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Effective: 7/15/2024

A2.6 Investigations-Involving-the-Division-of-Guardianship-Employees-

Legal Authority

Introduction

​​​​​​​​​​​​Investigations involving guardianship employees should be conducted objectively, with privacy and confidentiality that meet the public's expectation for accountability.  The investigating region is responsible for all notifications outlined in this Standard of Practice (SOP).  The procedures below are utilized when a referral is received where a Division of Guardianship Services (Guardianship) employee is identified as an alleged perpetrator of adult abuse, neglect, or financial exploitation of a person under state guardianship. 

For the purposes of investigations, a guardianship employee is defined as any field staff member of the Division of Guardianship Services.  State guardianship staff are not assigned as an individual's caregiver or custodian.

Practice Guidance

Procedure

​The SSW: 

  1. ​​Follows guidelines in SOP A2.1 APS Investigations and Assessment​, item numbers one (1) and two (2); 
  2. Consults with the guardianship employee subject to an investigation concerning the location of any interviews or meetings to maintain confidentiality; 
  3. Complies with guidelines in SOP A2.1 Introduction to APS Investigation and Assessment, item number nine (9) regarding timeframes for completion of the investigation; and 
  4. Consults with the Adult Protection Services (APS) Branch as needed during the investigation.

The Service Region Administrator (SRA)​ or designee: 
  1. ​Consults with the APS Branch as needed during the investigation.  

​​The FSOS or regional management: 

  1. ​Provides a copy of the DPP-115 to the SRA; 
  2. Consults with the SRA, or designee, regarding the assignment of the investigation within prescribed timeframes and ensure the investigation is assigned to an experienced SSW;
  3. Assures that the assigned SSW has no knowledge of the guardianship employee being investigated; 
  4. Ensures that support and technical assistance are readily available;
  5. Contacts the APS branch manager, or designee, to advise of the APS team assignment;
  6. Consults with the APS Branch as needed during the investigation; and 
  7. Notifies the APS Branch if an extension is granted.
The APS branch manager or designee: 
  1. ​Maintains a process to track investigations involving guardianship employees; and 
  2. Upon request, provides the director of guardianship services DAIL a copy of the completed investigation.  
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Upon completion of the Investigation or assessment: 
  1. ​The FSOS or designee submits the assessment to the APS branch manager or designee for review before approval; 
  2. The APS branch manager or designee recommends when final approval of the assessment is to occur and notifies the FSOS or designee;
  3. The SSW, after notification of the APS branch manager or designee’s final approval of the assessment: ​
    1. ​Sends the Notice of Protective Services Investigative Findings-Adult Abuse, Neglect or Exploitation​ to the director of guardianship; and 
    2. Follows procedures outlined in SOP A2.9 Completion and Distribution of Investigative Findings Notification​​.


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Documents

Revisions

​7/15/2024 

​2.  Upon request, provides the director of guardianship services DAIL a copy of the completed investigation.  ​