INCIDENT REVIEW PROCESS
INTAKE: An allegation is reported to the Vulnerable Persons’ Central Register.
CLASSIFICATION: The allegation is classified as either a reportable incident (e.g., incident of abuse) or a non-reportable incident (e.g., general inquiry).
INVESTIGATION: For abuse and neglect investigations, the Justice Center will assume the responsibility for investigating the most serious allegations and will delegate less severe incidents to the appropriate State Oversight Agency. If the Justice Center investigates, the case will be assigned to a Justice Center investigator.
DETERMINATION: After the investigation of abuse and/or neglect is completed – regardless of whether the Justice Center, the State Oversight Agency, or the service provider completes the investigation – the Justice Center reviews the case and determines whether each allegation shall be substantiated or unsubstantiated. Reports that are unsubstantiated are immediately sealed. An unsubstantiated finding does not preclude other consequences, including disciplinary action.
PROSECUTION: For criminal cases, prosecution may be pursued by the Justice Center or local district attorney.
STAFF EXCLUSION LIST: Subjects with Category 1 findings will be placed on the Staff Exclusion List (SEL).
APPEAL: Subjects have the right to challenge the findings of an investigation.
DURING THE INVESTIGATION
Who can be interviewed during an investigation?
Investigators will interview people who receive services who may have been victims or witnesses, and other people who witnessed or may otherwise have information about an incident. Investigators will
interrogate subjects (e.g., employee, volunteer, intern, consultant, contractor) who are alleged to have committed the act of abuse and/or neglect.
What can I expect if I am interviewed as a victim or witness?
The purpose of the interview is to learn what you know about what happened. You will be notified of the location, date, and time of the interview. Your interview is voluntary and you may take breaks
during the interview. If need be, you can have your Union Representative present.
What happens during an investigation?
An investigator is assigned to conduct the investigation. Depending on severity and setting of the allegation, the investigation will be conducted by the Justice Center, the State Oversight Agency, or
the provider. Once the investigation is completed – regardless of who conducted the investigation – the Justice Center reviews the investigation. At the conclusion of the review process, the allegations
are substantiated or unsubstantiated by the Justice Center.
AFTER THE INVESTIGATION IS COMPLETED
What are the potential determinations of the investigation?
Allegations of abuse and/or neglect are determined to be substantiated or unsubstantiated. Allegations may be substantiated if an abuse and/or neglect investigation determines that there is a preponderance of the evidence to support the allegation. Preponderance of the evidence means that a review of the evidence shows whether the abuse and/ or neglect was more likely than not to have occurred. Substantiated reports of abuse and/or neglect are classified into one of four categories depending on severity. Unsubstantiated reports are immediately sealed. An unsubstantiated finding does not preclude other consequences, including disciplinary action.
CATEGORIES OF FINDINGS AT-A-GLANCE
CATEGORY 1: Serious physical abuse, sexual abuse, or other severe conduct by a subject. A Category 1 substantiation places the subject on the Staff Exclusion List (SEL). It also includes subjects with a second instance of Category 2 conduct that occurs within three years of a prior Category 2 finding. Subjects on the SEL remain on the list forever.
CATEGORY 2: A subject significantly endangers the health, safety, or welfare of a service recipient by committing an act of abuse and/ or neglect. Category 2 offenses are sealed after five years.
CATEGORY 3: Less serious incidents of abuse and/or neglect. Reports are sealed after five years.
CATEGORY 4: Conditions at a program or facility expose people receiving services to harm or risk of harm. Category 4 also includes instances in which it has been substantiated that an individual receiving services has been abused or neglected, but a perpetrator cannot be identified.
Why would an allegation of abuse and/or neglect be determined to be “unsubstantiated”?
An allegation may be determined to be “unsubstantiated” for a variety of reasons. There might not be enough evidence to confirm that an incident of abuse and/or neglect had occurred or a specific individual was not found responsible for the incident. An unsubstantiated finding does not prevent other consequences which may include employee discipline, additional supervision, training, or other corrective actions.
Who makes the determination on the investigative findings?
The Justice Center makes a final determination about whether an allegation of abuse and/or neglect is substantiated and, if substantiated, the category level. The Justice Center will issue a substantiated or unsubstantiated finding for each allegation associated with any person who is a subject.
How will I find out the results of an investigation?
If you are the victim, a letter of findings (called a “letter of determination”) will be issued to you or your personal representative. On the same date, the Justice Center will notify the director of your facility or program, the State Oversight Agency that licenses or certifies your facility or program, and the subject(s) (e.g., employee, volunteer, intern, consultant, contractor) of the outcome of the investigation. These same parties are notified whether the allegation is substantiated or unsubstantiated. If you are interviewed as a witness, or are the personal representative or guardian of a witness, you will not receive information about the investigative findings.
If you find yourself a subject of a Justice Center Investigation, please contact your Union Representative for next steps. You DO NOT have to go through a Justice Center Investigation alone. You have the right to Union Representation.