COMMENT DUE DATE:
March 19, 2015
DATE:
February 9, 2015
Steve Mitchell, OCA (405) 522-2754
Nancy Kelly, OIRP Policy Specialist (405) 522-6703
RE:
APA WF 14-06
The proposed policy is Permanent .
SUBJECT:CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 3. Office of Client Advocacy
Part 3. Investigations
OAC 340:2-3-32 through 340:2-3-38
Part 9. Advocacy Programs
OAC 340:2-3-71 through 340:2-3-75
(Reference WF 14-06)
SUMMARY:The proposed amendments to Chapter 2, Subchapter 3 amends the rules to: (1) comply with Oklahoma Commission for Human Services November, 1, 2012 resolution in regard to the closing of the Northern Oklahoma Resource Center of Enid (NORCE) and the Southern Oklahoma Resource Center (SORC); and (2) reflect clarification on the investigations program regarding who needs to be contacted after an investigation finding is reached, interview protocol, and time frames of initiation regarding vulnerable adult cases.
PERMANENT APPROVAL:Permanent rulemaking is requested.
LEGAL AUTHORITY:Director of Human Services; O.S. 56 § 162; 10A O.S. § 162; 10A O.S. § 1-1-101 et seq.; 43A § 10-102 et seq.; and Section 5101 et seq. of Title 42 of the United States Code.
Rule Impact Statement
To:Programs administrator
Office of Intergovernmental Relations and Policy
From:Kathryn Boyle Brewer, Advocate General
Date:November 14, 2014
Re:CHAPTER 2. ADMINISTRATIVE COMPONENTS
Subchapter 3. Office of Client Advocacy
Part 3. Investigations
OAC 340:2-3-32 through 340:2-3-38
Part 9. Advocacy Programs
OAC 340:2-3-71 through 340:2-3-75
(Reference WF 14-06)
Contact:Steve Mitchell (405) 522-2754
A.Brief description of the purpose of the proposed rule:
The proposed amendments to Chapter 2, Subchapter 3 amends the rules to: (1) comply with Oklahoma Commission for Human Services November 1, 2012, resolution in regard to the closing of the Northern Oklahoma Resource Center of Enid (NORCE) and the Southern Oklahoma Resource Center (SORC); and (2) reflect clarification on the investigations program regarding who needs to be contacted after an investigation finding is reached, interview protocol, and time frames of initiation regarding vulnerable adult cases.
Strategic Plan Impact.
The proposed amendments achieve Oklahoma Department of Human Services (DHS) goals by ensuring the health and safety of children and vulnerable adults, improving processes, ensuring due process regarding the Person Responsible for the Child of Interest (PRFCIs) and the Vulnerable Adult Caretaker (VACs), and administering public resources in a fiscally responsible manner.
Substantive changes.
Oklahoma Administrative Code (OAC) 340:2-3-32 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of the Office of Client Advocacy's (OCA) 2015 permanent rules and Instructions to Staff.This policy was amended to add the wording Advocate General in the disclosure to district attorney and law enforcement Section (B) for clarification.Grammatical errors were corrected and agency acronyms were amended.
OAC 340:2-3-33 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.Grammatical errors were corrected and agency acronyms were amended.
OAC 340:2-3-34 is amended to delete the wording NORCE) and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.This policy was amended for facility administrators to complete an Immediate Protection Action Plan (IPAP) with OCA investigators to ensure the safety of victims and other individuals residing in the placement during the completion of investigations.To ensure safety, an IPAP will be completed with an OCA investigator, working in conjunction with Developmental Disabilities Services (DDS), Specialized Placements and Partnerships Unit (SPPU), Oklahoma Office of Juvenile Affairs (OJA), Child Welfare Services (CWS), and Child Care Services (CCS).Grammatical errors were corrected and agency acronyms were amended.
OAC 340:2-3-35 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.This policy is amended to add two new referral OCA intake dispositions:(1) Refer to Office of Inspector General (OIG).If any allegation in regard to the alleged misuse of a Supplement Nutrition Assistance Program (SNAP) Electronic Benefits Transfer (EBT) card, the disposition of the referral will be sent to OIG for investigation.This disposition is also utilized if there are allegations of fraud, misconduct, or criminal behavior against current DHS employees; and (2) Refer to 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.DDS case management is required to provide follow up to OCA within 30 calendar days of the disposition.This policy is amended to add wording regarding information provided to the reporting party.The reporting party upon proper identification may be provided with information regarding the disposition of the referral.Grammatical errors were corrected and agency acronyms were amended.
OAC 340:2-3-36 is amended to provide an appeal process for VACs who disagree with a substantiated finding of vulnerable adult abuse, neglect, financial exploitation, financial neglect, and verbal abuse.The appeal process: (1) provides the VAC with a substantiated finding of child abuse, neglect, financial exploitation, financial neglect, and verbal abuse an opportunity for due process; (2) serves a quality assurance mechanism to assess findings compliance with OCA standards, per OAC 340:2-3-2; and (3) provides substantiated findings review by a team of reviewers as designated by the Advocate General consisting of personnel not involved in any other stage of the case.This policy is amended to change the time frame in regards to the initiation of vulnerable adult cases.(A) An OCA Investigator initiates an investigation by making face-to-face contact with the vulnerable adult, who is the alleged victim.(B) Timeframe for initiating investigation.The OCA Investigator initiates the investigation, as soon as possible, but within five calendar days, and not to exceed 120 hours from the time of the receipt of the referral.(C) In the case of an emergency situation.When a priority response is required, an OCA investigator initiates the investigation as soon as possible, but not to exceed 24 hours from the date of case assignment.(D) If during the course of an investigation, the OCA investigator has concerns that the vulnerable adult victim may be in need of involuntary protective services or court intervention, the OCA investigator promptly makes a referral to Adult Protective Services (APS) and coordinates with APS to ensure the safety of the vulnerable adult, per Section 10-106 of Title 43A of the Oklahoma Statutes (43A O.S. § 10-106).This policy is amended to instruct OCA investigators to create an IPAP regarding children and vulnerable adult alleged victims.This addresses issues related to present danger and ensures the safety of victims during the investigation process.This policy is amended to change the time from 60 calendar days to 45 calendar days in regards to completing a vulnerable adult investigation.This policy is amended to remove the defer finding in regards to a vulnerable adult investigation.This policy is amended to state that when an investigation involves a vulnerable adult with guardian a copy of the completed investigation report shall be filed with the court to which the guardian is accountable per 43A 10-105(D).This policy is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.Grammatical errors were corrected, agency acronyms were amended, and the wording Commission was removed from OCA permanent rules as the DHS Commission was abolished.
OAC 340:2-3-37 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.Grammatical errors were corrected, agency acronyms were amended, and the wording Commission was removed from OCA permanent rules as the DHS Commission was abolished.
OAC 340:2-3-38 is amended to correct grammatical errors, amend agency acronyms amended, and removes wording Commission from OCA permanent rules as the DHS Commission was abolished.
OAC 340:2-3-71 is amended to delete the wording NORCE and SORC, from (b)(1) as that section applies to advocacy services for DDS facility residents, and those facilities are scheduled for closure in 2014, leaving only the Robert M Greer Center.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.This policy is amended to change OCA's misson statement and guiding principles.This policy amends the wording regarding the OCA Advocacy program's guiding principles regarding recipients of DDS services, and deletes the wording, mission statement.In the definition section the Qualified Mental Retardation Professional and the Unit Coordinator definitions were stricken from the policy and the Personal Support Team and the Statewide Behavior Review Committee definitions were added to the policy.This policy was amended to remove the OCA Oklahoma City Office's phone number, but leaves OCA's toll-free telephone number in the policy.Grammatical errors were corrected and agency acronyms were amended.
OAC 340:2-3-72 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.The description of Greer transition advocacy assistance was added in this policy.Grammatical errors were corrected and agency acronyms were amended.The policy amended the wording regarding OCA's advocacy and monitoring clients.
OAC 340:2-3-73 is amended to delete the wording NORCE and SORC, as those facilities are scheduled for closure in 2014.The residents at those facilities will be transitioned into the community by implementation of OCA's 2015 permanent rules and Instructions to Staff.Grammatical errors were corrected and agency acronyms were amended.The policy amended the wording regarding OCA's advocacy services for former residents of NORCE and SORC who reside in private intermediate care facilities for persons with intellectual disabilities (ICF/ID).This policy is amended to detail the ongoing advocacy assistance OCA will provide to former residents of NORCE and SORC after the Oklahoma Commission for Human Services’ November 1, 2012, decision to close those facilities.The wording of the Commission’s resolution is incorporated into this policy.The policy added details regarding OCA's advocacy services for former residents of NORCE and SORC who decline DDS services, reside in private ICF/IDs, and who are in custody of the Oklahoma Department of Corrections or a county sheriff.Former residents of these facilities no longer have the facility directors appointed as Guardian ad Litem so that wording was removed.
OAC 340:2-3-74 is amended to correct grammatical errors and to amend agency acronyms.The policy is amended the address OCA's advocacy services for Hissom class members on the Focused Advocacy List (FAL).This policy is amended to add information to policy from OCA’s administrative directives regarding monitoring services for Hissom class members who are in custody and Hissom class members who decline DDS services.
OAC 340:2-3-75 is amended to correct grammatical errors and to amend agency acronyms.The policy is amended the address OCA's advocacy services for clients with a special advocacy need.Short-term advocacy assistance is provided for up to 30 calendar days.
Reasons.
The proposed amendments to OAC 340:2-3-32, OAC 340:2-3-33, OAC 340:2-3-34,
OAC 340:2-3-35, OAC 340:2-3-36, OAC 340:2-3-37, and OAC 340:2-3-38 were necessary to ensure compliance with the Pinnacle Plan to implement safety based person centered policies for the juvenile and vulnerable adult population served by OCA.The proposed amendments to OAC 340:2-3-71, OAC 340:2-3-72, OAC 340:2-3-73, OAC 340:2-3-74, and OAC 340:2-3-75 address changing needs brought about by the closure of NORCE and SORC.
Repercussions.
If the proposed rules are not implemented, a lack of due process regarding VACs could be perceived.
Legal authority. Director of Human Services; O.S. 56 § 162; 10A O.S. § 162; 10A O.S. § 1-1-101 et seq.; 43A § 10-102 et seq.; and Section 5101 et seq. of Title 42 of the United States Code.
Permanent rulemaking approval is requested.
B.A description of the classes of persons who most likely will be affected by the proposed rule, including classes that will bear the costs of the proposed rule, and any information on cost impacts received by the Agency from any private or public entities: The classes of persons most likely to be affected by the proposed rules are PRFCIs, VACs, and NORCE and SORC residents transitioning into the community after November 1, 2012.Minimum, if any, costs are associated with implementation of the rules.
C.A description of the classes of persons who will benefit from the proposed rule:The classes of persons who will benefit by the proposed rules are PRFCIs VACs, and NORCE and SORC residents transitioning into the community after November 1, 2012.
D.A description of the probable economic impact of the proposed rule upon the affected classes of persons or political subdivisions, including a listing of all fee changes and, whenever possible, a separate justification for each fee change: There are no fee changes associated with the proposed rules.
E.The probable costs and benefits to the Agency and to any other agency of the implementation and enforcement of the proposed rule, the source of revenue to be used for implementation and enforcement of the proposed rule and any anticipated effect on state revenues, including a projected net loss or gain in such revenues if it can be projected by the Agency: The probably cost to DHS includes the cost of printing and distributing the rules estimated to be less than $20.
F.A determination whether implementation of the proposed rule will have an impact on any political subdivisions or require their cooperation in implementing or enforcing the rule:The proposed rules do not have an economic impact on any political subdivision, nor will the cooperation of any political subdivisions be required in implementation or enforcement of the rules.
G.A determination whether implementation of the proposed rule will have an adverse economic effect on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act:There are no anticipated adverse effects on small business as provided by the Oklahoma Small Business Regulatory Flexibility Act.
H.An explanation of the measures the Agency has taken to minimize compliance costs and a determination whether there are less costly or nonregulatory methods or less intrusive methods for achieving the purpose of the proposed rule: There are neither less costly or non-regulatory methods nor less intrusive methods to achieve compliance.
I.A determination of the effect of the proposed rule on the public health, safety, and environment and, if the proposed rule is designed to reduce significant risks to the public health, safety, and environment, an explanation of the nature of the risk and to what extent the proposed rule will reduce the risk:Implementation of the proposed rules will have a positive impact on the due process afforded to VACs and will have a positive impact on NORCE and SORC residents transitioning into the community.
J.A determination of any detrimental effect on the public health, safety, and environment if the proposed rule is not implemented:Although there would be no detrimental effect on the public health, safety, and environment if the proposed rules were not implemented, the due process of the VACs would be negatively affected.
K.The date the rule impact statement was prepared and, if modified, the date modified: Prepared January 16, 2015.
SUBCHAPTER 3. OFFICE OF CLIENT ADVOCACY
PART 3. INVESTIGATIONS
340:2-3-32. Office of Client Advocacy (OCA) investigations
(a) Legal authority, scope, and purpose.
(1) Legal authority.
(A) Section 1-9-112(A)(3)(d) and (e) of Title 10A of the Oklahoma Statutes (10A O.S. § 1-9-112(A)(3)(d) and (e)) gives the Office of Client Advocacy (OCA) the responsibility to investigate allegations of abuse, neglect, sexual abuse, sexual exploitation, and misconduct by a person responsible for the child:
(i) residing outside their own homes regardless of custody, other than children in foster care;
(ii) receiving services from a community services provider or a community services worker, per 56 O.S. § 1025.1;
(iii) in a day treatment program per 10 O.S. § 175.20; and
(iv) residing in a state institution per 10 O.S. § 1406.
(B) 43A O.S. § 10-105 gives the Oklahoma Department of Human Services (DHS) responsibility to investigate allegations of caretaker abuse, neglect, verbal abuse, and exploitation of vulnerable adults.DHS confers on OCA the responsibility to conduct investigations that involve:
(i) Hissom class members;
(ii) residents of the Southern Oklahoma Resource Center (SORC), the Northern Oklahoma Resource Center of Enid (NORCE), and the Robert M. Greer Center (Greer); and
(iii) vulnerable adults receiving services from a community services provider, community services worker, Medicaid personal care services provider, or Medicaid personal care assistant, as those terms are defined in 56 O.S. § 1025.1.
(C) OCA investigates, pursuant to Oklahoma Administrative Code (OAC) 340:75-3-430, reports alleging denial of medically beneficial treatment by a medical provider to a handicapped infant.
