Investigating and Reporting Allegations of Misconduct in DQA-Regulated Facilities developed by: University of Wisconsin Oshkosh CCDET WI Department of Health Services DQA April 2018

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

A Word about Prevention Background checks are good but not enough Key thoughts on preventing caregiver misconduct Adapting keys to prevention in your facility

Handheld Devices and Social Media Awareness Entities should adopt a written policy re: handheld devices Accepted appropriate use Unacceptable use Misuse can lead to findings of misconduct DQA has implemented an awareness campaign through the use of brochures, posters, and videos

Injury of Unknown Source Legal Definitions MISCONDUCT Abuse Neglect Exploitation (NH only) Misappropriation Injury of Unknown Source

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

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

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

Incident-Specific Elements Physical Abuse Verbal/Psychological Abuse Sexual Abuse Neglect Exploitation (NH only) Misappropriation Resident-to-Resident Altercations

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

Top 10 Interviewing Tips 1. Ensure privacy 6. Clarify 2. Prepare 7. Ask open questions 3. Relaxed demeanor 8. Stay on the subject 4. Informal seating 9. Show empathy 5. Be clear & concise 10. Listen well!

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

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

Reporting Allegations of Misconduct Handout: Reporting Allegations of Misconduct/Mistreatment in Nursing Homes -OR- Handout: Reporting Allegations of Misconduct in DQA-Regulated Facilities (Except Nursing Homes)  

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

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

The Wisconsin Caregiver Project developed by The Wisconsin Caregiver Project University of Wisconsin Oshkosh Center for Community Development, Engagement and Training (CCDET) www.uwosh.edu/ccdet/caregiver