SECTION 340:2-3-35. Processing referrals received by the Office of Client Advocacy (OCA)

(a)   OCA referral screening options. Except for referrals received from the Oklahoma Department of Human Services (DHS) Abuse and Neglect Hotline (Hotline) involving a child, OCA intake records on Form 15GN001E, Office of Client Advocacy-Intake Referral, the specifics of each referral and makes an appropriate disposition. All known information is considered when determining the appropriate disposition and course of action. If the information is unclear and it appears the allegation may rise to the level of abuse, neglect, or exploitation, a preliminary inquiry is conducted by intake staff. The screening disposition options and criteria include, but are not limited to, the options described in (1) through (12) of this subsection.

(1)   Assign for OCA investigation. This screening disposition means OCA opens an investigation of an allegation of the person responsible for the child of interest (PRFCI) or vulnerable adult caretaker (VAC) maltreatment.

(2)   Assign for internal caretaker conduct review. This screening disposition means the facility or provider named in the referral is given responsibility to conduct an internal caretaker conduct review per Oklahoma Administrative Code (OAC) 340:2-3-37. Within one business day of receiving a referral given this disposition, OCA intake notifies the administrator or designated contact person. This screening disposition applies to allegations involving vulnerable adults residing at the Robert M. Greer Center (Greer) and facilities for children not licensed by or contracted with DHS.

(3)   Refer to OCA advocate. This screening disposition is made when the referral involves a Hissom class member or a resident of Greer and involves a concern based on the information provided and does not rise to the level of maltreatment.

(4)   Refer to another administrative entity. This screening disposition means OCA intake forwards the information to another state agency or DHS program or office. This screening disposition is appropriate when information provided by the reporting party does not include an allegation of caretaker maltreatment within OCA purview, but involves complaints about employee performance or allegations within the scope of another administrative entity.

(5)   Refer to Office of Inspector General (OIG). An allegation regarding the alleged misuse of a Supplement Nutrition Assistance Program (SNAP) Electronic Benefits Transfer (EBT) card, or Social Security Administration fraud or overpayment, is sent to OIG for investigation. This disposition is also utilized when there are allegations of fraud, misconduct, or criminal behavior against current DHS employees.

(6)   Refer to law enforcement. This screening disposition is used when the referral involves possible criminal activity and the reported allegations are not within OCA investigative authority per OAC 340:2-3-32(a). This disposition is not used when OCA opens an investigation on a referral even though a law enforcement agency is investigating the matter. A case may warrant simultaneous OCA involvement and referral to law enforcement. In those instances, notification to law enforcement is appropriately documented.

(7)   Refer for grievance. This screening disposition means the referral is directed to the appropriate entity for processing as a grievance, when the content of the referral is not caretaker maltreatment, but a complaint or concern that can be addressed by a grievance. When the complaint can be addressed as a grievance and is referred for grievance by OCA, the entity promptly notifies its local grievance coordinator. A referral may be appropriate for processing as a grievance when the complaint concerns:

(A)   conditions that do not endanger clients or residents;

(B)   staff improprieties that do not constitute maltreatment; and

(C)   privileges and restrictions not involving the use of isolation, force, or restraints.

(8)   No action required. This screening disposition is made when OCA takes no action in response to the referral because the information provided is for notification purposes only and does not include an allegation, complaint, or concern appropriate for another screening disposition.

(9)   Refer to administration. This screening disposition means the matter is not within the purview of OCA, another DHS unit, or another state agency, but is relevant to the facility or provider operations.

(10)   Refer to Developmental Disabilities Services (DDS) Quality Assurance (QA). This screening disposition is made when an allegation involves an alleged contract violation that does not involve caretaker maltreatment.

(11)   Refer for special advocacy. This screening disposition is made when the referral constitutes a request for advocacy services per OAC 340:2-3-75.

(12)   Refer to State Office DDS case management. This screening disposition is made when an allegation does not rise to the level of abuse, neglect, or exploitation but involves an issue of person-centered planning or case management follow-up on behalf of a vulnerable adult.

(b)   Law enforcement notification. Law enforcement is notified when a referral opened as an OCA investigation involves possible criminal activity on the part of a PRFCI or a VAC.

(c)   Assignment process for referrals opened for investigation. Investigations involving vulnerable adults are assigned within one business day of a disposition to investigate the allegation. When urgent circumstances exist in a case opened for investigation, an assignment is made, and the investigation commences immediately.

(d)   Information provided to reporting party. The reporting party upon proper identification may be provided with information regarding the disposition of the referral.

[Source: Added at 18 Ok Reg 3435, eff 7-1-01 (emergency); Added at 19 Ok Reg 1117, eff 5-13-02; Amended at 20 Ok Reg 1994, eff 7-1-03; Amended at 22 Ok Reg 1180, eff 5-26-05; Amended at 23 Ok Reg 1776, eff 6-11-06; Amended at 24 Ok Reg 978, eff 7-1-07; Amended at 28 Ok Reg 1681, eff 7-1-11; Amended at 29 Ok Reg 726, eff 7-1-12; Amended at 30 Ok Reg 597, eff 7-1-13; Amended at 32 Ok Reg 1800, eff 9-15-15]