(2) Scope.OCA conducts administrative investigations of maltreatment allegations listed in this subsection.All of the individuals listed, who are clients of the facilities and providers that provide residential care, vocational services, or day treatment, are referred to as the "client" throughout this Section and OAC 340:2-3-33 through 340:2-3-37.Per 10A O.S. § 1-9-112, OCA investigates allegations of:
(A) abuse, neglect, sexual abuse, sexual exploitation, and caretaker misconduct of children by persons responsible for a child regardless of custody residing outside their own homes, other than children in foster care or children in the custody of the Oklahoma Office of Juvenile Affairs (OJA) and placed in an OJA Secure facility as defined by Section 2-1-103 of Title 10A of the Oklahoma Statutes.These investigations include, but are not limited to:
(i) in DHS operated or licensed shelters and group homes;
(ii) and children in facilities operated by, licensed by, or contracting with OJA;
(iii) in community-based youth services shelters and community intervention centers that contract with OJA per 10A O.S. § 2-7-305;
(iv) in facilities operated by or contracting with Oklahoma Department of Mental Health and Substance Abuse Services (ODMHSAS);
(v) in facilities operated by the J.D. McCarty Center of Oklahoma;
(vi) residing in or attending educational classes at facilities operated by the Oklahoma Department of Rehabilitation Services (ODRS), the Oklahoma School for the Blind and the Oklahoma School for the Deaf; and
(vii) receiving services from a community services worker or community services provider per 56 O.S. § 1025.1;
(B) abuse and neglect of, and caretaker misconduct with regard to, children in day treatment programs per 10 O.S. § 175.20, including sanctions programs certified by OJA to provide programming for children who are court ordered to participate in that program;
(C) abuse, neglect, verbal abuse, and caretaker misconduct with regard to, residents of SORC, NORCE, and Greer;
(D) abuse, neglect, verbal abuse, and exploitation of Hissom class members living in Oklahoma and who do not reside in a private intermediate care facility for the intellectually disabled (ICF/ID); and
(E) abuse, neglect, verbal abuse, and exploitation of vulnerable adults receiving services from a community services worker, community services provider, Medicaid personal care services provider, or Medicaid personal care assistant, per 56 O.S. § 1025.1.
(3) Purpose.OCA conducts independent and objective investigations of suspected maltreatment of clients by PRFCIs and vulnerable adult caretakers (VACs) in order to:
(A) protect clients from further maltreatment;
(B) deter and prevent maltreatment;
(C) provide relevant evidence in administrative and judicial proceedings;
(D) rule out unfounded allegations; and
(E) hold violators accountable.
(b) Confidentiality of Office of Client Advocacy records.State and federal statutes and regulations including, but not limited to, 10A O.S. § 1-9-112(C); 10A O.S. § 1-6-102; 56 O.S. § 183; 43A O.S. § 10-110; and OAC 340:65-1-2 require confidentiality for certain DHS records.Information regarding clients is confidential and protected from unauthorized use.Only authorized individuals are permitted access to case records or provided information from OCA case records.
(1) OCA investigations involving children.Statutes and policies regarding the confidentiality of OCA files, records, and reports relating to investigations involving children include, but are not limited to, the confidentiality provisions of the statutes and policies listed in (A) through (C) of this paragraph.
(A) 10A O.S. §§ 2-6-102 through 106 apply applies to OCA investigations involving children in OJA custody and in facilities that contract with OJA.
(B) 10A O.S. §§ 1-2-106, 1-2-107, 1-6-102 et seq., and 1-6-107 apply applies to investigations involving children, regardless of custody, residing outside their own homes.
(C) OAC 340:75-1-42 through 340:75-1-46 applies to OCA investigations involving children in DHS custody, including information regarding placement.
(2) OCA investigations involving vulnerable adults.Statutes and policies regarding the confidentiality of OCA files, records, and reports relating to investigations involving vulnerable adults include, but are not limited to, (A) through (C) of this paragraph.
(A) Disclosure to meet client's protection and other needs.When consulting persons knowledgeable of the circumstances of an alleged victim of abuse, neglect, or exploitation, or when making other contacts as part of the investigation or service planning process, OCA staff may disclose information necessary to ensure the client is protected and the client's needs are met.Information may be disclosed for this purpose without a court order to specific persons acting in an official capacity with regard to the investigation, including:
(i) a district attorney or employees of the district attorney's office;
(ii) the attorney representing an alleged victim in the matter under investigation;
(iii) staff of an Oklahoma law enforcement agency or a law enforcement agency of another state;
(iv) physical or mental health care professionals involved in the evaluation or treatment of the vulnerable adult;
(v) the guardian of the vulnerable adult, in the form of a summary of the allegations in the referral;
(vi) the provider for a vulnerable adult; and
(vii) other public or private agencies or persons authorized by DHS to diagnose, or provide care, treatment, supervision, or other services to a person who is the subject of an OCA investigation.
(B) Disclosure to district attorney and law enforcement.District attorneys their attorneys and staff, the attorney representing the alleged victim, and law enforcement agencies may receive information from the Advocate General or review the entire case record.All other disclosures are limited to summaries of information provided for a specific purpose.Case information from OCA records is not released for research purposes without the prior approval of the advocate general.
(C) Disclosure to others and the news media.In other situations, OCA investigative information is considered confidential per 43A O.S. § 10-110(A) and may be disclosed only by court order.Confidentiality applies to members of the news media as well as the general public.News media representatives requesting information on a specific case are referred to the advocate general, the OCA programs administrator for investigations, or the DHS Office of Communications for a detailed explanation of DHS confidentiality rules.
340:2-3-33. Procedure for reporting suspected abuse, neglect, verbal abuse, caretaker misconduct, and exploitation
(a) Reporting abuse or neglect of a child under 18 years of age.Persons having reason to believe that a child under 18 years of age is a victim of abuse or neglect are required per Section 1-2-101 of Title 10A of the Oklahoma Statutes (10A O.S. § 1-2-101) to promptly report it to the Oklahoma Department of Human Services (DHS) Abuse and Neglect Hotline (Hotline) at 1-800-522-3511.Any allegation of abuse or neglect reported in any manner to a DHS county office is immediately referred to the Hotline, per Section 10A O.S. § 1-2-101.
(b) Reporting abuse, neglect, verbal abuse, or exploitation of a vulnerable adult.Any person having reasonable cause to believe that a vulnerable adult is a victim of abuse, neglect, verbal abuse, or exploitation reports to DHS or the municipal police department or sheriff's office in the county where the suspected abuse, neglect, verbal abuse, or exploitation occurred as soon as the person is aware of the situation.The reporting requirement applies to providers, per Oklahoma Administrative Code (OAC) 340:2-3-2, and the provider's employees and agents.
(c) Reporting caretaker misconduct regarding a child.When the DHS Specialized Placement Unit Child Care Licensing office, the Office of Juvenile Affairs, or another source determines a:
(1) pattern of misconduct exists by a facility or person responsible for the child of interest (PRFCI); or
(2) facility administration fails to take appropriate corrective action in response to an investigation or written plan of compliance, a report should be made to the Hotline.
(d) Reporting caretaker misconduct regarding a vulnerable adult.Persons who have reason to believe caretaker misconduct, per OAC 340:2-3-2, has occurred with regard to a vulnerable adult residing at the Southern Oklahoma Resource Center (SORC), the Northern Oklahoma Resource Center of Enid (NORCE), or the Robert M. Greer Center (Greer), promptly reports the allegation to DHS the Office of Client Advocacy (OCA).
(e) Reporting a vulnerable adult's death, serious physical injury, or sexual assault.In addition to the mandatory reporting requirements per OAC: 340:2-3-33(b) the events listed in (1) through (7) of this subsection are reported to OCA intake when a vulnerable adult's caretaker is alleged to be involved in the vulnerable adult's:
(1) violent death, whether apparently homicidal, suicidal, or accidental;
(2) death under suspicious, unusual, or unnatural circumstances;
(3) death when the vulnerable adult is a resident of SORC, NORCE, or Greer;
(4) death when the vulnerable adult is a Hissom class member;
(5) serious physical injury, per OAC 340:2-3-2;
(6) physical injury when the injury is:
(A) unexplained; and
(B) suspicious; or
(7) rape, sodomy, or other sexual activity prohibited by state law.
(f) Interference, retaliation, or discrimination related to the reporting obligations required by the Oklahoma Children's Code and the Protective Services for Vulnerable Adults Act prohibited.
(1) Per 10A O.S. § 1-2-101, the reporting obligations under the Oklahoma Children's Code are individual and no employer, supervisor, or administrator interferes with the reporting obligations of any employee or other person or in any manner discriminate discriminates or retaliate retaliates against the employee or other person who in good faith reports suspected child abuse or neglect, or who provides testimony in any proceeding involving child abuse or neglect.Any employer, supervisor, or administrator who discharges, discriminates, or retaliates against the employee or other person is liable for damages, costs, and attorney fees.
(2) Per 43A O.S. § 10-104, no employer terminates the employment, prevents or impairs the practice, or occupation of, or imposes any other sanction on any employee solely for the reason the employee made or caused to be made a report or cooperated with an investigation pursuant to the Protective Services for Vulnerable Adults Act.
(g) Immunity from liability for good faith report of abuse, neglect, or exploitation of a child or vulnerable adult.Per 10A O.S. § 1-2-104, the Oklahoma Children's Code and 43A O.S. § 10-104, the Oklahoma Protective Services for Vulnerable Adults Act, any person exercising good faith and due care in making a report of alleged abuse, neglect, or exploitation has immunity from any civil or criminal liability the person might otherwise incur.The person has the same immunity with respect to participation in any judicial proceeding resulting from the report.
(h) Failure to report abuse, neglect, or exploitation of a child or vulnerable adult.Any person who knowingly and willfully fails to promptly report abuse, neglect, or exploitation as required by the provisions of per 10A O.S. § 1-2-101 and 43A O.S. § 10-104 may be subject to administrative action or criminal sanctions upon conviction.In addition, failure to report by a DHS employee may result in disciplinary action.
(i) False report of abuse, neglect, or exploitation of a child or vulnerable adult.
(1) Per 10A O.S. § 1-2-101, any person who knowingly and willfully makes a false report regarding alleged maltreatment of a child, or a report that the person knows lacks factual foundation, may be reported by DHS to local law enforcement for criminal investigation, and upon conviction, is guilty of a misdemeanor.
(2) Per 43A O.S. § 10-104, any person who willfully or recklessly makes a false report of abuse, neglect, or exploitation of a vulnerable adult may be liable in a civil action for actual damages and for punitive damages set by the court or jury regarding the reported party.
(j) Method of reporting.
(1) Each report alleging abuse or neglect of a child is screened by the DHS Hotline in compliance with Child Welfare Services policies and procedures.Each accepted report of a child within Office of Client Advocacy (OCA) investigative authority and scope is assigned to OCA for possible investigation.Reports may be phoned to the Hotline at 1-800-522-3511, faxed to 405-936-0922, emailed to STO.Hotline.Referral@OKDHS.org, or mailed to Child Abuse and Neglect Hotline, DHS, PO Box 25352, Oklahoma City, Oklahoma 73125-0352.
(2) Reports of abuse, neglect, or exploitation of a Hissom class member, resident of SORC, NORCE, or Greer, or other vulnerable adults receiving Developmental Disabilities Services (DDS) services are reported to OCA except for weekends and after business hours when the reports are made to the Hotline at 1-800-522-3511.Reports to OCA may be phoned to 1-800-522-8014 or 405-522-2720, faxed to 405-522-2680, or emailed to oca.intake@okdhs.org.
(3) Reports of abuse, neglect, verbal abuse, financial neglect, or exploitation of a vulnerable adult receiving services from a Medicaid personal care services provider are reported to the Adult Protective Services office, except for weekends and after business hours when the reports are made to the Hotline at 1-800-522-3511.
(4) Reports of allegations may be submitted by completing Form 15GN001E, Office of Client Advocacy-Intake Referral, and sent to the applicable intake unit.
(k) Confidentiality of reporting party's identity.The identity of the person who reports abuse or neglect of a child per 10A O.S. § 1-6-102(H)(7), or abuse, neglect, or exploitation of a vulnerable adult per 43A O.S. § 10-105.1(C)(2), is kept confidential and is not disclosed.DHS accepts anonymous reports of abuse, neglect, or exploitation of a child or vulnerable adult.
(l) Staff training regarding reporting obligations.Each administrator ensures the employee receives relevant training regarding the employee's responsibility to report a child or vulnerable adult's alleged abuse, neglect, or exploitation.Except for employees of a DDS provider, the employee receives the training within 30 calendar days of the employee's initial employment and receives subsequent annual training.DDS provider employee training is as specified per OAC 340:100-3-38 et seq.
340:2-3-34. Administrator's responsibilities regarding allegations reportable to Office of Client Advocacy (OCA)
(a) Facility administrator's responsibility for client's protection, safety, health, and welfare of children and vulnerable adults.When OCA intake receives an allegation of maltreatment by a vulnerable adult caretaker (VAC) or a person responsible for the child of interest (PRFCI), from anyone other than the administrator or the administrator's designee, of the facility or provider responsible for the client, OCA intake promptly notifies the applicable administrator of the allegation.
(1) Upon becoming aware of an allegation of caretaker maltreatment involving an Office of Client Advocacy (OCA) client, an administrator ensures the safety, protection, and needed medical attention of any client named in the allegation and other clients receiving services from the facility or provider.
(2) When criminal activity is alleged regarding a child or vulnerable adult, the administrator immediately notifies the appropriate local law enforcement authority.The types of criminal activity reported to law enforcement include, but are not limited to, the use or possession of illegal drugs, domestic abuse, illegal sexual activity, illegal use of alcohol, theft of money, property, or medication that is a controlled substance, and when someone other than a caretaker is believed to have committed the allegation.
(3) The administrator takes necessary personnel actions to ensure the protection and safety of the alleged victim(s) and other clients.When necessary to ensure safety, an Immediate Protective Action Plan (IPAP) is completed with an OCA investigator.The creation of the IPAP may include consultation with:Oklahoma Department of Human Services (DHS) Developmental Disabilities Services (DDS), Child Welfare Services (CWS), Specialized Placements and Partnerships Unit (SPPU), Child Care Services (CCS), or the Oklahoma Office of Juvenile Affairs (OJA).OCA does not determine or approve personnel actions taken by an administrator in response to allegations reported to OCA.
(4) In the event of alleged abuse or neglect of a Hissom class member by a provider's employee or subcontractor, the administrator ensures the protection and medical attention for any class member named in an allegation or other individual served.In the event of alleged abuse or neglect by an individual serving as a provider, it is the responsibility of the class member's case manager to ensure protection, medical attention, or both for the class member.OCA intake notifies the applicable Developmental Disabilities Services Division (DDSD) DDS area manager by email within one working business day of receipt of a referral of abuse or neglect by an individual serving as provider for the class member.
(b) Preliminary assessment.Upon learning of an incident reportable to OKDHS DHS, the administrator:
(1) immediately ensures the safety of any client(s) named in the referral;
(2) secures any physical evidence and gathers documents within the possession, custody, or control of the facility or provider that may be relevant to the allegation;
(3) immediately photographs injuries.Photographs are taken by a person uninvolved in the incident that is the subject of the allegation relating to the injuries; and
(4) coordinates activities with OCA and other agency or law enforcement authorities involved in investigating the referral.
(c) Collecting pertinent reports and documents.The administrator determines which employees were present when the alleged incident occurred and requires each employee to submit a written account of the alleged incident.The administrator collects medical records, documents, reports, and other documentary evidence that pertains to the alleged incident, within the facility or provider's, possession, custody, or control, and places them in a holding file for OCA investigative use and other investigative authorities authorities’ use.The administrator securely maintains documents collected during the preliminary assessment.
(d) OCA access to documents and evidence.Upon request, an OCA investigator is provided a copy of and access to the original written statements, incident reports, relevant documents, records, reports, photos, and other evidence collected during the preliminary assessment.
(e) Prohibition from interviewing during preliminary assessment.Facility or provider employees do not conduct an investigation of an alleged incident pending while the OCA decision to accept the referral for investigation is pending, or during a pending an open OCA investigation.To avoid the consequences of over-interviewing parties involved in an alleged incident, the preliminary assessment is limited to inquiries regarding those involved, obtaining written statements, and clarifying information needed to take appropriate action to ensure client safety.Determining if a staff member engaged in maltreatment is not the goal of a preliminary assessment and is avoided until the OCA disposition is determined.Once there is reason to believe abuse or neglect occurred, the preliminary assessment ceases, and the incident is reported to the OKDHS Abuse and Neglect Hotline, when it involves a juvenile, or to OCA when the alleged victim is a vulnerable adult.This prohibition does not extend to interviews and investigations conducted by law enforcement when responding to a report of criminal activity.The assigned OCA investigator coordinates activities with local, state, and federal law enforcement entities to seek the most appropriate investigative response to the referral.
