1. 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

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

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

4. 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

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

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

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
Exploitation (NH only)
Misappropriation
Resident-to-Resident Altercations

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 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!

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

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

14. 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)

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

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

17. The Wisconsin Caregiver Project
developed by
The Wisconsin Caregiver Project
University of Wisconsin Oshkosh
Center for Community Development, Engagement and Training (CCDET)