SECTION 450:15-7-15. Investigative report and findings

(a)   After completing the information-gathering portion of the investigative process, the investigator shall prepare a written investigative report minimally containing:

(1)   The allegation(s) made to the Department, the location of the alleged incident(s), and the assigned case number;

(2)   A statement of any injuries sustained by the alleged victim(s);

(3)   The applicable definition(s) of the type of maltreatment at issue such as abuse, neglect, exploitation, or mistreatment;

(4)   The finding(s) in accordance with subsection (b) of this Section;

(5)   The involved parties, their titles and role in the matter, if they were interviewed and, if so, when and if interviewed face to face or by telephone;

(6)   The name, address, and telephone numbers of any interpreter used during the investigation;

(7)   An explanation of the basis for the finding(s);

(8)   Any areas of concern relating to the referral identified during the investigation regarding that facility, that provider, or practices or procedures which have implications for the safety, health, or welfare of clients;

(9)   A list of relevant documents and records reviewed during the investigation; and

(10)   A list of attachments to the report.

(b)   The investigative finding options are:

(1)   "Supported" which means the available information establishes that it is more likely than not that the alleged maltreatment occurred;

(2)   "Unsupported" which means the available information established that it is unlikely that the alleged maltreatment occurred; or

(3)   "Inconclusive" which means the available information was not sufficient to establish whether or not the alleged maltreatment occurred.

(c)   Except as otherwise specifically provided in this section and as otherwise provided by state or federal laws, the information, records, materials and reports related to investigations by the Department are confidential and contain privileged information. Accordingly, such records, materials and reports shall not be open to public inspection nor their contents disclosed nor shall a subpoena or subpoena duces tecum purporting to compel disclosure of such information be valid pursuant to 43A O.S. §1-109(C).

(d)   An order of the court authorizing the inspection, release or disclosure of information, records, material and reports related to investigations by the Department shall be entered by a court only after a review of the records and a determination, with due regard for confidentiality of the information and records and the privilege of the persons identified in the records that a compelling reason exists, any applicable privilege has been waived and such inspection, release or disclosure is necessary for the protection of a legitimate public or private interest.

(e)   The Department shall provide results of investigations as follows:

(1)   A copy of the final investigative report shall be sent to the Commissioner, designated Deputy Commissioner, the Chief Operating Officer, the General Counsel and the executive director of the appropriate ODMHSAS operated facility.

(2)   When an executive director of a facility that is operated by the Department is named as an individual accused of maltreatment of a consumer in the allegation, the final report will not be forwarded to that individual.

(3)   A summary of the allegation and finding shall be sent to the executive director of a facility that is subject to certification by or under contract with the Department.

(4)   When an executive director of a facility that is subject to certification by or under contract with the Department is named as an individual accused of maltreatment of a consumer in the allegation, a summary of the investigative report shall not be forwarded to that individual, and the investigator shall forward a summary of the investigative report to the chair of the board of directors of the facility.

(5)   A summary of the allegations and finding shall be provided to the Board and a copy of the report shall be provided upon request of the Board.

(6)   The Department shall notify individuals of the Department's findings as laid out in the Department's Investigations Policy.

(7)   Upon request, the Department may summarize the outcome of an investigation, stating the allegation and the finding. The summary may be provided to the person suspected of the maltreatment, the person subject to alleged maltreatment, the person who reported an allegation and the executive director of a facility certified by or under contract with the Department at which the alleged maltreatment occurred.

(f)   The Department shall maintain the original report, supporting documents, and pertinent recorded tapes in locked file cabinets in accordance with the applicable ODMHSAS records management and disposition plan.

[Source: Added at 19 Ok Reg 1363, eff 7-1-02; Amended at 20 Ok Reg 2110, eff 7-1-03; Amended at 22 Ok Reg 2105, eff 7-1-05; Amended at 23 Ok Reg 1412, eff 7-1-06; Amended at 26 Ok Reg 2671, eff 7-25-09; Amended at 27 Ok Reg 1005, eff 7-1-10; Amended at 28 Ok Reg 903, eff 7-1-11; Amended at 30 Ok Reg 1404, eff 7-1-13]