(f) Facility and provider contact person.Each The facility or provider administrator is responsible for the care of any of the individuals listed in OAC each individual per Oklahoma Administrative Code (OAC) 340:2-3-32(a)(2) and designates a contact person for OCA.The administrator informs the advocate general of the name, phone number, and email address of the designated contact person and immediately notifies the advocate general in writing, by mail or email, of changes to the information.The designated contact person is available by telephone, pager, or email at all times.Form 15IV011E, Designation of Contact Person for Client Investigations, may be used for this purpose.
(g) Documentation provided by SORC, NORCE, and the Robert M. Greer Center (Greer).Within one business day of the Southern Oklahoma Resource Center (SORC), the Northern Oklahoma Resource Center of Enid (NORCE), or the Robert M. Greer Center (Greer) submitting to the Oklahoma State Department of Health an incident report to the Oklahoma State Department of Health, a five-day report, or a final report regarding an allegation reported to OCA intake, the facility sends OCA intake a copy by fax or email attachment.
(h) Ensuring confidentiality.Administrators maintain information, files, and documents regarding referrals made to OCA intake, including OCA investigation reports distributed per OAC 340:2-3-36, in a manner that protects information confidentiality.
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 (OKDHS) (DHS) Abuse & and Neglect Hotline (Hotline) involving a child, the Office of Client Advocacy (OCA) intake records on Form 15GN001E, Office of Client Advocacy-Intake Referral, or the electronic equivalent, the specifics of each referral received 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 (7)(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 working 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 Southern Oklahoma Resource Center (SORC), Northern Oklahoma Resource Center of Enid (NORCE), and the Robert M. Greer Center (Greer) and facilities for children that are not licensed by or contracted with OKDHS DHS.
(3) Refer to OCA advocate.This screening disposition is made when the referral involves a Hissom class member or a resident of SORC, NORCE, or 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 the Oklahoma Department of Human Services (OKDHS) 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.
(5)(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.
(6)(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.
(7)(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.
(8)(9) Refer to administration.This screening disposition means the matter is not within the purview of OCA, another OKDHS DHS unit, or another state agency, but is relevant to the facility or provider operations.
(9)(10) Refer to DDSD 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.
(10)(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 working business day of making a disposition to investigate the allegation.When urgent circumstances exist in a case opened for investigation, an assignment is made, and the investigation commenced 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.
340:2-3-36. Office of Client Advocacy investigation procedures
(a) Initiation of Office of Client Advocacy (OCA) investigation.
(1) Per Section 1-9-112 of Title 10A of the Oklahoma Statutes (10A O.S. § 1-9-112), Oklahoma Department of Human Services (DHS) OCA within its investigative scope and authority, conducts a prompt and thorough investigation upon receiving a report of abuse, neglect, sexual abuse, or sexual exploitation of a child within priority guidelines per 10A O.S. §1-2-105 and Oklahoma Administrative Code (OAC) 340:75-3-130.
(2) Per 43A O.S. § 10-105 DHS OCA within its investigative scope and authority, conducts a prompt and thorough investigation upon receiving a report of abuse, neglect, verbal abuse, financial neglect, or exploitation of a vulnerable adult with intellectual disabilities who is a recipient of home and community based waiver services.
(A) An OCA investigator initiates an investigation by making face-to-face contact with the vulnerable adult, who is the alleged victim.
(B) The OCA investigator initiates the investigation, as soon as possible, but within five calendar days, and not to exceed 120 hours from the time of the receipt of the referral.
(C) In the case of an emergency when a priority response is required, an OCA investigator initiates the investigation, as soon as possible, but not to exceed 24 hours from the date of case assignment.
(D) If during the course of an investigation, the OCA investigator has concerns that the vulnerable adult victim may be engaging in acts of self-neglect, or in need of involuntary protective services or court intervention, the OCA investigator promptly makes a referral to Adult Protective Services (APS) and coordinates with APS to ensure the safety of the vulnerable adult per 43A O.S. § 10-106.
(b) Joint investigations with law enforcement are conducted when report regards a child during children and vulnerable adult investigations when possible.Per 10A O.S. § 1-9-102, the multidisciplinary team (MDT) approach is used:
(1) whenever feasible for investigations involving cases of child sexual abuse, serious physical abuse, and serious neglect;
(2) to enhance the investigative process and maximize services provided to affected children and families; and
(3) to consult with other MDT team members, as appropriate.
(c) Notice of investigation provided to person responsible for the child of interest (PRFCI).Per 10A O.S. § 1-2-106, at initial contact with a (PRFCI who is the subject of an investigation pursuant to the Oklahoma Children's Code, DHS advises the PRFCI of the specific complaint or allegation made against him or her.
(d) Written description of the investigation process provided to PRFCI.When DHS is unable to locate the PRFCI who is the subject of an investigation, DHS as soon as possible after initiating the investigation of the person, provides the person a brief and easily understood written description of the investigation process that includes information detailed in per 10A O.S. § 1-2-106.
(e) Reportable incident regarding vulnerable adult reported by DHS to law enforcement.Per 43A O.S. § 10-104, the investigation of a vulnerable adult by DHS includes notification of the allegation to the local law enforcement agency.
(f) Notice of investigation provided to vulnerable adult's caretaker (VAC), legal guardian, and next of kin.
(1) Per 43A O.S. § 10-105.1, as soon as possible after initiating an investigation of a referral regarding a vulnerable adult, DHS provides the alleged victim's caretaker, legal guardian, and next of kin, notice that includes a brief oral summary and easily understood a written description of the investigation process, whether or not the caretaker, guardian, or next of kin is alleged to be the perpetrator of the abuse, neglect, or exploitation of the vulnerable adult.
(2) If When the vulnerable adult retains capacity to consent to voluntary services and does not wish for a caretaker or next of kin to receive notification of the investigation, DHS abides by the vulnerable adult's wishes.
(g) Facility or provider responsibility to arrange document production, visits, and interviews.The applicable facility administrator or designee arranges document production, site visits, and interviews per OCA request.
(1) The facility or provider administrator who employed the accused PRFCI or VAC at the time of the alleged incident informs the employee of:
(A) the OCA investigator's name and telephone number;
(B) the investigative process described in this Section;
(C) except as stated in paragraph (2) of this subsection, the employee's rights and responsibilities relating to the investigation described in subsection (l) of this Section, using Form 15IV005E, Rights and Responsibilities of Accused Caretakers; Form 15IV006E, Investigations of Foster Parent Retaliation Complaints - Rights and Responsibilities of Accused DHS Employees; Form 15IV004E, Investigations of Client Maltreatment - Rights and Responsibilities of Accused DHS Employees; or a substantially similar provider or agency form, a copy of which is provided to the OCA investigator except as stated in paragraph (2) of this subsection; and
(D) the allegation made against the PRFCI or VAC without divulging the identity of the reporting party or the substance of the evidence.
(2) When the PRFCI or VAC is subject to the Community Services Worker (CSW) Registry maintained by the DHS Legal Services, the rights and responsibilities of the accused community services worker and Medicaid personal care assistant is found in OAC 340:100-3-39.
(A) The facility or provider administrator or designee promptly completes Form 06PE059E, Rights and Responsibilities of Community Services Worker in an Investigation of Maltreatment, per OAC 340:100-3-39(e)(2)(C).
(B) The facility or provider administrator or designee mails Form 06PE059E to the worker when it is not possible to hand deliver it to the worker who is no longer employed by the provider.
(h) OCA access to victims, employees, clients, facilities, files, and other records.
(1) The applicable facility or provider administrator arranges for the OCA investigator to have immediate and direct access to any alleged victim in the referral who is still a client of the facility or provider.
(2) During an OCA investigation, DHS, Office of Juvenile Affairs (OJA), Oklahoma Department of Rehabilitation Services (ODRS), Oklahoma Department of Mental Health and Substance Abuse Services (ODMHSAS), the J.D. McCarty Center, providers, and facilities, and persons who contract with them, provide OCA access to all employees, clients, facilities, locations, files, and records of any nature that may pertain to the investigation.
(3) Denial of access may be grounds for a contract termination between DHS and the contractor.
(i) Court order allowing entry to premises, access to and exam of the child, and access to child's medical, psychological, or psychiatric records.Per 10A O.S. § 1-2-105:
(1) the investigation may include a medical, psychological, or psychiatric examination of any child in the home or in out-of-home placement.When admission to the home, school, or any place where the child may be located cannot be obtained, the district court having jurisdiction, upon application by the district attorney and upon cause shown, orders the PRFCI, or the person in charge of any place where the child may be located, to allow entrance for the interview, examination, and investigation;
(2) when the PRFCI does not consent to the DHS requested medical, psychological, or psychiatric examination of the child, the district court having jurisdiction, upon application by the district attorney and upon cause shown, orders the examination to be made at the times and places designated by the court; and
(3) the investigation may include an inquiry into the possibility the child has a history of mental illness.When the PRFCI does not allow DHS access to requested behavioral health records or treatment plans that may be relevant to the alleged abuse or neglect, the district court having jurisdiction, upon application by the district attorney and upon good cause shown, allows DHS by order, access to the records pursuant to terms and conditions prescribed by the court.
(j) Court order allowing entry to premises, private access to the vulnerable adult, or records and documentation.
(1) Per 43A O.S. § 10-105, the DHS investigation includes:
(A) a visit to the home or other place of residence of the person who is the subject of the report;
(B) a private interview with the person who is the subject of the report; and
(C) consultation with persons who have knowledge of the circumstances.
(2) When in the course of an investigation, DHS is denied entrance to the home or other place of residence of a person believed to be a vulnerable adult in need of protective services, or is denied a private interview with the vulnerable adult, DHS may petition the court for an order allowing entry to the premises or private access to the vulnerable adult per 43A O.S. § 10-105.
(3) The court makes a finding of probable cause of the vulnerability of the adult before issuing the order.
(4) When documentation, or access to records, or other information relating to the alleged vulnerable person is denied, DHS may petition the court for an order allowing entry or access.The petition states the name and address of the person who is the subject of the report and alleges specific facts sufficient to show the circumstances of the person are in need of investigation.
(5) When it is necessary to forcibly enter the premises, DHS enters, accompanied by a peace officer per 43A O.S. § 10-105.
(k) Discrimination, retaliation, or interference in an OCA investigation prohibited.
(1) 10A O.S. § 1-2-101(B)(4) prohibits discrimination or retaliation against a person who in good faith provides information about a reportable incident or testifies in a proceeding.
(2) 21 O.S. § 455 makes it a felony to interfere with a child abuse investigation or a vulnerable adult investigation per 43A O.S.A DHS employee who interferes with an OCA investigation may be subject to administrative action.Interference includes, but is not limited to:
(A) intimidating, harassing, or threatening a party to the investigation;
(B) retaliation against an employee for reporting an allegation; or
(C) denial of access to clients, employees, facilities, witnesses, records, or evidence.
(3) 43A O.S. § 10-104(K) states that an employer shall not terminate the employment, prevent or impair the practice or occupation, of or impose any other sanction on any employee solely for the reason that the employee made or caused to be made a report or cooperated with an investigation pursuant to the Protective Services for Vulnerable Adults Act, 43A O.S. §§ 10-101 et seq.
(l) Rights and responsibilities of accused PRFCI or VAC.The rights and responsibilities of the accused PRFCI or VAC during an OCA investigation are outlined in this subsection, except when the accused is a community services worker, whose rights and responsibilities are found at OAC 340:100-3-39.
(1) Rights.During the investigation process, an accused PRFCI or VAC has the right to:
(A) be advised of the nature of each allegation made against him or her;
(B) be advised by OCA of the investigative process involving caretaker maltreatment;
(C) be interviewed by the investigator and allowed to give his or her position regarding the allegation;
(D) be advised by the investigator of the substance of the evidence against him or her, but not the identity of the person reporting the allegation;
(E) submit or supplement a written statement relating to the allegations;
(F) seek advice from other parties concerning a PRFCI's or VAC's rights and responsibilities in OCA investigations, including the right to seek counsel;
(G) decline to answer any question when he or she reasonably believes the answer to the question may incriminate him or her in a criminal prosecution; and
(H) be notified in writing by his or her employer of the outcome of the investigation when the investigation involves a VAC; and
(I) be notified in writing by OCA of the outcome of the investigation when the investigation involves a PRFCI.
(2) Responsibilities.During the investigative process, the accused PRFCI or VAC has the responsibility to:
(A) prepare written statements and reports relevant to the investigation upon request;
(B) be available for interviews and accommodate the investigator in scheduling interviews;
(C) refrain from action that interferes with the investigation, including any action that intimidates, threatens, or harasses any person who has or may provide information relating to the allegation; and
(D) provide pertinent information and respond fully and truthfully to questions asked.
(m) Educational employees.This subsection applies to an employee of a school district providing contract educational services on-site at a facility, per OAC 340:2-3-2, who is either a witness or the accused PRFCI or VAC in an OCA investigation.
(1) The administrator of the facility where the incident took place notifies the principal of the school of the nature of the allegation and the name of the assigned OCA investigator.
(2) The principal of the school is responsible for notifying the school employee of the reason for the investigative interview, advising the employee of his or her rights and responsibilities relating to the OCA investigation, and arranging for the employee's appearance at an investigative interview.This requirement is for purposes of notification and coordination of the investigative process and does not extend to ensuring the protection of the alleged victim(s) or other clients at the facility where the educational services are provided.The administrator of the facility where the alleged incident took place is responsible for client protection.
(3) OCA investigates educational employees who meet the definition of a caretaker per OAC 340:2-3-2.
(n) Contractor's employees.This subsection applies to an employee of a contractor of a provider or facility when the employee is an accused PRFCI or VAC in an investigation opened by OCA.
(1) The facility or provider administrator where the incident took place notifies the contractor chief administrative officer of the nature of the allegation against the contractor's employee and the name of the assigned OCA investigator.
(2) The contractor chief administrative officer is responsible for notifying the contract employee of the reason for the investigative interview, advising the employee of his or her rights and responsibilities relating to the OCA investigation, and arranging for the employee's appearance at an investigative interview.This requirement is for purposes of notification and coordination of the investigative process.The facility or provider administrator where the alleged incident took place is responsible for client protection.
(o) Document collection and review.The investigator gathers and reviews relevant documents including, but not limited to:
(1) incident reports and other written reports, accounts, and statements prepared during the preliminary assessment;
(2) medical records;
(3) photos photographs and/or video; and
(4) facility or provider logs, and activity and tracking documents.
(p) Investigative interviews.When an injury is alleged, the investigator or other appropriate person observes, notes, and documents apparent injuries, and obtains pertinent medical documentation, including photographic evidence.Interviews are conducted in private.No person, other than the investigator and the person interviewed, is allowed to attend an interview except for a person necessary to facilitate communication.An attorney or other representative of the person interviewed attends an interview only as a silent observer with prior permission of the advocate general or designee.
(q) Interview protocols.The OCA investigator conducts a separate private interview with each alleged victim, available witnesses to the alleged maltreatment, and persons who allegedly were directly or indirectly involved in the allegation, persons with knowledge of relevant information, and each caretaker accused of the maltreatment.
(r) Conducting the investigation.OCA investigators conduct investigations in a professional manner.
