CAPS Checks For Substantiated Mistreatment Of Adult

The act authorizes the department of human services (state department) to disclose the results of a CAPS check without a court order to:

• A health oversight agency within the department of regulatory agencies (DORA), or a regulator within such a health oversight agency, for the purpose of a regulatory investigation; or
• The court if an individual is petitioning the court for conservatorship or guardianship of an at-risk adult.

The act requires an employer and a current or former employee to provide, upon request of a county department of human or social services and for the purposes of an investigation into an allegation of mistreatment, the professional license number issued by DORA for the employee who holds a health-care provider or health-care occupation license and who, as a result of the investigation, is substantiated in a case of mistreatment of an at-risk adult.

Current law requires the state department to promulgate rules to establish a process at the state level by which a person who is substantiated in a case of mistreatment of an at-risk adult may appeal the finding to the state department. The act requires the state department to promulgate rules to address the process to share information on the outcome of an appeal with a health oversight agency within DORA, or a regulator within such health oversight agency, if the health oversight agency or its regulator requests information for the purpose of a regulatory investigation. Appeal information is confidential and used only for the regulatory investigation.

Beginning January 1, 2022, the state department shall provide the court the results of a CAPS check, upon the court's request, to determine if the person is substantiated in a case of mistreatment of an at-risk adult.

The act requires the state department to promulgate rules that address:

• The process for the state department to notify a health oversight agency within DORA or a regulator within such health oversight agency when a professional regulated by a regulator within such health oversight agency is substantiated in a case of mistreatment of an at-risk adult; and
• The information that will be made available to a health oversight agency within DORA or a regulator within such health oversight agency for the purpose of conducting a regulatory investigation.

A person who may be appointed as a conservator or guardian of an at-risk adult who knowingly provides inaccurate information to the court for a CAPS check commits a class 1 misdemeanor.

Beginning January 1, 2022, prior to appointing a person as a conservator or guardian of an at-risk adult, the court shall request a CAPS check by the state department to determine if the person is substantiated in a case of mistreatment of an at-risk adult. Within 7 calendar days after the date of the court's request, if the person has been substantiated in a case of mistreatment of an at-risk adult, the state department shall provide the court with information concerning the mistreatment, unless the finding was expunged through a successful appeal to the state department. The state department shall disclose to the court that the person substantiated in a case of mistreatment of an at-risk adult has the right to initiate an appeal of the substantiated finding within the time frame set forth in state department rules. If the appeal is active, the state department shall inform the court that such appeal is active. The court shall have the discretion to consider the results of the CAPS check and determine the weight of the information and its probative value. Nothing delays or precludes the court's appointment of an emergency guardian or conservator of an at-risk adult, regardless of the timing of the state department's notification of the CAPS check results.

The act requires the state department to notify the court within 7 calendar days after a substantiated finding of mistreatment by a person appointed as a conservator or guardian for an at-risk adult is subsequently entered into CAPS.

The act requires the state department to notify a health oversight agency within DORA or a regulator within such health oversight agency within 10 calendar days after a substantiated finding of mistreatment by a professional regulated by DORA. Any information provided to a health oversight agency is confidential. A health oversight agency shall have the discretion to consider the results of the CAPS check and determine the weight of the information and its probative value.

The act requires a licensee, certificate holder, or registrant substantiated in a case of mistreatment of an at-risk adult to provide the person's professional license number to county adult protective services.

(Note: This summary applies to this bill as enacted.)