SECTION 340:5-5-3. Elements of an investigation

(a)   Although the investigation process may vary depending on the initial allegations and other factors, all Adult Protective Services (APS) investigations include paragraphs (1) through (10).

(1)   Law enforcement notification. Law enforcement is notified of all APS investigations.

(2)   Efforts to locate and notify others. APS specialists must make every reasonable effort to locate and notify the alleged victim's (AV) caretaker, guardian, and next of kin.

(3)   Visits and interviews with the vulnerable adult. Per Section 10-105(C)(1)(a) of Title 43A of the Oklahoma Statutes (43A O.S. § 10-105(C)(1)(a)), each APS investigation includes at least one visit and private interview with the vulnerable adult and may include as many visits as are necessary to reach a conclusion and determine what, if any, protective services are needed.

(4)   Consultation with others. The APS specialist interviews other people who have or can reasonably be expected to have pertinent knowledge about the AV's circumstances during the investigation, including any alleged perpetrator (AP) of maltreatment.

(A)   Consultation includes medical, psychiatric, or other evaluations, as necessary to assist in the determination of a vulnerable adult's decision-making capacity and need for services.

(B)   The AV's permission is not required for these contacts.

(5)   Photographs. The APS specialist may take photographs or video recordings to document injuries to the vulnerable adult or conditions in the adult's residential environment that resulted in or may result in an injury or serious harm.

(6)   Other relevant data. The APS specialist collects data relevant to the situation being investigated including records to arrive at a finding. When the APS specialist is denied access to pertinent records, documentation, or other information relevant to the investigation, the Oklahoma Department of Human Services (DHS) may petition the court for an order allowing access.

(7)   Determining decision-making capacity. DHS is mandated by 43A O.S. § 10-106(C) to determine a vulnerable adult's risk and needs and the vulnerable adult's capacity to consent to receive services, especially with regard to the need for involuntary services. Each investigation includes an evaluation of the vulnerable adult's decision-making capacity.

(A)   Information is obtained from medical or psychiatric sources, when available, to assist in the determination. In making the determination, the APS specialist assesses and considers:

(i)   the vulnerable adult's short and long term memory;

(ii)   the vulnerable adult's executive functioning by his or her ability to plan and execute a plan;

(iii)   the vulnerable adult's ability to recognize risk factors;

(iv)   the vulnerable adult's or caretaker's denial of problems;

(v)   the vulnerable adult's executive functioning by his or her ability to understand and follow directions; and

(vi)   indicators of:

(I)   affective disorders, such as depression or bipolar disorder;

(II)   substance use or abuse;

(III)   dementia;

(IV)   delirium;

(V)   psychosis;

(VI)   traumatic brain injury;

(VII)   uncharacteristic, socially-inappropriate behaviors;

(VIII)   impaired decision-making; and

(IX)   other factors.

(B)   The APS specialist's assessment of a vulnerable adult's mental capacity to consent to protective services takes into account the vulnerable adult's awareness of the:

(i)   limitations and deficiencies in the physical environment;

(ii)   vulnerable adult's own physical or mental limitations;

(iii)   resources available to assist in meeting the vulnerable adult's needs; and

(iv)   consequences to the vulnerable adult if nothing is done to improve the situation.

(C)   When a vulnerable adult is deficient in all or most of the areas in (B) of this paragraph, he or she may lack the capacity to consent to protective services and it may be appropriate to petition the district court for an order authorizing the provision of needed services.

(D)   When a vulnerable adult expresses awareness of all four areas in (B), it is likely that the present circumstances are the vulnerable adult's choice, though in some cases a vulnerable adult might express awareness in these areas and still lack the capacity to consent to provision of services.

(E)   When a vulnerable adult appears unaware of the consequences of the present situation and an imminent risk to health or estate exists, legal intervention is appropriate.

(8)   Evaluation to determine the need for protective services. The evaluation consists of the APS specialist's analysis and consultation with the APS specialist IV or designee of all evidence gathered during the initial phases of the investigation. The evaluation includes consideration of whether:

(A)   the vulnerable adult needs protective services. When so, the need for protective services is documented to include the least restrictive services to meet the person's needs;

(B)   services that are identified as needed are available through DHS or in the community, and the sources and manner in which they can be provided. Options are explored with the vulnerable adult;

(C)   the vulnerable adult is capable and willing to obtain services for himself or herself;

(D)   the vulnerable adult can pay for needed services or is eligible for public assistance programs;

(E)   a caretaker or guardian is willing to provide or agree to the provision of needed services; and

(F)   the vulnerable adult wants the services.

(9)   Completion of investigative report. From the date an APS referral is received, the APS specialist completes the investigative report within 60-calendar days. The APS specialist IV or designee may extend the time frame for completion of an investigation for an additional 30-calendar day period when it is in the vulnerable adult's best interest to do so. To complete the investigation, the APS specialist:

(A)   completes necessary interviews and assessments including identification of any immediate service needs;

(B)   completes all final documentation;

(C)   submits a report to the local district attorney;

(D)   submits a report to the court of jurisdiction, when the alleged victim is currently under guardianship or conservatorship; and

(E)   makes a determination of substantiated or unsubstantiated based on the definitions of terms in Oklahoma Administrative Code (OAC) 340:5-1-6.

(10)   Findings. The APS specialist, in conjunction with the APS specialist IV or designee, makes a final determination of the investigative process on each allegation contained in the APS report. Each allegation is determined to be substantiated, unsubstantiated, or ruled-out and the investigation documented, per OAC 340:5-5-5. The APS specialist IV or designee notifies the appropriate district director immediately of substantiated referrals in which a DHS employee is named as the alleged perpetrator.

(11)   Follow-up. The APS specialist, in consultation with the APS specialist IV or designee, is responsible for determining what follow-up is needed in each case.

(A)   On cases not requiring court-ordered involuntary services, follow-up needs are determined on a case-by-case basis.

(B)   For reports that result in a vulnerable adult receiving involuntary services, DHS is responsible for ensuring basic needs for safety and security are met as required by the court. The APS specialist monitors the delivery of court-ordered protective services and continues to assess the need for additional services determined by the vulnerable adult's changing needs. At least one follow-up visit is made within a month, regardless of whether DHS continues to hold temporary guardianship ensuring that every guardianship has at least one follow-up. A follow-up is completed within two weeks of any hearing unless the vulnerable adult was personally served or seen by APS. A follow-up is completed within two weeks of placement in a nursing home. Follow ups are required monthly thereafter for the duration of placement.

[Source: Added at 20 Ok Reg 840, eff 6-1-03; Amended at 21 Ok Reg 3082, eff 6-7-04 (emergency); Amended at 22 Ok Reg 1211, eff 5-26-05; Amended at 23 Ok Reg 2662, eff 8-1-06; Amended at 25 Ok Reg 892, eff 6-1-08; Amended at 27 Ok Reg 990, eff 6-1-10; Amended at 30 Ok Reg 624, eff 6-1-13; Amended at 35 Ok Reg 1592, eff 9-17-18]