(s) Recording investigation interviews.OCA interviews are audio recorded.To maintain information confidentiality provided in an interview, recording by the person interviewed or by anyone else in attendance is not permitted.Recordings of interviews remain with the OCA investigative file.OCA files and recordings are not public documents.
(t) Immediate Protective Action Plan (IPAP) regarding children and vulnerable adults.The purpose of an IPAP is to address issues related to the present danger of children or vulnerable adults in order to ensure their continued safety.An IPAP involves communication by the investigator with the agency or facility to document the steps the agency or facility is taking to ensure the immediate safety of children or vulnerable adults until safety concerns are eliminated.
(t)(u) Presentation of the allegation.If, during the course of an investigation, a witness is identified as a potential accused caretaker, the investigator interviews the witness again to inform the witness that he or she is a potential accused caretaker.At that time, the witness is informed of the substance of the evidence and relevant information learned during the investigation and provided an opportunity to respond.The OCA investigator informs the facility administrator of the facility or provider agency of the new allegation and of the new potential, additional accused caretaker caretaker(s).The investigator advises the accused caretaker of the substance of the new information and provides an opportunity to present a response.
(u)(v) Opportunity for accused caretakers to respond.Following the initial interview of the accused caretaker, if the investigator obtains information that the accused caretaker did not have an opportunity to respond, the investigator conducts another interview with the caretaker.The investigator advises the accused caretaker of the substance of the new information and provides an opportunity to present a response.
(v)(w) Interpreter services for persons who are deaf or hard of hearing.When OCA interviews the person who is deaf or hard of hearing is interviewed by OCA, the facility or provider agency that employed the person at the time of the alleged incident provides, at no cost to OCA, oral or sign language interpreter services by an independent and qualified interpreter.Interpreter services for DHS employees and clients are provided per OAC 340:1-11-10.
(w)(x) Scheduling interviews.To schedule an interview with an accused caretaker, the investigator contacts by phone, email, or regular mail, the facility, administrator, the provider agency administrator, or designee that employs the caretaker.When a reasonable time has passed without being able to schedule an interview, After two documented attempts to schedule an interview, the investigator contacts, in writing, the facility administrator, or provider to request agency administrator, or designee advising the administrator of their responsibility to compel the employee to participate.The investigator notifies Developmental Disabilities Services (DDS) Quality Assurance (QA) or Child Welfare Services Specialized Placements and Partnerships Unit (SPPU) to ensure compliance with contract provisions.If unsuccessful, the investigator sends a letter by regular mail to the caretaker's last known address notifying the caretaker of the investigation, and offering an opportunity to be interviewed, and setting a date and time for a response.The letter informs the caretaker of the consequence of failure failing to participate.is for the The OCA investigative report to be is completed without the caretaker's statement, and a finding is made based on the available information.For other persons needing to be interviewed, the investigator follows the same sequence as protocol for an accused caretaker, but the letter only requests their his or her participation in an interview.
(x)(y) Exit notice Area of concern (AOC) notification.Within 30 calendar days of assignment of a referral for investigation, During the course of the investigation, the assigned OCA investigator contacts the applicable facility or provider administrator or designee by email when the information gathering portion of the investigative process is completed.The investigator informs or telephone and informs the facility or provider agency administrator or designee of any identified areas of concern identified and that a written report will be prepared with the final finding.Preliminary findings are not required.Upon completion of the investigation, all identified areas of concern are provided in writing to the facility or agency provider administrator.
(y)(z) The written investigative report.After completing the information-gathering portion of the investigative process, the investigator prepares a written investigative report containing:
(1) the referral allegation(s) in the referral investigated, including the date, time, and location of the alleged incident(s), the date the allegation was reported to OCA, and the assigned OCA case number;
(2) a statement of any physical injuries sustained by the alleged victim(s);
(3) information regarding any involved law enforcement entities;
(4) a recommendation for the district attorney to consider further investigation;
(5) the applicable definition(s) of caretaker misconduct or the type of maltreatment at issue, such as abuse, neglect, verbal abuse, exploitation, or caretaker misconduct;
(6) the finding(s) per this (t) - (v) of this Section;
(7) a list of the involved parties, their titles and roles in the matter, if they were interviewed and, if so, when, and whether interviewed, whether face-to-face or by telephone;
(8) the name, address, and telephone numbers of any interpreter employed during the investigation;
(9) an explanation of the basis for the finding(s);
(10) a summary of relevant information obtained during each interview conducted during the investigation;
(11) areas of concern relating to the referral identified during the investigation regarding facility, provider, or DHS practices or procedures that have implications for the safety, health, or welfare of clients, but do not rise to the level of abuse or neglect;
(12) a list of relevant documents and records reviewed during the investigation;
(13) a list of attachments to the report provided upon request; and
(14) an explanation for any delays in meeting the time requirements for completing the investigation report contained in this Section.
(z)(aa) OCA findings and completion time requirements regarding investigations involving a child in DHS custody.Per 10A O.S. § 1-9-112.1, the OCA investigation of a report of abuse or neglect of a child in DHS custody results in a written report within 30 calendar days from the date of the referral stating one of the findings in (1) through (3) of this subsection.
(1) "Substantiated" means OCA determined, after an investigation of a report of child abuse or neglect of a child in DHS custody and based upon some credible evidence, that child abuse or neglect occurred;
(2) "Unsubstantiated" means OCA determined, after an investigation of a report of child abuse or neglect of a child in DHS custody, that insufficient evidence exists to fully determine whether child abuse or neglect occurred; or
(3) "Ruled out" means OCA determined, after an investigation of a report of child abuse or neglect of a child in DHS custody, that no child abuse or neglect occurred.
(aa)(bb) OCA findings and completion time requirements regarding investigations involving a child not in DHS custody.OCA investigations involving a child not in DHS custody results in a written report within 30 calendar days from the date of the referral stating one of the findings in (1) through (3) of this subsection.
(1) "Substantiated" means OCA determined, after an investigation of a report of child abuse or neglect of a child not in DHS custody and based upon some credible evidence, that child abuse or neglect occurred;
(2) "Unsubstantiated" means OCA determined, after an investigation of a report of child abuse or neglect of a child not in DHS custody, that insufficient evidence exists to fully determine whether child abuse or neglect occurred; or
(3) "Ruled out" means OCA determined, after an investigation of a report of child abuse or neglect of a child not in DHS custody, that no child abuse or neglect occurred.
(bb)(cc) OCA findings regarding investigations involving a vulnerable adult.The OCA investigation of a report of abuse, or neglect, or exploitation of a vulnerable adult results in a written response within 60 45 calendar days from the date of the referral stating one of the findings in (1) through (4) of this subsection.The OCA investigator determines the appropriate finding for each allegation contained in the referral investigated.Findings are made based on a greater weight of the evidence standard.The finding options are:
(1) "Substantiated substantiated" means the greater weight of the available evidence establishes the alleged maltreatment occurred;
(2) "Not substantiated not substantiated" means the greater weight of the available evidence indicates the alleged maltreatment did not occur; or
(3) "Ruled out ruled out" means no evidence was discovered that indicates indicated the alleged maltreatment occurred; or
(4) "Defer"means OCA will defer the completion of an investigation and the issuance of a finding upon reasonable request to do so by a law enforcement agency having investigative authority.
(cc)(dd) Identification of the responsible VAC.Regarding investigations involving a vulnerable adult, when the evidence gathered during the investigation is sufficient to substantiate maltreatment of a vulnerable adult but the person responsible for the maltreatment cannot be identified, the substantiated finding is made on an unknown VAC.The administration may be named as responsible when the policies, procedures, or practices adopted by the administration of a facility or provider are the primary factor resulting in the maltreatment of individual clients.
(dd)(ee) Notice of findings of child abuse or neglect.
(1) After completion of the OCA investigation, a findings letter is mailed to the:
(A) alleged PRFCI; and
(B) facility administrator.
(2) When a facility administrator is named as an accused PRFCI, a findings letter is mailed to the chair of the board of directors of the facility, or to the director of the state agency operating the facility, asapplicable.
(3) The OCA investigator verbally provides the findings to the child victim's parents or guardian.
(ee)(ff) Appeal process for substantiated findings of child abuse or neglect.The 2010 Child Abuse Prevention and Treatment Act (CAPTA), Section 5101 et seq. of Title 42 of the United States Code, requires that DHS provide an appeal process for persons who disagree with a substantiated finding of child abuse or neglect.The appeal process is detailed in per OAC 340:2-3-39.
(gg) Appeal process for substantiated findings of vulnerable adult abuse, neglect, financial exploitation, financial neglect, or verbal abuse.The appeal process is provided for VACs who disagree with a substantiated finding of vulnerable adult abuse, neglect, financial exploitation, financial neglect, or verbal abuse per OAC 340:100-3-39.
(ff)(hh) OCA investigation report submitted to Child Welfare Services (CWS).Per 10A O.S. § 1-9-112.1, in addition to the requirements of 10A O.S. § 1-9-112, the OCA investigation report concerning a report of abuse or neglect of the child in DHS legal custody DHS is submitted to the CWS director or designee within 30 calendar days from the referral date.
(gg)(ii) Dissemination of OCA investigative reports involving PRFCIs and VACs not subject to the Community Services Worker (CSW) Registry.
(1) Except as provided in subsection (aa) of this Section, a copy of the final OCA investigation report involving a vulnerable adult client is sent to the administrator of an affected facility or provider agency.The administrator is responsible for notifying the client of the OCA finding.OCA notifies the caretaker, legal guardian, and next of kin of a vulnerable adult of the OCA finding.
(2) When the referral alleges abuse, verbal abuse, sexual abuse, neglect, financial neglect, or exploitation, a copy is sent to the applicable district attorney.
(3) A copy is sent to the appropriate DHS state office State Office administrator, OJA executive director, ODRS director, ODMHSAS director, or the J.D. McCarty Center director, whichever is as applicable.
(4) When a facility or provider administrator is named as an accused VAC in the allegation, OCA forwards the investigative report to the facility or provider agency chair of the board of directors, or to the director of the state agency operating the facility, whichever is applicable.
(5) A copy of the OCA report is sent to the Oklahoma State Department of Health (OSDH) when the investigation involved a day treatment program.
(6) A copy of the OCA report Form 04K1078E, Notification Concerning Finding(s) of Child Abuse/Neglect, is sent to the administrator of a DHS operated facility and applicable DHS director or designee.The administrator provides the accused DHS employee who is a VAC a letter that summarizes the allegation and states the OCA finding.When an accused PRFCI is a DHS employee who does not work at a DHS operated facility, the applicable DHS director or designee is responsible for providing the employee with a letter that summarizes summarizing the allegation and states the OCA finding.The administrator provides the accused DHS employee who is a VAC, a letter summarizing the allegation and states the OCA finding.
(7) When client maltreatment by a licensed nurse is substantiated, a copy of the OCA report is submitted to the Oklahoma State Board of Nursing.
(8) When appropriate in cases involving a vulnerable adult, a copy of the OCA report is sent to any state agency with concurrent jurisdiction over persons or issues identified in the investigation including, but not limited to, OSDH and any appropriate state licensure or certification board, agency, or registry and includes sending OSDH a copy of any report when at least one of the accused PRFCIs or VACs is a certified nurse aide (CNA).
(9) When maltreatment by a guardian is substantiated, a copy of the OCA investigation report is submitted to the applicable guardianship court.
(10) OCA distributes the investigation report by United States mail, fax, or email, whichever is as appropriate.
(hh)(jj) Dissemination of reports involving Hissom class members, PRFCIs, and VACs subject to the CSW Registry or the Child Care Restricted Registry.
(1) All OCA investigations involving a substantiated finding against a community services worker, or Medicaid personal care assistant employed by a Medicaid personal care services provider, are processed for the CSW Registry per OAC 340:100-3-39 and 317:35-15.
(2) All OCA investigations involving a substantiated finding against a PRFCI while the child is in the care of a child care facility are processed for the Child Care Restricted Registry per OAC 340:110-1-10.1.
(3) A copy of the investigation report is sent to the district attorney in the county where the suspected maltreatment occurred per 10A O.S. § 1-2-105(E) when the victim is a child, or 43A O.S. § 10-104(I) when the victim is a vulnerable adult.
(4) In addition to (aa) of this Section, when the victim is a child receiving DDS services, OCA sends a copy of the report to the DDS director or designee.
(5) When the OCA finding substantiates an allegation against a PRFCI when the abuse or neglect occurred to a child in the care of a child care facility, OCA submits a copy of the report to Child Care Services (CCS) Licensing Records Office per OAC 340:110-1-10.1(f) for processing under the Child Care Restricted Registry.
(6) When the victim is a vulnerable adult, OCA sends the report to the facility or provider administrator, the DDS director or designee, the Aging Services director or designees, or the Oklahoma Health Care Authority (OHCA) director or designee, whichever is as applicable.
(7) OCA notifies the caretaker, legal guardian, and next of kin of a vulnerable adult of the investigation finding.When the vulnerable adult is a Hissom class member, the class member's assigned OCA advocate notifies the class member and the class member's guardian or close family member of the investigation finding.
(8) When maltreatment by a guardian is substantiated, a copy of the OCA investigation report is submitted to the applicable guardianship court.When an investigation involves a vulnerable adult with a guardian, a copy of the completed investigation report must be filed with the court to which the guardian is accountable per 43A O.S. § 10-105 (D).
(ii)(kk) Confidentiality of OCA investigative reports.
(1) Persons receiving copies of OCA investigative reports regarding a child are bound by the confidentiality provisions of 10A O.S. §§ 1-6-102 through 1-6-107.
(2) Persons receiving copies of OCA investigative reports regarding a vulnerable adult are bound by the confidentiality provisions of 43A O.S. § 10-110.
(A) Pursuant to 43A O.S. § 110(A) 10-110(A) of the Protective Services for Vulnerable Adults Act, all reports, records, and working papers used or developed in an investigation of the circumstances of a vulnerable adult are confidential, and can be disclosed only pursuant to rules promulgated by DHS, by court order, or as otherwise provided in the "Public Disclosure" provisions per 43A O.S § 10-110.1 when a VAC is charged with committing a crime that resulted in the death or near death of the vulnerable adult.
(B) Pursuant to 43A O.S. § 10-110(B), all reports, records, and working papers may be disclosed without a court order to:
(i) any district attorney and their staff upon showing presentation of proper credentials in the course of their official duties pursuant to this title Title or in the prosecution of crimes against a vulnerable adult;
(ii) the attorney representing a vulnerable adult in a proceeding under the Protective Services for Vulnerable Adults Act;
(iii) employees of a law enforcement agency of this or another state and employees of adult protective services agencies of this or another state; and
(iv) employees of adult protective services agencies of this or another state;
(iv)(v) a physician examining or treating a vulnerable adult who the physician suspects may have been abused or neglected or any health care or mental health professional involved in the evaluation or treatment of the vulnerable adult;
(v)(vi) a caretaker, legal guardian, custodian, or other family members of the vulnerable adult; provided, DHS may limit such disclosures to summaries or to information directly necessary for the purpose of such disclosure;
(vi)(vii) any public or private agency or person authorized by DHS to supervise or provide other services to a vulnerable adult who is the subject of a report or record of abuse or neglect; provided, DHS may limit such disclosures to summaries or to information directly necessary for the purpose of such disclosure; and
(vii)(viii) any person or agency for research purposes, when all of the following conditions in (I) and (II) are met.The person or agency conducting:
(I) the person or agency conducting such research is employed by the State of Oklahoma or is under contract with the State and is authorized by DHS to conduct such research; and
(II) the person or agency conducting the research ensures that all documents contained containing identifying information are maintained in secure locations and access to such documents by unauthorized persons is prohibited; and that all in identifying information is redacted from documents used in the research when the research is completed.
