N.Y. Comp. Codes R. & Regs. tit. 18 § 433.5

Current through Register Vol. 46, No. 50, December 11, 2024

Section 433.5 - Investigations and reports

The Justice Center may refer reports of abuse, neglect and significant incidents to be investigated by the Office of Children and Family Services which may delegate the responsibility of the investigation to the facility or provider agency in which the reported incident is alleged to have occurred. All facilities or provider agencies must conduct any investigations delegated to them by the Office of Children and Family Services or the Justice Center as prescribed by all applicable rules, regulations, guidance and policies of the Justice Center and the Office of Children and Family Services. The investigatory entity shall provide the notice of initiation of investigation in accordance with guidance provided by the Office of Children and Family Services or the Justice Center. The notice of the determination of the investigation shall be issued by the Justice Center.

(a) Abuse and/or neglect investigation findings shall be reported to the Justice Center within 50 days from the date of the Justice Center accepting a report of an allegation of abuse or neglect. Exceptions to the completion of an investigation within 50 days are permitted only with documented good cause, submission of all investigatory information to the Justice Center, and at the approval of the Justice Center.

(b) A facility or provider agency shall commence an immediate and thorough review of an alleged report of a significant incident upon receipt of notice from the Office of Children and Family Services that such report has been accepted by the Vulnerable Persons' Central Register.

(c) Appropriate precautions should be made to secure the safety and health of all service recipients if the allegations in a reportable incident warrant such measure or if the allegations are of such a nature law enforcement should be notified.

(d) Upon notification that a report of abuse, neglect and/or a significant incident has been made to the Justice Center with respect to a vulnerable person, the director of the facility or provider agency or his or her designee shall evaluate the situation and immediately take appropriate action to protect the health and safety of the vulnerable person involved in the report and of any other vulnerable persons similarly situated in the facility, provider agency or program. Additional action shall be taken whenever necessary to prevent future incidents of abuse, neglect or significant incidents. Any action taken should cause as little disruption as possible to the daily routines of the vulnerable persons in the facility, provider agency or program. The following alternatives shall be considered in determining the course of action that will be taken with regard to a specific incident of alleged abuse, neglect or significant incident:

(1) removal or transfer of the subject of the report, consistent with the policy of the agency's board of directors, appropriate collective bargaining agreement(s) and applicable provisions of the Civil Service Law;

(2) initiation of disciplinary action against the subject of the report, consistent with appropriate collective bargaining agreement(s) and applicable provisions of the Civil Service Law with respect to state employees only, such action shall be taken only after consultation with the Justice Center;

(3) increasing the degree of supervision of the subject of the report;

(4) provision of counseling to the subject of the report;

(5) provision of increased training to staff and volunteers pertinent to the prevention and remediation of abuse and maltreatment;

(6) removal or transfer of the vulnerable person, consistent with applicable placement procedures, if it is determined that there is a risk to such youth in remaining in that program; and

(7) provision of counseling to the vulnerable person involved in the report and any other youth, as appropriate.

(e) When relevant, appropriate and feasible, investigations of reportable incidents shall include a medical examination of the vulnerable person named in the incident.

(f) Witnesses to the reportable incident shall be identified and interviewed in as private an environment as possible. Interviews of witnesses should be conducted separately by qualified, objective individuals. Interviews of vulnerable persons should be conducted by individuals with an understanding of the vulnerable persons' individual needs and/or capabilities. To the extent possible confidentiality should be maintained, except as otherwise provided by law or regulation, during the course of the investigation.

(g) Investigations shall consist of a review of all pertinent information including but not limited to records, photographs, videos, observations of incident scene, and/or expert assessments.

(h) Investigations shall include the documentation and retention of physical evidence if any, which shall be given to the facility or agency provider's executive or other appropriate person for safeguarding. Such facility or agency provider's executive or other appropriate person should develop a plan and protocol for the safeguarding of any physical evidence received during an investigation and shall keep such evidence in a secure location, as provided for in such plan.

(i) Investigations shall include detailed written documentation of each step taken in the investigative process.

(j) Investigative findings shall be stated in writing referencing the supporting documentation and/or evidence obtained.

(k) Significant incidents shall be investigated and findings reported to the Justice Center within 60 days from the date of referral of the report to OCFS. Facilities or provider agencies shall follow all applicable regulations, rules, policies and/or guidelines established by the Justice Center and the Office of Children and Family Services governing significant incidents.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 433.5

Amended New York State Register December 23, 2015/Volume XXXVII, Issue 51, eff. 12/23/2015