Investigating and Reporting Allegations of Misconduct (in non-nursing home settings) presented by: University of Wisconsin Oshkosh CCDET WI Department of Health Services DQA Permission is granted to reproduce these training materials with proper attribution for internal use within healthcare organizations or government agencies at no cost to the training participants. Other reproduction is prohibited without written permission from UW Oshkosh CCDET. All rights are reserved. For information on reproducing these materials, please contact the Director of UW Oshkosh CCDET at

2 Welcome Project Background/Staff Introductions Reminder: Silence Electronic Devices Agenda CEUs Evaluation Certificate of Attendance Participant Introductions

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

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

5 Legal Definitions Caregiver Misconduct AbuseNeglectMisappropriation Injury of Unknown Source

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

7 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

8 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

9 Incident-Specific Elements Physical Abuse Verbal/Psychological Abuse Sexual Abuse Neglect Misappropriation

10 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

11 Top 10 Interviewing Tips 1. Ensure Privacy6. Clarify 2. Prepare7. Ask open questions 3. Relaxed Demeanor8. Stay on the subject 4. Informal Seating9. Show empathy 5. Be Clear & Concise10. Listen well!

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

13 Signs of Deception No Single Telltale Sign for a Lie Liars “Might” Have Some Things in Common Behavior During an Interview vs. Behavior under More Normal Circumstances

14 Reporting Requirements (non-Nursing Homes) Internal Entity Reporting Entity Reporting to DQA Mandated Incident Reporting Optional Incident Reporting **How to Report to DQA**

15 More Reporting Info Reporting Requirement Penalties Reporting on Behalf of Adults-at-Risk Caregiver Misconduct Registry

16 Resources Wisconsin Caregiver Program Manual Caregiver Abuse and Neglect Prevention Project Training Caregiver Misconduct Training Video

17 Wrap-Up Questions? Evaluation CEU Application Attendance Certificates