(C) A summary disclosed per 43A O.S. § 10-110(B) excludes:
(i) Social Security numbers and financial account numbers of the:
(I) alleged victim;
(II) alleged VAC;
(III) DHS caseworker;
(IV) other vulnerable adults identified in the investigation; and
(V) any other person identified in the record; and
(ii) all identifying information, including, but not limited to, names, addresses, and phone numbers of the person(s) who reported the abuse, neglect, or exploitation, and all such identifying information of any other vulnerable adults in the home or facility.
(D) The OCA investigation report may be provided in lieu of a separately created summary and the identifying information found in this subsection is redacted.
(E) All investigative records received by DHS and created by other local or state agencies, including law enforcement agencies, are obtained directly from those local or state entities.
(F) Persons seeking redacted identifying information listed in subparagraph (2)(C) contained in the OCA investigative report, in any summary, or other information contained in any other reports, records, or working papers used or developed in the investigation must obtain a court order authorizing release of such information.
(i) All reports, records, and working papers, and all information contained therein remain confidential after the DHS release; and
(ii) it is unlawful and a misdemeanor for any person to furnish any record or disclose any information contained therein for any unauthorized purpose.
(jj)(ll) Substantiated findings involving DHS operated facilities.The OCA investigation report findings involving client maltreatment at a DHS operated facility are considered final when the time for requesting Grievance and Abuse Review Committee (GARC) review per OAC 340:2-3-62(b) has expired and a review was not requested, or the review was timely requested and concluded.
(1) When CWS or DDS receives a copy of a final OCA investigative report or notice that a review per OAC 340:2-3-62 is concluded, within 30 calendar days, the applicable director notifies the advocate general in writing of:
(A) personnel action taken or to be taken with regard to each accused PRFCI or VAC named in the report;
(B) corrective action taken or to be taken regarding areas of concern noted in the report; and
(C) for each worker found to have engaged in maltreatment, whether there were prior OCA or facility confirmations for client maltreatment by the worker and, when so, the basis for each such finding, and the personnel action taken in response.
(2) When personnel action was is or will be taken, the applicabledirector also notifies the DHS Human Resource Management director.When the final OCA finding does not substantiate maltreatment, no information or material pertaining to the allegation or the investigation is placed in the personnel file of an accused PRFCI or VAC.
(3) OCA reports information regarding substantiated findings to the DHS Director.
(kk)(mm) Findings involving a Hissom class member.This subsection applies to the administrator of a provider that employed, or contracted with a contractor that employed an accused VAC named in an OCA investigation report.
(1) Within 60 calendar days of receipt of a final OCA investigation report, the DDS director or designee notifies the advocate general in writing:
(A)(1) when personnel action was or will be taken with regard to each accused VAC named in the report; and
(B)(2) of corrective action taken or to be taken regarding areas of concern noted in the report.
(2) OCA reports information regarding substantiated findings to the Commission during executive session.
340:2-3-37. Caretaker conduct review (CCR)
(a) Application.This Section applies to referrals received by the Office of Client Advocacy (OCA) that OCA refers to a facility for an internal caretaker conduct review (CCR) per Oklahoma Administrative Code (OAC) 340:2-3-35(a)(2).Allegations of caretaker misconduct regarding children are screened by the Oklahoma Department of Human Services (OKDHS) (DHS) Abuse & Neglect Hotline (Hotline) and referred to the appropriate facility contracting and licensing entities where the incident occurred.OCA may conduct an investigation when the (OKDHS) DHS Specialized Placement Unit, (OKDHS) DHS Child Care Licensing Unit, or other source, determines a pattern of misconduct exists by a person responsible for the child of interest (PRFCI) or facility administration, or facility administration fails to take appropriate corrective action.This Section does not apply to allegations involving caretaker misconduct of a Hissom class member or a vulnerable adult, other than a resident of Southern Oklahoma Resource Center (SORC), Northern Oklahoma Resource Center of Enid (NORCE), and the Robert M. Greer Center (Greer).OCA will continue continues to accept and process CCRs regarding children who are in facilities that are not licensed by or contracted with (OKDHS) DHS.
(b) Assignment to a facility to conduct a CCR.
(1) When OCA receives a referral that indicates possible caretaker misconduct, in lieu of an investigation, OCA intake may refer it to the facility where it allegedly occurred for handling as a CCR if when:
(A) there is no injury or evidence the client might have been exposed to a significant risk of harm;
(B) there is a minor physical injury and it is not a suspicious injury;
(C) there is a serious physical injury and the known credible information makes it unlikely the serious injury was the result of abuse or neglect; or
(D) excessive or unauthorized use of force is alleged and there is no injury or only a minor injury that is not suspicious.
(2) In addition to the referrals in subsection (b)(1) of this Section, regarding vulnerable adults at (OKDHS) DHS operated facilities, and at Greer, a referral indicating possible maltreatment may be referred to the facility for handling as a CCR if when the allegation involves a serious physical injury that occurred under unexplained or unusual circumstances.
(c) Protocol for conducting a CCR.When OCA intake assigns a facility the responsibility to conduct a CCR, the administrator or designee takes necessary steps to ensure the safety of all clients and to protect the integrity of all evidence.A facility employee designated to conduct a CCR follows the investigative procedures described in per OAC 340:2-3-36, with the exception of recording the interviews in per OAC 340:2-3-36(j)(1), including:
(1) reviewing pertinent documentation, records, and evidence collected;
(2) viewing any injuries and photos of injuries, and obtaining photos of injuries;
(3) obtaining written statements and conducting interviews with:
(A) each alleged victim;
(B) each eyewitness;
(C) other persons with knowledge relevant to the allegation; and
(D) each accused caretaker;
(4) reviewing statutes, policies, directives, standards, rules, or practices relevant to the allegation;
(5) analyzing the accused caretaker's actions in relation to relevant statutes, policies, directives, standards, rules and practices; and
(6) determining the appropriate finding(s) per OAC 340:2-3-36(v).
(d) Returning the investigation responsibility to OCA.If at any time during the CCR information is learned that gives cause to believe that a client was the victim of caretaker misconduct resulting in a serious injury, abuse, or neglect, the administrator immediately discontinues the CCR and contacts OCA intake to report the new information warranting an OCA investigation.OCA intake notes the new information and changes the disposition on Form 15GN001E, Office of Client Advocacy - Intake Referral, or its electronic equivalent, and the case is assigned to an OCA investigator for investigation per OAC 340:2-3-35(c).
(e) Written report of CCR.After completion of the CCR process and determination of the appropriate finding, the person conducting the CCR prepares a written report.Facilities are encouraged, but not required, to use the OCA format for CCR reports.The written report contains:
(1) the allegation(s), including the dates, times, and location of the alleged incident(s), the date the allegation was reported to OCA, and the OCA case number;
(2) a statement of any injury sustained by the alleged victim(s) and, in cases involving an injury, a statement whether photographs were taken of the injury and if so, the date they were taken;
(3) the finding(s), whether caretaker misconduct did or did not occur, based on a greater weight of the evidence standard;
(4) a list of the involved parties, their titles and roles in the matter, whether they were interviewed and, if so, when;
(5) citation to pertinent statutes, policies, directives, standards, rules, and practices, when applicable;
(6) an explanation of the basis for the finding(s);
(7) a summary of pertinent information obtained in interviews conducted during the review;
(8) a list of relevant documents and records reviewed;
(9) a list of attachments to the report;
(10) a list of areas of concern identified during the course of the investigation regarding facility or OKDHS DHS practices or procedures that have implications for the safety, health, or welfare of clients, but that do not rise to the level of abuse or neglect; and
(11) either on a cover memo or at the end of the report, the date and signature of the person who conducted the CCR, and the signature of the person who reviewed and approved the report.
(f) Time for completion of report.The final written report is submitted to the advocate general within 30 calendar days from the date OCA intake notified the administrator that an allegation is referred for CCR.
(g) OCA processing of CCR reports.The administrator transmits the completed CCR to the advocate general.The advocate general or designee reviews the CCR report for completeness and appropriateness of the finding.If When a report is incomplete or the finding is questionable, OCA contacts the administrator to request further inquiry into the allegation.OCA opens an investigation if when a report indicates the need.
(h) Final CCR report.If When a final CCR report is not submitted to the advocate general within 45 calendar days from the date OCA notifies the facility or provider administrator that the allegation is referred for CCR, OCA notifies the appropriate state agency, office, or regulatory entity that contracts with the facility or agency for the delivery of services.
(i) Review by DDSD Developmental Disabilities Services (DDS) director.Within five business days of completion of a CCR report at SORC, NORCE, or the Robert M. Greer Center (Greer), the facility administrator or designee informs the client and the client's guardian or parent of the CCR result.If the client or the guardian or parent does not concur with the finding(s), the facility administrator or designee notifies the advocate general in writing by email or letter.The advocate general refers the matter to the OCA grievance coordinator to process for review by the DDSD DDS director as a contested grievance per OAC 340:2-3-46 and 340:2-3-51(g) and the client or guardian or parent who did not concur with the finding(s) is considered the grievant for purposes of the review.If When the grievant does not concur with the proposed resolution of the applicabledirector or designee, the matter is reviewed by the Grievance and Abuse Review Committee (GARC) per OAC 340:2-3-62 and 340:2-3-64.
(j) State office administrator's report.The findings in a CCR are considered final when the time for requesting review pursuant to subsection (i) of this Section has expired and review has not been requested, or the review was timely requested and has concluded.
(1) Within 60 calendar days of the finding becoming final, the state office administrator or designee informs the advocate general in writing of:
(A) any personnel action taken or to be taken;
(B) any corrective action taken or to be taken; and
(C) for each worker found to have engaged in caretaker misconduct, whether there has been any was prior confirmation by OCA or the facility for client maltreatment by the worker and, if so, the basis for each finding and the personnel action taken in response.
(2) If When personnel action is involved, the state office State Office administrator also notifies the OKDHS DHS Human Resources Management Division director.
(3) If When a CCR has not resulted in a confirmed finding, no information or material pertaining to the allegation or the investigation is placed in the personnel files of any employee named in the report.
340:2-3-38. Investigation of foster parent complaints of retaliation and discrimination
(a) Application.This Section describes processes relating to allegations of retaliation and discrimination against a foster parent by an employee of the Oklahoma Department of Human Services (OKDHS) (DHS) or a child placing agency.The Office of Client Advocacy (OCA) is designated by Sections 1-9-112 and 1-9-117 of Title 10A of the Oklahoma Statutes to conduct administrative investigations into these allegations.
(b) Definitions.The following words and terms when used in this Section shall have the following meanings unless the context clearly indicates otherwise:
(1) "Administrator,"with regard to a child placing agency, means the chief administrative officer of the agency.
(2) "Child placing agency" means a private agency licensed to place children in foster family homes, group homes, adoptive homes, transitional or independent living programs, or family child care homes or other out-of-home placements, and that approves and monitors such placements and facilities per the licensing requirements established by the Oklahoma Child Care Facilities Licensing Act.[Sections 401 through 408 of Title 10 of the Oklahoma Statutes (10 O.S. §§ 401 through 418]).
(3) "Child Welfare division Services" means the OKDHS Field Operations Division (FOD) and the Children and Family Services Division (CFSD) DHS Adult and Family Services.
(4) "DDSD Developmental Disabilities Services (DDS)"means the OKDHS DHS Developmental Disabilities Services Division (DDSD).
(5) "Discrimination" means knowing and willful application of a different standard to a particular foster parent that negatively affects the foster parent.
(6) "Harassment" means a knowing and willful course of conduct, statements, or behaviors serving no legitimate purpose directed at a foster parent that a reasonable person in the same or similar circumstances would find intimidating or substantially distressing.
(7) "Retaliation" means threatening a foster parent with removal of a child in from the foster parent's care, harassing a foster parent, refusing or failing to place a child in a licensed or certified foster home, or disrupting a child placement in reprisal for the foster parent engaging in a protected activity listed in (c)(2) of this Section.
(8) "State office Office administrator" means the FOD director, CFSD Child Welfare Services (CWS) and DDS director, DDSD director directors, or their designees.
(c) Scope.A foster parent has the right, without fear of reprisal or discrimination, to lodge concerns and complaints with respect to the providing of foster care services.OCA initiates investigations of allegations that:
(1) an a DHS employee of OKDHS or a child placing agency has:
(A) threatened a foster parent with removal of a child in from the foster parent's care;
(B) harassed a foster parent;
(C) refused or failed to place a child in a licensed or approved foster home; or
(D) disrupted a child placement; and
(2) for the purpose of retaliation or discrimination against a foster parent who has:
(A) filed or attempted to file a grievance with OKDHS DHS per OAC 340:2-3-45 or with a child placing agency, whichever is as applicable;
(B) provided information regarding foster care services to any state official or OKDHS DHS employee; or
(C) testified, assisted, or otherwise participated in an investigation, proceeding, or hearing against OKDHS DHS or a child placing agency.
(d) Exclusions.The provisions of this Section do not apply to:
(1) a complaint by a foster parent regarding the result of a criminal, administrative, or civil proceeding for a violation by that foster parent of a law, rule, or contract provision, or an action taken by OKDHS DHS or a child placing agency in conformity with the result of any such proceeding proceedings;
(2) allegations of acts of retaliation or discrimination that occurred more than one year prior to the date of the foster parent complaint; or
(3) allegations of a pattern of retaliation or discrimination the last incident of which occurred more than one year after the foster parent participated in protected activity.
(e) Reportable allegations.Section 1-9-117 of Title 10A of the Oklahoma Statutes provides that any foster parent who has reasonable cause to believe he or she has been improperly treated by an a DHS employee of OKDHS or a child placing agency, as outlined in subsection (c) of this Section, may file a complaint with OCA.The law provides that persons making a report in good faith under this Section may not be adversely affected solely on the basis of having made such report.The law also provides that any person who knowingly and willfully makes a false or frivolous report or complaint or a report that the person knows lacks factual foundation, may be subject to loss of foster parent approval or licensure status.
(f) Reporting procedure.Foster parents may file complaints by contacting:
(1) the Foster Parent Hotline, 1-800-376-9729; or
(2) the OCA offices in Oklahoma City, 1-405-525-4850 or 1-800-522-8014.
(g) Confidentiality.At the request of the reporter, OCA maintains confidential the identity of the reporter until the advocate general reports the results of the investigation to the Commission for Human Services (Commission) per subsection (m) of this Section.OCA maintains written records regarding the reporting source to provide information to the extent known at the time the report is received, including the:
(1) the names and addresses of the foster child and the person(s) responsible for the child's welfare;
(2) the nature of the complaint; and
(3) the names of the persons and agencies responsible for the allegations contained in the complaint.
(h) Interference prohibition.
(1) An OKDHS A DHS employee who interferes with an OCA investigation may be subject to administrative action for misconduct under OKDHS per the DHS personnel policy relating to cause for disciplinary action if the when an employee attempts to intimidate a witness, foster parent, or other OKDHS DHS employee, or threatens any of them with physical or mental harm.
(2) Interference includes, but is not limited to:
(A) intimidating, harassing, or threatening a party to the investigation;
(B) retaliation against an employee for cooperating during an OCA investigation;
(C) denial of access to clients, employees, facilities, witnesses, records, or evidence; and
(D) causing or influencing another person to provide false information during the investigation.
(i) Initiation of OCA investigation.Upon acceptance of a report of retaliation or discrimination against a foster parent, OCA assigns an investigator to investigate the allegations per this Section.The OCA investigation does not duplicate and is separate from any investigation mandated by the Oklahoma Child Abuse Reporting and Prevention Act or other investigations having formal notice or hearing requirements.
