles 134

APS Record Retention 135

Documentation Principles 135

Documenting Threatening Behavior 136

Tracking Incidents of Vulnerable Adults (TIVA) 137

Case Notes 137

Finding Template 137

Business Rules: 137

External Report: “APS Outcome Report” 138

HCS Adult Protective Services Intake Report 138

Criminal Investigation Request: APS Referral 138

Disclosure of APS Information 139

Within DSHS: Sharing APS Information 139

For Case Planning and Consultation 139

For Administration of DSHS Programs 139

Outside DSHS: Routine Sharing of APS Information under RCW 74.34 140

Public Disclosure of APS Information 140

Subpoena for APS Information 142

Discovery 142

Summary Chart of Guidelines for Release of Requested APS Case Record Information 142

After Event Review 146

Purpose 146

Policy 146

Scope 146

Process 147

Rules and Policy Governing the APS Program 149

APS List of Acronyms 150

Ask an Expert

·  Jackie Heinselman at (360) 725-2616 or

·  Carol Sloan at (360)725-2345 or

·  Vicky Gawlik at (360)725-2615 or

Definitions

Chapter 74.34 RCW and WAC 388-71-0105 provide definitions that apply to the APS program.

Vulnerable Adults

A vulnerable adult is defined in Chapter 74.34 RCW as a person who is:

1.  60 years of age or older with the functional, mental, or physical inability to care for himself or herself;

Or

2.  Over age 18 and:

o  Has a guardian appointed through superior court as per Chapter 11.88 RCW; or

o  Has a developmental disability as defined in RCW 71A.10.020, such as intellectual disability, cerebral palsy, epilepsy, autism, or a condition similar to intellectual disability which originated prior to age eighteen; or

o  Lives in a facility licensed by DSHS (e.g., adult family home, assisted living facility, nursing home, soldier’s home, residential habilitation center, children’s foster home); or

o  Receives services from an individual provider as defined in RCW 74.34.020; or

o  Receives in-home services through a licensed home health, hospice, or home care agency; or

o  Self-directs his or her own care by a personal care aide who performs that care for compensation.

Types of Abuse under RCW 74.34.020

1.  “Abandonment” means action or inaction by a person or entity with a duty of care for a vulnerable adult that leaves the vulnerable person without the means or ability to obtain necessary food, clothing, shelter, or health care.

2.  “Abuse” means the willful action or inaction that inflicts injury, unreasonable confinement, intimidation, or punishment on a vulnerable adult. In instances of abuse of a vulnerable adult who is unable to express or demonstrate physical harm, pain, or mental anguish, the abuse is presumed to cause physical harm, pain, or mental anguish. Abuse includes sexual abuse, mental abuse, physical abuse, and exploitation of a vulnerable adult which have the following meanings:

Effective 7/24/2015: “Abuse” means the willful action or inaction that inflicts injury, unreasonable confinement, intimidation, or punishment on a vulnerable adult. In instances of abuse of a vulnerable adult who is unable to express or demonstrate physical harm, pain, or mental anguish, the abuse is presumed to cause physical harm, pain, or mental anguish. Abuse includes sexual abuse, mental abuse, physical abuse, and personal exploitation of a vulnerable adult, and improper use of restraint against a vulnerable adult which have the following meanings:

a.  “Sexual abuse” means any form of nonconsensual sexual contact including, but not limited to, unwanted or inappropriate touching, rape, sodomy, sexual coercion, sexually explicit photographing, and sexual harassment. Sexual abuse includes any sexual contact between a staff person, who is not also a resident or client, of a facility or a staff person of a program authorized under Chapter 71A.12 RCW, and a vulnerable adult living in that facility or receiving service from a program authorized under Chapter 71A.12 RCW, whether or not it is consensual.

Effective 7/24/2015: “Sexual abuse” means any form of nonconsensual sexual conduct including, but not limited to, unwanted or inappropriate touching, rape, sodomy, sexual coercion, sexually explicit photographing, and sexual harassment. Sexual abuse includes any sexual conduct between a staff person, who is not also a resident or client, of a facility or a staff person of a program authorized under Chapter 71A.12 RCW, and a vulnerable adult living in that facility or receiving service from a program authorized under Chapter 71A.12 RCW, whether or not it is consensual.

b.  “Physical abuse” means the willful action of inflicting bodily injury or physical mistreatment. Physical abuse includes, but is not limited to: striking with or without an object, slapping, pinching, choking, kicking, shoving, prodding, or the use of chemical restraints or physical restraints unless the restraints are consistent with licensing requirements, and includes restraints that are otherwise being used inappropriately.

Effective 7/24/2015: “Physical abuse” means the willful action of inflicting bodily injury or physical mistreatment. Physical abuse includes, but is not limited to: striking with or without an object, slapping, pinching, choking, kicking, shoving, or prodding.

c.  “Mental abuse” means any willful action or inaction of mental or verbal abuse. Mental abuse includes, but is not limited to: coercion, harassment, inappropriately isolating a vulnerable adult from family, friends, or regular activity, and verbal assault that includes ridiculing, intimidating, yelling, or swearing.

Effective 7/24/2015: “Mental abuse” means a willful verbal or nonverbal action that threatens, humiliates, harasses, coerces, intimidates, isolates, unreasonably confines, or punishes a vulnerable adult. Mental abuse may include ridiculing, yelling, or swearing.