Ky.gov
Effective: 6/19/2024

20.11 Completion and Distribution of Investigative Findings Notification

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​The DPP-242 Adult Protective Services Notice of Investigative Finding form is used to inform law enforcement and other authorized agencies of the Cabinet for Health and Family Services (Cabinet/CHFS) investigative findings, including whether an adult accepted or refused Cabinet services. With the creation of the Vulnerable Adult Maltreatment Registry​, the perpetrator of adult abuse, neglect, or exploitation who is an employee or volunteer of an adult care provider, or otherwise is acting with an expectation of compensation, is now notified of investigative findings, by using the DPP-247 Adult Protective Services Unsubstantiated Investigation Notification Letter or DPP-248 Adult Protective Services Substantiated Investigation Notification.

Practice Guidance




​

Procedure

​The SSW:  
  1. Sends/submits a DPP-242 Ad​ult Protective Services Notice of Investigative Finding​ form to all of the following authorized agencies with a legitimate interest in the case within ten (10) working days of completion of an investigation and records the name of the perpetrator on the form, if known:
    1. ​The appropriate law enforcement agency;
    2. The commonwealth's attorney; 
    3. The county attorney; 
    4. The OIG regional office when the alleged victim resides in or receives services from the following:
      1. ​Nursing facility;
      2. Hospital;
      3. Intermediate care facility; 
      4. Personal care home; 
      5. Family care home; or 
      6. Home health agency; 
    5. ​The state long-term care ombudsman (when appropriate);
    6. Appropriate licensure/certification boards (when appropriate);
    7. The Office of Attorney General (OAG) for possible investigation and prosecution when the alleged victim resides in a licensed facility that receives Medicaid funding or the alleged perpetrator is a Medicaid provider, which includes home health agencies. In addition to the  ​DPP-242 Adult Protective Services Notice of Investigative Finding​ form, staff should also send the completed and approved assessment and documentation tool (ADT). Notifications to OAG should be sent via email; and
    8. DBHDID via email when the alleged victim resides in a support for community living (SCL) or state-operated facility;
  2. ​Notifies the Kentucky Board of Medical Licensure​ at the following address or telephone number if during the course of an investigation the SSW believes there are sufficient grounds to seek disciplinary action against a doctor: ​
    • Kentucky Board of Medical Licensure
      310 Whittington Parkway
      Suite 1B,
      Louisville, KY 40222
      Phone 502-429-8046, FAX 502-429-9923​​​
      ​​​​
  3. Attempts to minimize the involvement of the adult victim in the legal proceedings and hearings;
  4. Upon completion and approval of the ADT sends the D​PP-245 Victim Notification Letter within ten (10) working days.  If the victim has a court-appointed private or state guardian sends the DPP-243 APS Guardian Notification Letter within ten (10) working days.
  5. Upon approval of the assessment by the FSOS, sends to the alleged perpetrator, a notification of findings letter DPP-247 by general mail or DPP-248 by certified mail, within ten (10) working days, when the alleged perpetrator is:  
    1. ​​​An employee of a vulnerable adult service provider; 
    2. A volunteer of a vulnerable adult service provider;
    3. A person acting with the expectation of compensation, including waiver compensation. 
  6. Sends a copy of the DPP-24​8​  to: 
​​Office of the Ombudsman
Quality Advancement Branch
275 East Main Street, 2E-O
Frankfort, KY 40621 
​Or via e-mail:  APS.Appeals@ky.gov​



​Contingencies and Clarifications

When a Cabinet substantiation is overturned the SSW sends, by mail, a copy of the DP​P-249 Adult Protective Services Notice of Overturned Substantiated Finding letter to the alleged perpetrator providing notice that the:
  1. ​Substantiated finding has been overturned;
  2. Finding will be changed to unsubstantiated in the Cabinet's permanent records; and
  3. Alleged perpetrator's name will not be placed on the Vulnerable Adult Maltreatment Registry. 
    ​​

Assisted Living Facilities 

The SSW:
  1. ​Forwards a copy of the DPP-242 Adult Protective Services Notice of Inv​estigative Finding​​ to DAIL/Division of Operations and Support, law enforcement, and county and commonwealth attorney upon concluding the investigation; and
  2. Shares a copy of the full investigation with DAIL, law enforcement, and county and commonwealth attorney upon receipt of a faxed, electronic, or other written request from that office.

Registered Boarding Homes

The SSW:
  1. ​Forwards a copy of the DPP-242 Adult ​Protective Services Notice of Investigative Finding​ to the DPH, law enforcement, and county and commonwealth attorney upon concluding the investigation; and
  2. Shares a copy of the full investigation with DPH, law enforcement, and county and commonwealth attorney upon receipt of a faxed, electronic, or other written request from that office.

SCL​​

The SSW:
  1. ​Forwards a copy of the DPP-24​2 Adult Protective Services Notice of Investigative Finding​ to DBHDID, law enforcement, and county and commonwealth attorney, and OAG Medicaid Fraud and Abuse Control Division upon concluding the investigation; and
  2. Shares a copy of the full investigation with the DBHDID, law enforcement, and county and commonwealth attorney upon receipt of a faxed, electronic, or other written request from that office.



Documents

Revisions

​5/00/24 Addition: 

Vulnerable Adult Maltreatment Registry 

  • If there is an indication that a facility is operating as an illegal healthcare facility, then a DPP-242 Adult Protective Services Notice of Investigative Finding form is sent to the Office of Inspector General (OIG). 
​iv.  Personal care home; 
v. Family care home; or 

  1. Sends/submits a DPP-242 Adult Protective Services Notice of Investigative Finding​ form to all of the following authorized agencies with a legitimate interest in the case within ten (10) working days twenty-four (24) hours of completion of an investigation and records the name of the perpetrator on the form, if known:

Upon completion and approval of the ADT sends the D​PP-245 Victim Notification Letter within ten (10) working days.  If the victim has a court-appointed private or state guardian sends the DPP-243 APS Guardian Notification Letter within ten (10) working days. ​

G.  The Office of  Attorney General (OAG) for possible investigation and prosecution when the alleged victim resides in a licensed facility of reports involving facilities that receives Medicaid funding or the alleged perpetrator is a Medicaid provider,  which includes home health agencies. In addition to the  ​DPP-242 Adult Protective Services Notice of Investigative Finding​ form, staff should also send the completed and approved assessment and documentation tool (ADT). Notifications to OAG should be sent via email; and​

5.  Upon approval of the assessment by the FSOS, sends to the alleged perpetrator, a notification of findings letter DPP-247 by general mail or DPP-248 by certified mail, within ten (10) working days, when the alleged perpetrator is:  ​

  1. ​​​An employee of a vulnerable adult service provider; 
  2. A volunteer of a vulnerable adult service provider;
  3. A person acting with the expectation of compensation, including waiver compensation. 




​


5/00/24 Deletion: 

Caregiver Misconduct Registry​
5.  Sends notice of the finding, via the DPP-248 APS Substantiated Investigation Notification to the perpetrator by certified mail; ​

C. A privately compensated caregiver; or

D. A waiver compensated caregiver;​


FOOTNOTES

  1. OIG does not license the following types of facilities; therefore, a DP​P-242 Adult Protective Services Notice of Investigative Finding​ is not sent to OIG, unless the report indicates the facility may be operating as an illegal healthcare facility.​