(j) Rights and responsibilities of employees.The rights and responsibilities of OKDHS DHS employees in an OCA foster parent investigation are listed in (1) through (7) of this subsection.
(1) Employees make themselves available for interviews and accommodate the investigator in scheduling interviews.
(2) Employees provide pertinent information and respond fully and truthfully to questions asked.
(3) In addition to being interviewed, employees may submit written statements relating to the events in question.
(4) Employees may seek advice concerning their rights and responsibilities from other parties within or outside OKDHS of DHS.
(5) Employees prepare written statements or reports relevant to the investigation upon request.
(6) Employees, who reasonably believe answers to official inquiries regarding the events in question may incriminate them in a criminal prosecution, may decline to answer those questions.
(7) Employees interviewed do not discuss their interviews with anyone outside of OCA.
(k) Access.OCA at all times is granted access to any foster home that is approved, authorized, or funded by OKDHS DHS, or a child placing agency.
(l) Investigation procedures.Investigations are conducted per OAC 340:2-3-36 unless otherwise provided in this Subchapter.
(1) Notifying administrators and accused caretakers.The assigned investigator notifies the applicable administrator or state office administrator of the investigation and arranges for document production, site visits, and interviews.The administrator or state office administrator who employed any accused employee at the time of an alleged incident promptly informs the accused employee of the:
(A) the name and telephone number of the OCA investigator;
(B) the investigative process;
(C) the employee's rights and responsibilities relating to the investigation described in subsection (j) of this Section, using Form 15IV006E, Investigations of Foster Parent Retaliation Complaints - Rights and Responsibilities of Accused OKDHS DHS Employees, a copy of which is provided to the OCA investigator; and
(D) the nature of the allegation(s) made against the employee; however, at this time the employee is not provided the details of the allegations or the substance of the evidence.
(2) OCA access to evidence.Applicable administrators and state office administrators facilitate and cooperate with the OCA investigation by:
(A) providing access to requested information;
(B) producing relevant documents, files, and records, accompanying the investigator on foster home visits when requested by OCA; and
(C) providing access to accused employees and others who have knowledge of relevant information.
(3) Document review and interviews.The OCA investigator conducts a prompt investigation per OAC 340:2-3-36(h) through (j) unless otherwise provided in this Section.
(4) Exit notice.The OCA investigator provides an exit notice, either electronically or by telephone via email, to the applicable administrator or state office administrator when the information-gathering portion of the investigative process is completed.The investigator informs the administrator or state office administrator that a written report is forthcoming.Preliminary findings are not required.
(5) The written investigation report.After completing the information-gathering portion of the investigative process, the OCA investigator prepares a written report containing:
(A) the allegations investigated, including the date, time, and location of the alleged incidents, the date the allegation was reported to OCA, and the assigned OCA case number;
(B) a list of the involved parties, their titles and role roles in the matter, whether they were interviewed and, if so, when and where;
(C) the applicable definition of the type of misconduct at issue, such as discrimination, retaliation, or both;
(D) whether the foster parent engaged in an activity listed in (c)(2) in this Section and, if so, a description of the activity;
(E) the findings in accordance with per OAC 340:2-3-36(m);
(F) an explanation of the basis for the finding;
(G) in cases involving a confirmed finding, a summary of relevant information obtained during each interview conducted during the investigation;
(H) any areas of concern relating to the allegations that were identified during the investigation regarding practices or procedures of OKDHS DHS or the child placing agency;
(I) a list of relevant documents and records reviewed during the investigation; and
(J) a list of attachments to the report.
(6) Dissemination of the OCA investigative report.
(A) In cases involving allegations against OKDHS a DHS employee, the advocate general submits a copy of the final OCA investigation report to the OKDHS DHS Director and the state office administrators.
(B) In cases involving an employee of a child placing agency, the advocate general sends a copy of the OCA report to the administrator of the agency and the appropriate state office administrator.If When the administrator of the child placing agency is the subject of the report, the report is sent to the agency's board of directors.
(C) OCA sends the foster parent and each accused OKDHS DHS employee a letter that summarizes summarizing the allegation and states the OCA finding.
(D) All parties receiving copies of the investigative reports are bound by the confidentiality provisions of Section 1-9-112 of Title 10A and Section 10-110 of Title 43A of the Oklahoma Statutes.
(m) OKDHS DHS Director's request for review by the Grievance and Abuse Review Committee (GARC).Within 20 calendar days of receipt of a final OCA investigative report, the OKDHS DHS Director may request GARC to review the allegations and submit a report of its findings per OAC 340:2-3-63.
(n) State office administrator's response to a confirmed finding.
(1) When a state office administrator receives a copy of an OCA investigation report containing a finding that an OKDHS a DHS employee has engaged in retaliation or discrimination against a foster parent, within 30 calendar days of receipt of the OCA report, the state office administrator notifies the advocate general in writing of any personnel action taken or to be taken with regard to the employee, and any corrective action taken or to be taken regarding areas of concern noted in the OCA report.
(2) If When the OKDHS DHS Director has referred refers the matter for GARC review by GARC per subsection (l) of this Section, the state office administrator's response is due within 45 calendar days of GARC's written report to the OKDHS DHS Director.
(3) When an administrator of a child placing agency receives a copy of an OCA investigation report containing a finding that an employee of the child placing agency has engaged in retaliation or discrimination against a foster parent, within 30 calendar days of receipt of the report the administrator notifies the advocate general in writing of any personnel action taken or to be taken with regard to each employee named in the report as having engaged in misconduct, and the status of any areas of concerns noted in the report.
(4) The advocate general reports to the Commission confirmed allegations and corrective action taken.
SUBCHAPTER 3. OFFICE OF CLIENT ADVOCACY
PART 9. ADVOCACY PROGRAMS
340:2-3-71. Advocacy services of the Office of Client Advocacy (OCA) in general advocacy services
(a) Legal authority.
(1) Section 1415.1(A)(2) of Title 10 to the Oklahoma Statutes requires the Oklahoma Department of Human Services (OKDHS) (DHS) to establish an ombudsman program for each institution and residential facility for the mentally retarded persons with intellectual disabilities operated by OKDHS DHS.OKDHS DHS has conferred this responsibility on the Office of Client Advocacy (OCA).
(2) Orders of the United States District Court for the Northern District of Oklahoma in Homeward Bound, Inc., et al. v. Hissom Memorial Center, et al., Case No. 85-C-437-TCK-SAJ, require OKDHS DHS and OCA to provide advocacy services to individuals certified by the court as members of the plaintiff class, known as Hissom class members.
(3) OKDHS also has conferred on DHS assigned OCA other advocacy responsibilities as outlined in Part 9, OAC 340:2-3-71 through 340:2-3-75.
(b) Scope.OCA provides advocacy services to clients of the OKDHS DHS Developmental Disabilities Services Division (DDSD) (DDS) listed in this subsection, who are collectively referred to as "clients" in Part 9, OAC 340:2-3-71 through 340:2-3-75.
(1) OCA advocacy services for residents of the Northern Oklahoma Resource Center of Enid (NORCE), the Southern Oklahoma Resource Center (SORC), and the Greer Center Facility Robert M. Greer Center (Greer) outlined in greater detail in per Oklahoma Administrative Code (OAC) 340:2-3-72.
(2) OCA advocacy services for former residents of the Southern Oklahoma Resource Center (SORC), and the Northern Oklahoma Resource Center of Enid (NORCE), and Greer for whom the director of the facility is guardian ad litem (GAL) are outlined in greater detail in OAC 340:2-3-73.
(3) OCA advocacy services for Hissom class members are outlined in greater detail in OAC 340:2-3-74.
(4) OCA provides advocacy services on a short-term or emergency basis for other DDSD DDS clients who have a special advocacy need pursuant to needs per OAC 340:2-3-75.
(c) Mission statement and guiding Guiding principles.
(1) Mission statement.OCA advocacy programs advance the capacity and recognition of individual choice, the realization of rights and responsibilities of citizenship, and the personal well-being of recipients of DDSD services.
(2) Guiding principles.OCA advocacy programs advance the capacity and recognition of individual choice, the realization of rights and responsibilities of citizenship, and the personal well-being of recipients of DDS services.In addition to those the guiding principles listed in OAC 340:100-1-3.1, the guiding principles for OCA advocacy on behalf of clients are listed in (A) through (D) of this paragraph.
(A)(1) Self-determination.Advocates promote the individual as the driving force of life choices and decisions.
(B)(2) Meaningful choice.Advocates promote the development of meaningful choices for persons with developmental disabilities consistent with their unique strengths, resources, priorities, concerns, abilities, capabilities, and interests.
(C)(3) Active citizenry.Advocates promote the inclusion and involvement of persons with developmental disabilities in the social and political structures of the community.
(D)(4) Well-being.Advocates promote access to physical and emotional supports necessary for a healthy life-style.
(d) Definitions.In addition to the definitions in OAC 340:2-3-2, the following words and terms when used in OAC 340:2-3-71 through 340:2-3-75 shall have the following meaning, unless the context clearly indicates otherwise:
(1) "Behavior Review Committee" or "BRC" means the BRC established pursuant to OAC 340:100-3-5 and 340:100-3-5.1 and defined in OAC 340:100-1-2.
(2) "Capacity assessment" means the process of determining an individual's capacity ability to make informed decisions and the need for assistance with decision-making regarding personal and financial matters, in accordance with OAC 340:100-1-2 per OAC 340:100-3-5.
(2) "Human Rights Committee" or "HRC" means theHRC created by OAC 340:100-3-6 and defined in OAC 340:100-1-2 committee charged with the responsibility for external monitoring and advocacy to address protection of individual rights.
(4)(3) "Individual plan" or "IP" or "plan" means an individual plan established pursuant to OAC 340:100-5-51 a written document developed by the Personal Support Team based upon assessment of need.The Plan specifies outcomes being pursued on behalf of the individual, steps being taken to achieve outcomes, and all services and supports necessary to achieve outcomes.
(5)(4) "Informed consent" means informed consent as defined in per OAC 340:100-3-5.Individuals, 18 years of age and older, are presumed to have capacity to give informed consent except to the extent adjudicated incapacitated by the court.An individual is not considered incapacitated solely by reason of his or her diagnosis.Individuals may be adjudicated incapacitated in one area while being fully capable of understanding and exercising rights in other areas.Individuals have the right to exercise judgment in all areas of capacity.
(5) "Personal Support Team (PST)" means the participants in the individual's assessment and planning process.The PST includes the service recipient, case manager, legal guardian, advocate, service providers, and others whose participation is necessary to achieve the outcomes desired by the service recipient.
(6) "Program coordinator" or "PC" means a program coordinator as defined in OAC 340:100-1-2 person employed by a DDS residential or group home contract provider agency responsible for the supervision, coordination, and monitoring of services provided by the contract agency to a service recipient.
(7) "Qualified Mental Retardation Professional" or "QMRP"means a QMRP as defined in OAC 340:100-1-2.
(8) "Service review" means an assessment by an OCA advocate of a client's health, living circumstances, and the delivery of supportive services.The service review documents the extent of services provided to an individual client and identifies problem areas in service delivery.Each service review is a snapshot of the life of an individual at the time the review is completed.
(8) "Statewide Behavior Review Committee" or "SBRC" means the SBRC established per OAC 340:100-3-14 to review each protective intervention plan with restrictive or intrusive procedures to ensure the plan complies with DDS policy on the use of restrictive or intrusive procedures per OAC 340:100-5-57.
(9) "Unit coordinator"means a team leader as defined in OAC 340:100-1-2.
(e) Confidentiality.Information in OCA records relating to advocacy services provided to the clients listed in subsection (b) of this Section is confidential and protected from unauthorized use.Only authorized individuals are given access to client records or provided information from those records.
(1) The confidentiality provisions of OAC 340:100-3-2 apply applies to OCA client files.
(2) The confidentiality provisions of OAC 340:5-1-5 apply to information in OCA records regarding allegations of abuse, neglect, and exploitation of a vulnerable adult as those terms are defined in Section 10-103 of Title 43A of the Oklahoma Statutes.
(3) A breach of confidentiality may result in a criminal prosecution.Violations by OKDHS DHS employees can also result in personnel action.
(f) Training requirements for advocates.New and tenured OCA advocates receive appropriate training consistent with their background and experience.This includes training on the rights of DDSD DDS clients under Oklahoma and federal law.
(g) Client representation.
(1) OCA maintains offices on campus at SORC and NORCE, and assigns advocates to represent Greer residents of SORC, NORCE, and Greer.
(2) OCA assigns advocates, in accordance with per Part 9, OAC 340:2-3-71 through 340:2-3-75, to represent specific DDSD DDS clients living in community residential settings, including Hissom class members living in Oklahoma and former residents of SORC, and NORCE, and Greer for whom the facility director is the GAL.
(3) An OCA advocate is knowledgeable about the clients represented by him or her he or she represents and seeks to understand each client's specific challenges and communication styles, needs, interests, and goals.An advocate ascertains the client's preferences and choices of a client.An advocate becomes familiar with a client by:
(A) reviewing relevant client records and files;
(B) visits and other contacts with the client at home, at work, and in other contexts; and
(C) communication with the client's relatives, loved ones, guardians, program coordinator and other provider staff, case manager, and others in the client's circle of support.
(h) OCA advocacy services.
(1) Advocacy.Advocacy is the function of assisting an individual in voicing his or her interests.Clients are encouraged to engage in self-determination, and are assisted to the extent they need and desire.When a client has a limitation in voicing his or her own interests, needs, and preferences, an advocate seeks to speak on behalf of the client.Advocacy services provided by OCA advocates include:
(A) supporting the implementation of the least restrictive alternative in residential, vocational, therapeutic, and medical settings;
(B) supporting the most appropriate living environment for each client consistent with the client's needs and objectives;
(C) encouraging the development of natural supports, including friends, coworkers, and neighbors in the community in which an where the individual lives; and
(D) advocating for those responsible for providing services for a client to fulfill their responsibilities by bringing performance issues to the attention of those who are responsible for correcting the situation.
(2) Monitoring.OCA monitors the well-being and provision of services to a client by means of:visits and other forms of contact with the client, staff, family members, and others who know the client; review of reviewing records, documentation, contracts, and financial agreements between clients and providers of services, incident reports, and professional assessments; and attendance at IP and other team Personal Support Team (PST) meetings.OCA advocates cooperate with, and render assistance to, outside monitoring and advocacy entities as provided for by federal and state laws, in accordance with the laws and rules relating to client confidentiality, and release of information protocols.The monitoring role of an OCA advocate is to ensure that ensures:
(A) individual needs, preferences, and choices are identified and met appropriately and consistently;
(B) health, safety, and welfare standards and safeguards are maintained; and
(C) problems and issues are addressed at the earliest juncture by appropriate persons and entities in a prompt manner.
(3) Informal problem resolution.An advocate seeks to resolve issues and client concerns by means of informal problem resolution at the lowest level of administrative responsibility or decision-making.Informal problem resolution seeks to resolve issues and reach a consensus with the client on a plan of action to informally resolve the problem informally.An advocate uses the problem resolution activity consistent with the nature and imminence of the problem.An advocate assists a client in the development of problem resolution skills and self-advocacy.
(4) Grievances.As needed, an OCA advocate files grievances on behalf of clients in accordance with per Part 5, OAC 340:2-3-45 through 340:2-3-55.OCA also advises clients and assists them with filing grievances on their own behalf when they so desire.
