Investigating and Reporting Allegations of Misconduct in DQA-Regulated Facilities presented by: University of Wisconsin Oshkosh CCDET WI Department of Health Services DQA

2 Learning Points Caregiver Misconduct Definitions Developing an Investigation Protocol Conducting an Internal Investigation Interviewing Skills Reporting Requirements Caregiver Misconduct Definitions Developing an Investigation Protocol Conducting an Internal Investigation Interviewing Skills Reporting Requirements

3 A Word about Prevention Background Checks Are Good But Not Enough Key Thoughts on Preventing Caregiver Misconduct Adapting Keys to Prevention in Your Facility

4 Legal Definitions Misconduct AbuseNeglectMisappropriation Injury of Unknown Source Injury of Unknown Source

5 Developing a Process and Protocol Develop a Process Review Protocol Steps 1 – 6 Activity: Checking Your Protocol A Protocol = A Plan of Action

6 Investigating the Allegation An investigation is a fact-finding mission Internal investigations should be written reports Employment actions are internal entity decisions while the investigation is pending

7 Elements of an Investigation Who, What, Where, When, Why, How Contact Law Enforcement Preserve Evidence Document the Effect on the Victim Document the Caregiver’s Duty Diagram the Scene Develop a List of Interviewees Write your Report

8 Incident-Specific Elements Physical Abuse Verbal/Psychological Abuse Sexual Abuse Neglect Misappropriation Resident-to-Resident Altercations

9 Activity: Case Studies Note some elements that are important to your investigation Use your training materials to help remember/apply the elements Assume that: –You have taken steps to protect the resident –You have taken action re: the accused caregiver

10 Top 10 Interviewing Tips

Activity: Interviewing Skills Video interview between a facility administrator and a witness Compare the video conversation with the interview tips

12 Reporting Requirements Internal Entity Reporting Entity Reporting to DQA Mandated Incident Reporting Optional Incident Reporting **How to Report to DQA**

Reporting Allegations of Misconduct in Nursing Homes NH Reporting Procedures NH Reporting Requirements Reporting Immediately  Alleged Nursing Home Resident Mistreatment Report F Mandatory Reporting Requirements for Nursing Homes Mandatory Reporting Requirements for Nursing Homes 13

Reporting Allegations of Misconduct in Nursing Homes Initial Evaluation  Resident-to-Resident Altercation Flowchart p00361.pdf p00361.pdf  Injury of Unknown Source Flowchart p00362.pdf p00362.pdf Reporting to Law Enforcement 14

Reporting Allegations of Misconduct in Nursing Homes Conducting a Thorough Investigation Reporting Investigation Results  Misconduct Incident Report (DQA form F ) f62447.pdf f62447.pdf 15

Reporting Allegations of Misconduct in All DQA-Regulated Facilities (Except Nursing Homes) Reporting Procedures Incident Reporting with an Entity Entity Reporting to DQA  Mandatory  Optional 16

Reporting Allegations of Misconduct in All DQA-Regulated Facilities (Except Nursing Homes) Decision-Making Tools:  Caregiver Misconduct Reporting Requirements Worksheet (DQA form F ) f00161.pdff00161.pdf  Flowchart of Entity Investigation and Reporting Requirements (DQA form F A) f00161a.pdff00161a.pdf 17

Reporting Allegations of Misconduct in All DQA-Regulated Facilities (Except Nursing Homes) “Minor Effect” How to Report to DQA  Misconduct Incident Report (DQA form F ) DQA Form F-62447DQA Form F Unreported Incidents Reporting Requirement Penalties 18

19 More Reporting Info When in Doubt… Reporting on Behalf of Adults-at-Risk Caregiver Misconduct Registry When in Doubt… Reporting on Behalf of Adults-at-Risk Caregiver Misconduct Registry

20 Learning Points Caregiver Misconduct Definitions Developing an Investigation Protocol Conducting an Internal Investigation Interviewing Skills Reporting Requirements Caregiver Misconduct Definitions Developing an Investigation Protocol Conducting an Internal Investigation Interviewing Skills Reporting Requirements

21 Resources Wisconsin Caregiver Program Manual p00038.pdf p00038.pdf Caregiver Abuse and Neglect Prevention Project Training Caregiver Misconduct Training Video training.htm

developed by The Wisconsin Caregiver Project University of Wisconsin Oshkosh Center for Career Development (CCDET)