Caregiver Misconduct
Investigation and Reporting
Requirements
Laurie Arkens
Director, Office of Caregiver
Quality
September 12, 2013
Office of Caregiver Quality Role
and Responsibilities
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Track nurse aides eligible to work in Wisconsin
Approve and monitor nurse aide training, testing &
Nurse Aide Registry
Oversee feeding assistant training programs
Receive reports of caregiver misconduct
Investigate reports of caregiver misconduct
Track caregivers with findings of misconduct
Complete caregiver background checks for DQA
entity owners, operators and non-client residents
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
The Wisconsin Caregiver Program
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Caregiver Background Checks
Reporting and Investigating Caregiver Misconduct
Rehabilitation Reviews
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
DQA Regulated Entities
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Emergency Mental Health Service Programs
Outpatient Mental Health Clinics
Comprehensive Community Service
Community Mental Health Programs and Support
Programs
Community Substance Abuse Services
Community Based Residential Facilities
Licensed Adult Family Homes
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
DQA Regulated Entities
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Residential Care Apartment Complexes
Personal Care Worker Agencies
Hospitals
Hospices and Home Health Agencies
Nursing Homes
Facilities for Individuals with Intellectual Disabilities
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Investigating and Reporting
Requirements
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Definitions
Protocol
Elements of an Investigation
Incident-Specific Elements
Reporting Caregiver Misconduct in Nursing Homes
Resources
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Federal Definitions for Nursing
Homes
Misconduct
• Abuse
• Neglect
• Misappropriation
• Injury of Unknown Source (possibly)
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Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Investigation Protocol
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Develop a Written Protocol
Identify a Lead Investigator
Share the Protocol
Implement the Protocol
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Investigating the Allegation
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Investigation = Fact Finding Mission
All Allegations Must be Investigated
All Investigations Should be Written
Employment Actions are Internal Entity Decisions
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Elements of an Investigation
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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 of List of Interviewees
Write the Investigation Report
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Incident-Specific Elements
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Physical Abuse
Verbal/Psychological Abuse
Sexual Abuse
Neglect
Misappropriation
Resident-to-Resident Altercations
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Reporting the Allegation
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NH’s – Online Immediate Report
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Initial Evaluation
Reasonable Suspicion of a Crime – Report to Law
Enforcement and to OCQ
Incident Report F-62447 Within 5 Days
Incidents Involving Credentialed Staff – Send to
OCQ
Adults-at-Risk – Send to OCQ
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Screening and Investigating
Reports of Caregiver Misconduct
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Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
OCQ Screening Guidelines
Step 1: Screen Incident Report
• Screen Incident Report for Immediate Jeopardy
• Determine OCQ Jurisdiction
• Determine Further Investigation Required
• Send Accused Notice of Screening Decision
• Send Copy to Facility, Reporter, DQA Program
Manager
Goal: Complete Screening Within 5 Days
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Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
OCQ Investigation Guidelines
Step 2: Complete Investigation
• Assign Case to OCQ Investigator
• Conduct Investigation
• Write Investigation Report
• Submit to Supervisor for Review
• Send Accused Notice of Determination
• Send Copy to Facility, Reporter, DQA Program
Manager
Goal: Complete Investigation Within 60 Days
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Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Caregiver Misconduct Registry
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Any Caregiver with a Substantiated Finding of
Misconduct
Nurse Aides Cannot Work in any Federally Certified
NH or Intermediate Care Facility
Caregiver Cannot Work as a Caregiver in any DQA
Regulated Facility
Rehabilitation Review
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Important Resources
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http://dhs.wisconsin.gov.caregiver/index.htm
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Wisconsin Caregiver Manual
Wisconsin Statutes ss. 50.065 and 146, Stats.
Wisconsin Administrative Codes:
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Chapter 12 – Caregiver Background Check Requirements
Chapter 13 – Investigating and Reporting Requirements
Office of Caregiver Quality
PO Box 2969
Madison, WI 53701-2969
608-261-8319
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Wisconsin Caregiver Program
Questions
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Caregiver Background Checks? Contact
DQA Office of Caregiver Quality at 608-2618319 or dhscaregiverintake@wi.gov
DOJ Criminal History? Contact DOJ Crime
Information Bureau at 608 266-7780
Rehabilitation Review Process? Contact
DHS Office of Legal Counsel at 608-2661900 or RebabRC@dhs.state.wi.us
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Wisconsin Caregiver Program
Questions
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Misconduct Reporting? Contact DQA Office
of Caregiver Quality at 608-261-8319 or
dhscaregiverintake@wi.gov
Substantiated Finding? Verify status on
www.pearsonvue.com (Wisconsin Nurse
Aides)
Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013
Thank you!
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Protecting and promoting the health and safety of the people of Wisconsin
9/12/2013