(5) Protection and safety.OCA staff take appropriate action under the circumstances to protect the health, safety, and well-being of clients, including reporting allegations of abuse, neglect, maltreatment, and exploitation in accordance with per Part 3, OAC 340:2-3-32 through 340:2-3-38 340:2-3-39.
(A) OCA advocates assist OCA and Adult Protective Services investigators and law enforcement officers in obtaining to obtain information necessary for completion of to complete investigations in which when a client is an alleged victim.
(B) Advocates engage in appropriate follow-up activity in response to receiving a referral from the OCA intake unit in accordance with per OAC 340:2-3-35(a)(7).
(C) When an advocate has a concern related to a client's health, safety, well-being, or program implementation, the advocate advises the client's case manager or designated QMRP, as applicable, and others (for example,; such as DDSD DDS staff, provider or facility staff, treatment staff, and or health care professionals) as the circumstances warrant.
(D) Immediately upon becoming aware of any concerns regarding imminent risk of harm, an advocate advises the applicable residential or vocational provider as well as and the client's case manager.
(E) An OCA advocate ensures that allegations of abuse, neglect, maltreatment, and exploitation of which the advocate becomes aware are reported to OCA intake in accordance with per OAC 340:2-3-33.
(6) Promoting informed choice.An OCA advocate promotes informed decision-making, consistent with a client's unique strengths, resources, priorities, concerns, abilities, capabilities, and interests, through provision of necessary information and assisting a assistance to a client in understanding options and potential consequences of a decision.If a client is unable to make an informed choice, the advocate seeks to provide the client's legal guardian, GAL Guardian ad Litem, volunteer advocate, and other representative(s) with access to information to make an informed decision on behalf of the client client's behalf.The advocate general does not provide legal advice to clients, but may provide information about the law.
(7) Protection of rights.An OCA advocate promotes the full exercise of legal rights guaranteed clients under federal and state laws.An advocate takes appropriate steps to protect a client's rights, including ensuring those rights are considered in team PST decisions and in the manner with which team PST decisions are carried out.An advocate seeks to ensure the application of due process in administrative, quasi-judicial, and judicial proceedings involving a client which that might result in a rights restriction or a reduction in services.When a rights restriction is absolutely necessary, OCA supports the least restriction necessary for the shortest period of time possible, and a plan to remove the restriction as soon as possible.
(8) Access to services.An OCA advocate promotes client access to the full range of supports in accordance with the requirements of per state and federal programs requirements.Although an advocate takes a position with regard to services needed by a client, an advocate does not have authority to approve services.
(9) Guardianship issues.The Oklahoma Guardianship and Conservatorship Act promotes the participation of persons as fully as possible in the decisions which that affect them, in the development of maximum self-reliance and independence, and appointment the appointments of guardians and others, only to the extent necessitated by the mental and adaptive limitations or other condition conditions of individuals.[per 30 O.S. § 1-103].Because a full guardianship of the person and estate of a client his or her estate is the most restrictive intrusion on an individual's decision-making, OCA advocates for the least restrictive alternative to a full guardianship that is feasible under the circumstances, including, but not limited to: limited guardianship; representative payee for financial benefits; volunteer advocate; supportive friends and family; health care proxy; durable power of attorney; and advance directives.
(10) Promoting inclusion.An advocate promotes the realization of active citizenship and inclusion in the community.This includes, but is not limited to, encouraging clients to: learn the rights and responsibilities of good citizenship, vote, take classes, participate in volunteer services organizations, attend religious services of the client’s choice, attend recreational, cultural and social events, and join citizen advocacy organizations that promote inclusion in the community.An advocate encourages the development of friends who can serve as natural supports for a client.An advocate assists a client in locating relatives who are not currently active in the client's life and encourages relationship building between the client and family members.
(11) End-of-life issues.End-of-life issues for an individual with a developmental disability do not differ from those of the community at large other individuals.Regardless of the medical circumstance which bring that brought these issues to the forefront, an OCA advocate seeks to have a client's physicians, guardians, and loved ones of a client adhere to Oklahoma laws relating to do-not-resuscitate orders, withdrawal or denial of nutrition or hydration, and withdrawal or termination of medical treatment.In the absence of clear and convincing evidence of a client's wishes choices, an advocate presumes the client would choose life-sustaining measures.
(i) Contacting an OCA advocate.OCA advocates carry pagers or cell phones during office hours.If When an advocate is not available during office hours, his or her supervisor serves as a back-up to the advocate and can be contacted.Information about the name of the advocate assigned to a client, the advocate's phone and pager numbers, and the name of the advocate's supervisor can be is obtained from OCA offices in Oklahoma City 1-405-525-4850 or at 1-800-522-8014.
(j) OCA access to client records and information.OCA staff are is provided access to all records, files, documents, and information needed to fulfill OCA responsibilities regarding a client.DDSD DDS case managers and employees, and staff of provider agencies send agency staff to send the assigned OCA advocate a copy copies of documents and notices sent to the client.
340:2-3-72. Advocacy services for residents of Northern Oklahoma Resource Center of Enid (NORCE), the Southern Oklahoma Resource Center (SORC), and the Greer Center Facility the Robert M. Greer Center(Greer)
(a) Application.This Section describes advocacy services the Office of Client Advocacy (OCA) provides to Greer residents of Southern Oklahoma Resource Center (SORC), Northern Oklahoma Resource Center of Enid (NORCE), and Greer Center Facility (Greer) ("the facilities").Section 1415.1(A)(2) of Title 10 to the Oklahoma Statutes requires the Oklahoma Department of Human Services (OKDHS) (DHS) to establish an ombudsman program for each institution and residential facility for the mentally retarded persons with intellectual disabilities operated by (OKDHS) DHS.OKDHS has conferred on DHS assigned OCA this responsibility.Advocacy services are provided to Greer residents of the facilities consistent with Oklahoma Administrative Code (OAC) 340:2-3-71.
(b) Grievance coordination.OCA advocates serve as grievance coordinators for resident grievances in accordance with per OAC 340:2-3-51.
(c) Abuse and neglect reporting.
(1) OCA advocates provide training to new Greer employees of SORC, NORCE, and Greer regarding their obligation to report suspected incidents of abuse, neglect, verbal abuse, and caretaker misconduct in accordance with per OAC 340:2-3-33.
(2) OCA advocates receive referrals of suspected abuse, neglect, and maltreatment, and immediately transmit that information to OCA intake in accordance with per OAC 340:2-3-33.
(d) Advocacy and monitoring.OCA advocates provide advocacy and monitoring to ensure compliance with policies, rules, and regulations applicable to the health, safety, and well-being of residents.In addition to the activities described in per OAC 340:2-3-71, advocacy and monitoring activities at the facilities for Greer residents include:
(1) a face-to-face visit with each resident at least bi-annually semi-annually, and more frequently as needed, to assess and address the resident's advocacy needs;
(2) periodic site visits to facility buildings frequented by residents, including residential units, vocational programs locations, canteen canteens, and therapy departments, at least quarterly and more frequently as warranted to monitor compliance with health and safety requirements and protection of client rights, including, but not limited to, privacy rights;
(3) a visit with a resident at the request of the resident, the resident's guardian, or other another person concerned about the well-being of the resident unless contraindicated;
(4) review of relevant documentation within seven calendar days of receipt, including, but not limited to:individual plan (IP) and interim IPs; accident and incident reports; OCA investigation findings; and behavior data collection forms, guardianship assessments, and other professional reports and assessments;
(5) serving as a member of a resident's personal support team PST;
(6) attending team meetings when it can reasonably be anticipated that a significant issue will be addressed, including any rights issue and in particular a rights restriction or an intrusive behavior intervention strategy;
(7)(6) participating in capacity assessment meetings and annual reviews;
(8)(7) attending facility Behavior Review Committee (BRC) and Human Rights Committee (HRC) meetings as required or indicated;
(9)(8) attending mortality review meetings pursuant to per OAC 340:100-3-35;
(10)(9) reporting policy violations for administrative action and correction, to the facility director or quality assurance designee;
(10) promoting team PST discussion of alternatives to living in the facility, and consulting with teams PST members regarding community supports and community residential alternatives; and
(11) participation in discharge planning meetings; providing transition advocacy assistance for 90 calendar days from the date the resident moves out of Greer.The 90 calendar days may be extended by the advocate general or designee as warranted.Transition advocacy assistance includes:
(A) participating in discharge planning meetings;
(B) visiting the identified home prior to the move and ensuring Form 06CB034E, Residential Pre-service Checklist, is completed, any identified issues are resolved, and everything is in place before the resident moves out of Greer;
(C) visiting the home within seven calendar days of a resident moving out of Greer to determine if there are advocacy needs.Making telephone contact with the community case manager, the program coordinator, the resident and/or guardian, and at least one staff person in the home to determine if there are advocacy needs; and
(D) visiting the home monthly until the case is closed to assist with resolution of advocacy needs.
(12) when a resident who has been discharged from the facility is not eligible for assignment of an OCA advocate in the community, providing transition advocacy assistance for 90 calendar days from the date the resident moves out of the facility.The 90 days can be extended by the advocate general or designee as warranted; and
(13) reporting, for administrative action and correction, policy violations to the facility director or quality assurance designee.
340:2-3-73. Advocacy services for former residents of the Northern Oklahoma Resource Center of Enid (NORCE), and the Southern Oklahoma Resource Center (SORC), and the Greer Center Facility (Greer)
(a) Application.This Section describes advocacy services the Office of Client Advocacy (OCA) provides to former residents of Southern Oklahoma Resource Center (SORC), and Northern Oklahoma Resource Center of Enid (NORCE), and Greer Center Facility (Greer) ("the facilities") for whom the facility director is the guardian ad litem (GAL).Oklahoma Department of Human Services (OKDHS) has conferred on OCA responsibilities for each of these individuals until the court relieves the facility director of GAL responsibilities who transition after the Oklahoma Commission for Human Services November 1, 2012, resolution to close those facilities.Ombudsman and advocacy services are provided to former residents of the facilities consistent with per Oklahoma Administrative Code (OAC) 340:2-3-71.Pursuant to the Oklahoma Commission for Human Services November 1, 2012, resolution the Advocate General, as OCA chief administrative officer, was directed to review every individual's plan for community placement and certify all services and supports were in place prior to the person moving to a community home.Additionally, each former resident had an OCA advocate assigned to act as a separate voice to ensure his or her needs were met and ensure they were provided the information, skills, opportunities, and support to:
(1) make informed choices and decisions about their lives;
(2) live in homes and communities where individuals can exercise their full rights and responsibilities as citizens;
(3) pursue meaningful and productive lives;
(4) contribute to their family, community, state, and nation;
(5) have interdependent friendships and relationships with others;
(6) live free from abuse, neglect, financial and sexual exploitation, and other violations of legal rights; and
(7) achieve maximum health and full integration and inclusion in society; in an individualized manner consistent with unique strengths, resources, and priorities.
(b) Representation.A person eligible for OCA services pursuant to this Section is assigned to an OCA advocate to represent the client's interests when OCA has adequate staff resources to provide such services.A community advocate is assigned 30 calendar days prior to the date identified to transition the client.OCA assigns an advocate to each former resident of NORCE and SORC living in Oklahoma for the duration of the resident's lifetime.Clients are provided choices with regard to the advocate assigned to represent them to the extent feasible, taking into consideration considering the geographic location of the client's residence and the caseloads of OCA advocates advocate caseloads.Requests for a change in the advocate representing an individual are made to the advocate general or designee.
(c) Team Personal Support Team (PST) membership.As a representative of a Developmental Disabilities Services Division (DDSD) (DDS) client living in a community residential placement, an OCA advocate is a member of the client's personal support team PST.As a team PST member, the advocate receives from the client's (DDSD) DDS case manager timely notice of all team PST meetings, including emergency team PST meetings.Within the team PST context, the advocate assists the client and represents the client's interests without relinquishing priority to client safety and rights.
(d) Guardianship issues.The OCA advocate ensures a client has a current capacity assessment and attends capacity assessment meetings.If When a client has sufficient capacity to require no guardian or only a limited guardian, the advocate promotes the filing of a petition with the guardianship court to terminate or limit the GAL guardianship appointment or limit it, as the case may be.If When the current capacity assessment for the client recommends a guardian or volunteer advocate, the OCA advocate participates with the team PST in identifying persons who might serve as the client's guardian or advocate for the client.An advocate encourages the development of friends in the community who might become a the client's guardian or advocate for the client.The OCA advocate monitors the implementation of the recommendations in the capacity assessment and advocates for timely achievement.When a guardian is needed and a suitable guardian has been is identified, the advocate promotes the filing of a petition with the guardianship court to terminate the GAL appointment and to appoint a guardian.
(e) Advocacy and monitoring.OCA advocates provide advocacy and monitoring to ensure compliance with policies, rules, and regulations applicable to the health, safety, and well-being of clients. In addition to the services described in OAC 340:2-3-71(h), advocacy and monitoring activities on behalf of each client include:
(1) verifying that Form 06CB034E, Residential Pre-Service Checklist, has been completed and everything on the checklist is in place prior to the resident moving out of the facility any change in residence;
(2) a home visit with the client within 30 calendar days of the client's discharge from the facility;
(3) verifying Form 06CB034E has been completed prior to any subsequent changes in residence, and making a home visit with the client within 30 calendar days after the client moves into a new residence;
(4)(3) a face-to-face visit with the client at least quarterly and more frequently as indicated, which includes:;
(A) site visits to a client's residence at least twice a year, every five to seven months, at a time when the client is present in the home;and
(B) visits with the client outside the home setting at least twice a year, every five to seven months;
(5)(4) visits with the client at the request of the client, the client's legal guardian, or other person concerned about the well-being of the client;
(6)(5) completion of a service review twice a year, every five to seven months semi-annually;
(7)(6) in connection with each service review, verifying that direct contact staff have completed required training;
(8)(7) participating as a member of a resident's personal support team PST;
(9)(8) attending annual individual plan (IP) meetings, interim meetings, and follow-up planning meetings;
(10)(9) attending emergency team PST meetings;
(11)(10) attending other team PST meetings when significant issues are being addressed, including when a rights restriction or an intrusive behavior intervention strategy is contemplated or to be recommended;
(12)(11) attending capacity assessment meetings of the client's team PST;
(13)(12) attending other team PST meetings at the request of the client, guardian, or involved family or friend;
(14)(13) requesting (DDSD) DDS Quality Assurance to conduct an administrative inquiry of suspected provider contract violations in accordance with per OAC 340:100-3-27;
(15)(14) assisting the client and the client's guardian or representative with the review of proposed financial agreements and contracts between the client and the provider;
(16)(15) review of documents, including, but not limited to:
(A) assessments, IP, and interim IP documents;
(B) incident reports;
(C) Adult Protective Services (APS) and OCA investigation findings; and
(D) behavior data collection forms;
(17)(16) attending mortality review meetings held pursuant to per OAC 340:100-3-35;
(18)(17) attending legal proceedings involving the client, including guardianship proceedings, as warranted by the circumstances;
(19)(18)providing each client or guardian an annual copy of Form 15GR006E, Notice of Grievance Rights: DDS Service Recipients;
(20)(19) monitoring semi-annually the hot water in homes, using a thermometer to ensure the water does not exceed 114 degrees Fahrenheit; and
(21)(20) at least bi-annually, every five to seven months, verify that verifying appropriate records are kept with regard to an individual's personal finances.
(f) Advocacy services for former residents of NORCE and SORC who reside in private Intermediate Care Facilities for persons with Intellectual Disabilities (ICF/ID).Advocacy and monitoring services for former residents of NORCE and SORC who reside in a private ICF/ID in Oklahoma are contained in this subsection.
