419-110-0040 Screening Activities and Initial Notices (1) Screening is the process used by an investigator to gather and assess information in order to determine the responses and whether the complaint meets the definition of abuse and there is reasonable cause to believe the abuse of an adult requires investigation as stated in these rules, OAR chapter 419, division 110. (a) The investigator shall document screening activities completed and the information supporting the decision to either assign an abuse investigation or close the complaint at screening. (b) The investigator shall assure initial notifications, referrals and required cross-reporting are completed. (c) OTIS or CMHP shall have a protocol to track the outcome of every screening to ensure completion. (2) The CMHP may request OTIS screen a complaint of alleged abuse for instances where there is a potential conflict of interest, as an investigation may need to be conducted under OAR 419-110-0070 (1)(a). (a) Requests shall be made to an OTIS coordinator or OTIS manager, and (b) Be in writing in the format provided by OTIS. (3) OTIS shall screen all complaints of alleged abuse for possible abuse investigation involving adults receiving services in a state hospital, or state-operated residential facility licensed under ORS 443.400. (a) Upon screening, OTIS may determine a CMHP designee shall conduct the investigation per OAR 419-110-0110. (b) OTIS shall notify the adult’s CMHP of screening determinations per this rule or OAR 419-110-0110. (4) A screening determination shall be made by the end of the third business day after receiving the alleged abuse complaint except as provided in subsection (b). (a) The investigator shall consult with an OTIS coordinator or OTIS manager if a screening decision is not made after three business days. (b) An OTIS coordinator or OTIS manager may grant a screening extension if law enforcement has been contacted for a criminal investigation of the alleged abuse incident. The investigator shall document: (A) The name of the law enforcement agency, assigned case number and crime being investigated; (B) The plan for follow-up contacts with the law enforcement agency; and (C) The approval of an OTIS coordinator or OTIS manager. (5) When a law enforcement agency is conducting a criminal investigation of the alleged abuse: (a) OTIS or CMHP need not conduct its own investigation of the same incident. (b) OTIS or CMHP may also perform its own investigation as long as it does not interfere with the law enforcement agency investigation. Circumstances that indicate a need for OTIS or CMHP to conduct their own investigation: (A) There is potential for action by a licensing or certifying agency; (B) Timely investigation by law enforcement is not probable; or (C) The law enforcement agency does not complete a criminal investigation. (c) When a law enforcement agency is conducting an investigation of the alleged abuse and a screening extension has been granted by OTIS, the investigator shall communicate and cooperate with the law enforcement agency. The investigator shall ensure regular and timely follow-up with the law enforcement agency related to: (A) The status of the criminal investigation, (B) Explanation for no criminal investigation or suspension of a criminal investigation, and (C) Any actions taken by the district attorney. (6) If after screening, it is determined the complaint meets the criteria for an investigation per OAR 419-110-0040 (1), an investigator will be assigned and promptly begin an investigation. (a) The CMHP will immediately, within one business day, notify OTIS in the format provided. (b) OTIS shall notify the CMHP of investigations conducted per OAR 419-110-0040 (2) or 419-110-0110. (c) OTIS shall notify the ODHS office for licensing a facility or certification of service providers when named as the AP in an investigation under these rules. (d) OTIS shall notify the Authority’s Behavioral Health Division (BHD) of all investigations opened under these rules. (7) The notifications described in (6) shall provide the case number, identify the investigator and provide information regarding how the assigned investigator may be contacted. (8) The OTIS investigator shall also notify relevant ODHS/OHA Human Resources or BHD units of complaints of abuse received and opened for investigation involving APs who are employees of state-operated residential facilities; (9) Within three business days of a screening decision, the investigator shall: (a) Provide the screening decision to (if applicable): (A) The primary case management entity; (B) The guardian; and (C) The involved facility or community program. (b) If a complaint of alleged abuse has been assigned for investigation, the screening decision shall provide the case number, identify the investigator and provide information regarding how the assigned investigator may be contacted. (c) The notification to the guardian or case manager may be delayed if the notification would undermine the integrity of the investigation because the guardian or case manager is suspected of committing abuse. (10) The investigator shall document how and when notifications were provided and maintain a record of all notices. Statutory/Other Authority: ORS 409.010, 409.050, 413.085 & ORS 430.731 Statutes/Other Implemented: ORS 430.731, ORS 409.027, 443.875, 430.610 to 430.695, 430.735 to 430.765, 430.768, 443.400 to 443.465, 443.705 – 443.825 & 413.036 History: OTIS 60-2024, minor correction filed 12/04/2024, effective 12/04/2024 OTIS 97-2023, minor correction filed 12/01/2023, effective 12/01/2023 DHS 7-2023, renumbered from 407-045-0160, filed 12/01/2023, effective 12/01/2023 DHS 17-2022, minor correction filed 05/02/2022, effective 05/02/2022 DHS 12-2022, minor correction filed 04/29/2022, effective 04/29/2022 DHSD 8-2019, amend filed 06/28/2019, effective 07/01/2019 DHSD 1-2019, temporary amend filed 02/12/2019, effective 02/12/2019 through 08/10/2019 DHSD 23-2018, temporary amend filed 08/09/2018, effective 08/15/2018 through 02/10/2019 DHSD 2-2018, adopt filed 02/27/2018, effective 02/27/2018 DHSD 9-2017(Temp), f. & cert. ef. 9-1-17 thru 2-27-18