INSTRUCTIONS TO STAFF 340:5-3-6
Revised 11-1-11
1. (a) The Adult Protective Services (APS) specialist IV uses the items in (1) through (6) of this Instruction as screening criteria for reports.
(1) Is the alleged victim (AV) of maltreatment reported to be a vulnerable adult?
(2) Does the situation described potentially fall into one of the categories of abandonment, abuse, financial neglect, neglect, self-neglect, exploitation, sexual abuse, sexual exploitation, or verbal abuse?
(3) Does the setting where the maltreatment is alleged to have occurred fall into the jurisdiction of the community APS program?
(4) Does the situation as reported appear to potentially require emergency intervention?
(5) The APS specialist IV determines whether the situation presents a potential, immediate threat to the APS specialist or vulnerable adult. If a potential threat exists, the APS specialist IV or APS specialist contacts emergency personnel. Emergency personnel may precede or accompany the APS specialist to the home. APS specialists are not first responders and do not knowingly insert themselves into dangerous situations. APS specialists may receive additional information from emergency personnel or discover situations requiring emergency personnel at the initial home visit and may facilitate the provision of needed services as appropriate.
(6) When a report is not accepted for APS investigation, the APS specialist refers the reporter to other agencies that may provide assistance. The APS specialist documents the contact as an Information and Referral (I & R) in the APS Computer System I & R Notes Section and states reasons the report did not meet the criteria for investigation.
(b) If there is insufficient information in the report to immediately determine the AV meets the definition of vulnerable adult, the APS specialist IV attempts to determine vulnerability.
(1) Information on the Oklahoma Department of Human Services (OKDHS) computer system may be viewed, and the APS specialist IV may contact the reporter for additional information, to assist in this determination. APS specialist IVs must be familiar with the definition of vulnerable adult, and remember that it is not necessary to have a formal determination of disability to consider an adult vulnerable.
(2) Unless it is clear that the AV is not a vulnerable adult, the report may not be screened to I & R solely based on lack of vulnerability.
(c) The APS specialist IV considers the definitions of the types of maltreatment. If the alleged situation fits at least one of the definitions of maltreatment, it is accepted for investigation. If the situation does not fit one of the definitions, the report is screened as I & R, the APS specialist IV documents in the Notes Section why the report was screened as I & R, and the reporter, if known, is contacted to discuss other alternatives for handling the issue.
(d) If a report contains allegations of serious problems that could result in death or serious physical harm to the AV, the report is screened as requiring immediate action, and is immediately communicated to the assigned APS specialist. In case of these emergencies, APS specialists are required to carry agency issued cell phones at all times.
(e) If the setting is not in a jurisdiction APS investigates, as described in OAC 340:5-3-4, the APS specialist advises the reporter, when known, of the name of the agency to which APS will forward the report.
2. APS specialists are familiar with the provisions of the Protection from Domestic Abuse Act, Sections 60 through 60.18 of Title 22 of the Oklahoma Statutes (22 O.S. § 60 - 60.18), the Domestic Abuse Reporting Act, 22 O.S. § 40.5 through 40.7, and 74 O.S. § 150.12.B.
(1) In cases where the AV does not meet the APS definition of vulnerable adult, the APS specialist refers the AV to the local court clerk or other appropriate service provider for assistance in obtaining legal advice, action, or both, and services.
(2) If the report includes an allegation of abuse or neglect of a person younger than 18 years of age, the APS specialist immediately makes a referral to Child Protective Services (CPS), and coordinates the investigation with the Children and Family Services Division (CFSD) worker.
3. (a) Additional screening criteria apply upon receipt of a report involving OKDHS employees or their immediate or extended family members to help determine if the potential for conflict of interest exists with the AV or alleged perpetrator (AP). It is never appropriate for anyone to discuss the report with the involved employee outside of the investigative process. Notifying an employee of a pending investigation is a violation of the confidentiality provisions of 43A O.S. § 10-110. In addition to the basic screening criteria, the APS specialist IV determines:
(1) the relationship of the AV to the OKDHS employee;
(2) whether the employee is the AP; and
(3) the extent of any involvement between the employee and local APS specialists, including the APS specialist IV.
(b) After thoroughly analyzing the additional screening criteria, the APS specialist IV, county director, and area APS program field representative (PFR), determine whether the potential for conflict of interest or the appearance thereof may exist if the report is assigned for investigation to local staff.
(1) The potential for conflict of interest may be determined to exist if, through acquaintance with the employee, the APS specialist or APS specialist IV could possibly be accused of favoring the employee's wishes or benefiting the employee in any way through the investigation.
(2) In some cases in which the employee is a family member, but not an AP or actively involved in the care of the AV, there may be no question of conflict of interest and the referral may be investigated without being transferred.
(c) If the potential for conflict of interest exists, the APS PFR coordinates with the county director to assign the referral to a different APS specialist IV group. If an out-of-area assignment of the report is necessary, the area director or designee coordinates the action with the other involved area director or designee as well as county directors of the sending and receiving human services centers (HSCs). The Family Support Services Division (FSSD) APS Unit, may be consulted at any time in determining the appropriate disposition of a report involving an OKDHS employee. After a decision is reached regarding assignment of the report, the involved county directors are notified, as well as the APS specialist IV for the receiving HSC.
(1) Out-of-group assignment is appropriate when the local employee who is involved in the report is not well known to other APS staff in the area.
(2) Out-of-area assignment is appropriate when the local employee involved in the report is well known over a large portion of the area, and APS staff in the area could not investigate without the potential appearance of conflict of interest.
(d) If the allegation involves possible violations of the employee's professional position, a recommendation is made to refer the report to the Office of Inspector General (OIG) of OKDHS on Form 19MP001E, Referral Form, or the electronic equivalent. If accepted by OIG, local staff cooperate as requested. If OIG declines, the area director or designee follows the procedure for assigning a complaint that involves an employee.
(e) Per OAC 340:5-3-2(c) Instructions to staff (ITS) # 1, in an emergency situation requiring an immediate response, HSC staff from the office where the alleged victim resides resolves the emergency and then follows the procedure to have the case reassigned to staff in a different HSC if necessary.
(f) The APS specialist IV notifies the area director immediately of substantiated referrals in which the employee is named as perpetrator, and also notifies FSSD, APS Unit, of any training issues that are identified as a result of the findings.
(g) Refer to OKDHS:115-3-2(e)(5) for rules regarding the county director's responsibility as the custodian of records for the human services center (HSC) and when the employee and county director must complete Form 08AD042E, Securing and Assigning Sensitive Case Records.
(1) Paper case records on APS investigations involving OKDHS employees are maintained in the locked executive files section of the local office.
(2) Electronic records are appropriately coded for confidentiality by the APS specialist IV during the screening process in the APS Computer System to restrict who has access to these records.