(1) The assigned OCA advocate conducts a face-to-face visit with a client living in a private ICF/ID at least once every 120 calendar days, and more frequently as warranted.
(2) The OCA advocate maintains a helping relationship with the client, assessing the realization of desired and targeted outcomes, and initiating change through referral or grievance as needed.During contacts with the client, the advocate inquires about individual satisfaction with current supports and provides information regarding options available to clients for community supports.
(3) The OCA advocate, at least once every six months, contacts the guardian of the client if one has been appointed.The OCA advocate also contacts the guardian in response to an expression by the client of dissatisfaction with the current residential arrangements.These contacts reaffirm the availability of service options to clients for support in community settings.Contacts with the guardian occur in person, by phone, or by mail as circumstances warrant.
(4) The OCA advocate contacts the private ICF/ID case manager and requests to be notified in advance of yearly planning meetings, interim, and emergency meetings.The advocate brings to the attention of the PST the expressed desires of the individual and any concerns expressed by the individual, guardian, or other family members.
(5) The OCA advocate assesses the client's welfare and determines if advocacy is needed.The OCA advocate develops a working knowledge of the facility's grievance procedure as well as other problem resolution processes and resources for change.The advocate provides assistance, either directly or through referral, resolving concerns identified by the client or by others on behalf of the client.This may include contacting the DHS Aging Services Long-Term Care Ombudsman.
(g) Advocacy services for former residents of NORCE and SORC who are in Oklahoma Department of Corrections (DOC) or county sheriff custody.Advocacy and monitoring services for clients, who are in DOC or county sheriff custody, except those who are detained pre-trial, are contained in this subsection.The assigned OCA advocate:
(1) contacts the client at least once every six months.These contacts are in person unless contraindicated by the individual;
(2) obtains copies of court documents that reflect the sentence the client is serving;
(3) assesses the welfare of the client and determines if advocacy assistance is needed.The advocate provides assistance, either directly or through referral, resolving concerns identified by the client or by others on behalf of the client.Advocacy assistance is provided to enforce the rights of clients under the Americans with Disabilities Act and other state and federal laws to the extent they are applicable to persons who are in custody; and
(4) provides advocacy assistance with the DDS case manager to commence transition planning when the client has less than a year remaining to serve in custody.The advocate participates in and monitors transition planning, representing the client's interests.
(h) Services for former residents of NORCE and SORC who decline DDS services.Per OAC 340:100-3-11, clients and their legal representatives have the right to refuse DDS services.The OCA advocate for a client who has declined DDS services contacts the individual at least once every six months and remains available to assist with advocacy regarding non-specialized assistance, when requested by the individual.If the OCA advocate determines the client’s need or desire for specialized supports has changed, the advocate takes appropriate follow-up action with DDS case management.
340:2-3-74. Advocacy services for Hissom class members
(a) Application.This Section describes Office of Client Advocacy (OCA) advocacy services for Hissom class members who reside in Oklahoma.Advocacy services are provided to Hissom class members consistent with per Oklahoma Administrative Code (OAC) 340:2-3-71.Orders of the United States District Court for the Northern District of Oklahoma in Homeward Bound, Inc., et al. vs. Hissom Memorial Center, et al., Case No. 85-C-437-TCK-SAJ, require the Oklahoma Department of Human Services (OKDHS) (DHS) and OCA to provide independent advocacy services to individuals certified by the court as members of the plaintiff class, known as Hissom class members.This includes, but is not limited to:
(1) independently advocating for class members members' rights and interests regarding:their daily lives, proposed movements, medical and behavioral emergencies including hospitalizations, appropriate consents, financial interests, and meetings held on their behalf;
(2) challenging adverse service authorization actions through the OKDHS DHS administrative appeal and/or grievance procedures; and
(3) referral to Oklahoma protection and advocacy agencies in Oklahoma to obtain legal counsel and legal advocacy services.
(b) Assignment of advocate.OCA assigns an advocate to each Hissom class member living in Oklahoma.Clients are provided choices with regard to the advocate assigned to represent them to the extent feasible, taking into consideration the geographic location of the client's residence and the caseloads of OCA advocates advocates' caseloads.Requests for a change in the advocate representing an individual are made to the advocate general or designee.
(c) Team Personal Support Team (PST) membership.As a representative of a Hissom class member living in a community residential placement, an OCA advocate is a member of the client's personal support team PST.As a team PST member, the advocate receives from the client's Developmental Disabilities Services DDSD (DDS) case manager timely notice of all team PST meetings, including emergency team PST meetings.Within the team context, the advocate assists the client and represents the client's interests without relinquishing priority to client safety and rights.
(d) Guardianship issues.The OCA advocate ensures the client has a current capacity assessment and attends capacity assessment meetings.If a client with a full guardianship has sufficient capacity to require no guardian or only a limited guardian, the advocate promotes the filing of a petition with the guardianship court to limit or terminate the guardianship.If the current capacity assessment of a client who does not have a guardian recommends a guardian or volunteer advocate, the OCA advocate participates with the team PST in identifying persons who might serve as guardian or advocate for the client.This includes encouraging the development of friends in the community who might become a guardian or volunteer advocate for the client.The OCA advocate monitors the implementation of the recommendations in the capacity assessment and advocates for their timely achievement.When a guardian is needed and a suitable guardian has been is identified, the advocate promotes the filing of a petition with the guardianship court to appoint a guardian.
(e) Advocacy and monitoring services for class members in residential community settings.OCA advocates provide advocacy and monitoring to class members living in community residential settings, including group homes, to ensure compliance with policies, rules, and regulations applicable to the client's health, safety, and well-being of clients.In addition to the activities described in OAC 340:2-3-71(h), advocacy and monitoring activities on behalf of each client include:
(1) verifying a Form 06CB034E, Residential Pre-service Checklist, is completed prior to any change in residence, and making a home visit with the client within 30 calendar days after the client moves into a new residence;
(2) a face-to-face visit with the client at least quarterly and more frequently as indicated, including once every three months;
(A) site visits to a client's residence at least bi-annually, every five to seven months, at a time when the client is at home; and
(B) visits with the client outside the home setting at least twice a year, every five to seven months;
(3) visits with the client at the request of the client, the client's legal guardian, or other person concerned about the well-being of the client;
(4) completion of a service review twice a year, every five to seven months at least once every six months;
(5) in connection with each service review, verifying that direct contact staff have completed required training;
(6) participating as a member of a client's personal support team PST;
(7) attending annual individual plan (IP) meetings, interim meetings, and follow-up planning meetings;
(8) attending emergency team PST meetings;
(9) attending other team PST meetings when significant issues are addressed, including when a rights restriction or an intrusive behavior intervention strategy is contemplated or recommended;
(10) attending guardianship assessment meetings of the client's team PST;
(11) attending other team meetings at the request of the client, guardian, or involved family or friend;
(12) requesting DDSD DDS Quality Assurance to conduct an administrative inquiry of suspected provider contract violations in accordance with per OAC 340:100-3-27;
(13) assisting the client and the client's guardian or representative with the review of proposed financial agreements and contracts between the client and the provider;
(14) prior to and during a hospitalization, advocating for the provision of adequate staff to be present in the hospital with the client as circumstances warrant;
(15) review of documents, including, but not limited to:
(A) assessments, IP, and interim IP documents;
(B) incident reports;
(C) behavior data collection forms; and
(D) Adult Protective Services (APS) and OCA investigation findings;
(16) attending mortality reviews conducted in accordance with per OAC 340:100-3-35;
(17) communicating to the client, the client's guardian, and the client's family as appropriate the final finding of an OCA investigation in which the client was named as an alleged victim;
(18) attending legal proceedings involving the client, including guardianship proceedings, as warranted by the circumstances;
(19) monitoring, semi-annually, the hot water in homes, using a thermometer to ensure the water does not exceed 114 degrees Fahrenheit;
(20) at least bi-annually, every five to seven months, verify verifying that appropriate records are being kept with regard to an individual's personal finances at least once every six months; and
(21) annually provide providing each client or guardian a an annual copy of Form 15GR007E, Notice of Grievance Rights:Hissom Class Members.
(f) Advocate services for Hissom class members on the Focused Advocacy List (FAL).On December 1, 2004, the judge in Homeward Bound, et al. vs. The Hissom Memorial Center, et al., U.S. District Court for the Northern District of Oklahoma, Case No. 85-C-437-E, issued an order for the transition of responsibilities and phase-out of the combined office of the Homeward Bound review panel and Guardian ad Litem (GAL).The Court Order specified "advocacy services provided by the Guardian ad Litem's Office for all class members on the GAL List will be transferred to and be assumed by the Office of Client Advocacy" by January 31, 2005.In response, OCA created the Focused Advocacy program to provide increased advocacy supports to class members with limited or no family involvement.In addition to the activities described in section (e) and OAC 340:2-3-71(h), advocacy and monitoring activities on behalf of each client include:
(1) ensuring the assigned developmental disabilities representative is invited to PST meetings when warranted to review and update progress in securing a volunteer advocate or guardian for all clients on the FAL;
(2) visiting each class member on the FAL at least once every two months, and more frequently when warranted.Visits include home visits, work-site visits, and other face-to-face contacts;
(3) placing a priority on expanding the circles of support of a class member on the FAL to include persons who are not paid to be involved in the class member's life, including identifying relatives not involved in the class member's life who may be encouraged to become more involved;
(4) identifying class members who have the greatest immediate need for a volunteer advocate or guardian.Advocates must promptly inform the OCA Focused Advocacy manager when a class member is identified as having a priority need; and
(5) ensuring a Team Review of Advocate/Guardian Participation (TRAGP) document is prepared for each class member assigned to them at least annually and one is completed more frequently whenever there is a significant change in circumstances warranting review of the involvement of persons who are not paid to be involved in the class member's life.The form includes information documenting the need for the individual to remain on, be added to, or be removed from the FAL.The Focused Advocacy Committee meets regularly to review TRAGP forms and determine whether class members remain on the FAL or require prioritized identification of a volunteer advocate or guardian.
(f)(g) Advocacy services for Hissom class members in a private intermediate care facility for the mentally retarded (ICF/MR) persons with intellectual disabilities (ICF/ID).Advocacy and monitoring services for class members who reside in a private ICF/MR ICF/ID in Oklahoma are contained in this subsection.
(1) The assigned OCA advocate personally visits a client living in a private ICF/MR ICF/ID at least quarterly, and more frequently as warranted.
(2) The OCA advocate maintains a helping relationship with the client, assessing the realization of desired and targeted outcomes, and initiating change through referral or grievance as needed.During contacts with the client, the advocate inquires about individual satisfaction with current supports and provides information regarding options available to clients for community supports.
(3) The OCA advocate, at least bi-annually, contacts the guardian of the client if one has been appointed.The OCA advocate also contacts the guardian in response to an expression by the client of dissatisfaction with the current residential arrangements.These contacts reaffirm the availability of service options to clients for support in community settings.Contacts with the guardian occur in person, by phone, or by mail as the circumstances warrant.
(4) The OCA advocate contacts the private ICF/MR ICF/ID case manager, generally a Qualified Mental Retardation Professional, responsible for yearly care planning for the client.The advocate informs the facility case manager of the advocate's intent to attend yearly planning meetings.The advocate asks to be notified in advance of yearly planning meetings and emergency meetings.The advocate checks periodically to ensure meetings have not been held without notice to the advocate.
(5) The OCA advocate participates in annual planning meetings at the private ICF/MR ICF/ID. The advocate provides advocacy assistance regarding the individual's expressed desires of the individual.The advocate brings to the attention of the team concerns expressed by the client, guardian, or other family members to the PST attention.The advocate participates in interim meetings addressing any significant change in residence, work, health, or important relationships.
(6) The OCA advocate develops a working knowledge of the facility's grievance procedure as well as other problem resolution processes and resources for change, for example, such as the Long-Term Care Ombudsman Program and licensing agencies.The advocate uses these services, either directly or through referral, as needed for the benefit of the individual.
(7) The OCA advocate assesses the welfare of the client and determines if advocacy assistance is needed which OCA can provide.The advocate provides assistance, either directly or through referral, with resolving concerns identified by the client or by others on behalf of the client.This includes contacting the OKDHS DHS Aging Services Division, long-term care ombudsman.The advocate also informs the Long-Term Care Ombudsman Office of concerns involving other individuals living in an ICF/MR which ICF/ID that come to the advocate's attention of the OCA advocate.
(8) Service reviews are not completed.
(9) The OCA advocate requests a capacity assessment on behalf of the client when there has been a substantial change in circumstances regarding the individual's need for a guardian.
(10) The OCA advocate provides information and encouragement to consider community residential settings.
(g)(h) Advocacy services for Hissom class members who are in the Oklahoma Department of Corrections (DOC) or a county sheriff’s custody.Advocacy and monitoring services for class members who are in of the Department of Corrections or a county sheriff DOC or a county sheriff's custody, except those who are detained pre-trial in a facility, are contained in this subsection.The assigned OCA advocate:
(1) contacts the client at least semi-annually every six months.;
(2) obtains copies of court documents which that reflect the sentence the class member is serving.;
(3) The advocate assesses the welfare of the client and determines if advocacy assistance is needed that the advocate can provide.The advocate provides assistance, either directly or through referral, with resolving concerns identified by the client or by others on behalf of the client.Advocacy assistance is provided with regard in regard to enforcing the rights of clients under the Americans with Disabilities Act and other state and federal laws to the extent they are applicable to persons who are in custody.; and
(4) When the client has less than a year remaining to serve in custody, the OCA advocate provides advocacy assistance and works with the DDSD DDS case manager to commence begin transition planning when the client has less than one year remaining to serve in custody.The advocate participates in and monitors transition planning, representing the client's interests.
(h)(i) Services for Hissom class members who decline DDSD DDS services.Pursuant to Per OAC 340:100-3-11, class members and their legal representatives have the right to refuse services from OKDHS DHS. The OCA advocate for a class member who has declined DDSD DDS services, contacts the individual bi-annually at least once every six months and remains available to assist with advocacy regarding non-specialized assistance when desired requested by the individual.At least one of the contacts is face-to-face when feasible.If the OCA advocate determines the client’s need or desire for specialized supports has changed, the advocate takes appropriate follow-up action with DDS case management.
340:2-3-75. Advocacy services for clients with a special advocacy need
(a) Application.This Section describes advocacy services the Office of Client Advocacy (OCA) provides to Developmental Disabilities Services Division (DDSD) (DDS) clients who are not otherwise eligible for OCA advocacy services but who have a special short-term need for advocacy assistance.
(b) Requests for services.Any DDSD DDS client or the client's guardian, case manager, or next of kin, or Personal Support Team (PST) member may can request short-term advocacy services for the client by contacting the advocate general or designee OCA Intake Unit.Written requests which that explain the nature of the advocacy need are encouraged, but verbal requests are accepted.Factors considered in granting requests include:
(1) whether the advocacy need is a matter within OCA jurisdiction;
(2) the existence of other resources to meet the client's need; and
(3) the urgency of the need.
(c) Advocacy provided.When a request for short-term advocacy has been is granted, the assigned advocate provides the support and advocacy appropriate given the nature of the problem and any imminent harm.
(1) The advocate, in consultation with his or her supervisor, prepares a time-limited plan for achieving the goals of the advocacy need.
(2) Short-term advocacy assistance is provided for up to three months 30 calendar days.The advocate's supervisor may extend the special advocacy assignment up to three months depending on the need.When necessary, the OCA advocacy programs administrator may further extend the special advocacy assignment beyond three months.
(3) The advocate has full access to the client's case record and is a member of the client's PST for the duration of the special advocacy assignment.
