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The 3613 A form serves as a crucial tool for various care facilities, including Skilled Nursing Facilities (SNF), Nursing Facilities (NF), and Assisted Living Facilities (ALF), among others. This form is designed to report incidents that may impact the safety and well-being of residents. It covers a range of serious situations, such as abuse, neglect, and medical emergencies, ensuring that all relevant information is documented systematically. Facilities must include details about the incident, the individuals involved, and any actions taken in response. The form also emphasizes confidentiality, protecting sensitive information related to the investigation. By following the guidelines set forth in the 3613 A form, providers can effectively communicate with the Texas Department of Aging and Disability Services, promoting accountability and transparency in care. Proper completion and timely submission of this form are essential for maintaining the integrity of the care provided and ensuring that residents receive the support they need.

3613 A Example

Provider Investigation Report

For use only by Skilled Nursing Facilities (SNF), Nursing Facilities (NF), Intermediate Care Facilities for Individual with an Intellectual Disability or Related Conditions (ICF/IID), Assisted Living Facilities (ALF), Adult Day Care Facilities (ADC), and Day and Activity Health Services Facilities (DAHS).

Fax Cover Sheet

Date:

To: DADS Consumer Rights and Services Section

Attention: Intake Coordinator

Fax Area Code and Telephone No.: 1-877-438-5827

Regarding DADS Intake ID No.:

No. of Pages, including cover:

 

 

From:

 

 

 

 

 

 

Provider Name:

 

 

 

Vendor / ID No.:

 

Street Address:

 

 

 

 

 

 

 

City:

 

 

 

 

 

 

Telephone No.:

 

 

 

 

 

Fax:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Provider Investigation Report Information

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Agency Name

 

 

 

 

 

 

License No.

 

 

 

 

 

 

 

 

 

Street Address

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

City, State, ZIP Code

 

 

 

 

 

County

 

 

 

 

 

 

Area Code and Telephone No.

 

Fax Area Code and Telephone No.

 

 

 

 

 

Parent

Branch/Alternate Delivery Site

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Confidential Document:

This communication (including any attached document) contains privileged and/or confidential information. If you are not an intended recipient of this communication, please be advised that any disclosure, dissemination, distribution, copying or other use of this communication or any attached document is strictly prohibited. If you have received this communication in error, please notify the sender immediately and promptly destroy all copies of this communication and any attached documents.

Use only for Skilled Nursing Facilities (SNF), Nursing Facilities (NF),

Intermediate Care Facilities for Individuals with an Intellectual Disability or Related Conditions (ICF/IID),

Assisted Living Facilities (ALF), Adult Day Care Facilities (ADC),

and Day and Activity Health Services Facilities (DAHS).

Form 3613-A/ 07-2012

Texas Department of Aging

SNF, NF, ICF/IID, ALF, ADC, DAHS

and Disability Services

Provider Investigation Report

 

Fax this report to: 1-877-438-5827 (toll free) or

Mail this report to: Texas Department of Aging and Disability Services, Consumer Rights and Services Section, E-249, P.O. Box 149030, Austin, TX 78714-9030

Form 3613-A

July 2012

Note to reporter:

Do not mail if faxed.

DADS Intake ID No.

 

Date Reported to DADS 800-458-9858

 

 

Time Reported

 

 

 

 

 

 

 

 

 

 

 

 

 

:

 

 

 

A.M.

P.M.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Provider Type

 

 

 

 

Vendor / ID No.

 

Telephone No.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name

 

 

 

 

 

 

 

 

 

Fax

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Street Address

 

 

 

 

 

 

 

City

 

 

 

 

 

 

ZIP Code

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Incident Category

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Death

Abuse

Neglect

Exploitation

Missing Resident/Individual

Drug Diversion

 

Fire

Bomb Threat

 

Tornado

Flood

Emergency Power Failure

Sprinkler System Failure

Fire Alarm Failure

Firearms in the Building

Air Conditioning Failure if Outdoor Temperature is or will be 90 Degrees or Above

 

 

 

 

 

 

 

 

 

Heating System Failure if Outdoor Temperature is 65 Degrees or Below

 

 

 

 

 

 

 

 

 

Others, specify

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Who made the allegation?

 

 

 

 

 

 

 

 

 

When?

 

 

 

 

Individual /Resident

Family

Other

 

 

 

 

 

 

 

 

 

 

 

 

 

Incident Date

 

 

Time

 

 

Location

 

 

 

 

 

 

 

 

 

 

 

 

:

A.M.

P.M.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Individual(s)/Resident(s) Involved, Including Alleged Victim(s) or Alleged Aggressor(s)

Name

 

 

 

 

 

 

Female

 

Male

Social Security No.

 

Date of Birth

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Functional Ability:

Total assistance

 

Extensive

 

Minimal

 

No assistance

 

 

Level of Supervision:

No special supervision

Within eyesight

 

Within hearing

Within arm’s length

 

 

 

 

Within specified distance:

 

 

 

Specified observation time frame:

 

 

 

 

Other:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Independently ambulatory

Y

N

Interviewable

Y

N Capacity to make informed decisions

Y

N

History of

Combativeness

 

Verbal aggression

 

Physical aggression

 

Sexual misconduct

 

 

 

Wandering

Wearing wander guard at time of incident

Y

N

Similar allegations

 

 

 

Other pertinent history:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Name

 

 

 

 

 

 

Female

 

Male

Social Security No.

 

Date of Birth

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Functional Ability: Level of Supervision:

Total assistance

No special supervision Within specified distance: Other:

Extensive

Minimal

No assistance

Within eyesight

Within hearing

Within arm’s length

 

Specified observation time frame:

 

 

 

Independently ambulatory

Y

History of

Combativeness

 

 

Wandering

 

Other pertinent history:

N

Interviewable

Y

N

Capacity to make informed decisions

 

Verbal aggression

 

Physical aggression

 

Sexual misconduct

Wearing wander guard at time of incident

Y

N

Similar allegations

Y N

Name

 

 

 

 

 

 

Female

 

Male

Social Security No.

 

Date of Birth

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Functional Ability:

Total assistance

 

Extensive

 

 

Minimal

 

No assistance

 

 

Level of Supervision:

No special supervision

Within eyesight

 

 

Within hearing

 

Within arm’s length

 

 

 

 

Within specified distance:

 

 

 

 

Specified observation time frame:

 

 

 

 

Other:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Independently ambulatory

 

Y

N

Interviewable

Y

N

Capacity to make informed decisions

Y

N

History of

Combativeness

 

Verbal aggression

 

Physical aggression

 

Sexual misconduct

 

 

Wandering

Wearing wander guard at time of incident

 

Y

N

Similar allegations

 

 

 

Other pertinent history:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Form 3613-A

Page 2 / 07-2012

DADS Intake ID No.

Alleged Perpetrator(s) (AP)

(If alleged perpetrator is somebody other than a staff member, indicate this individual’s relationship to the person. Example: relative, visitor, etc.)

Name

Date of Birth

Social Security No.

License/Certificate No.

 

How was the AP identified?

By name

By description

Other:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Perpetrator:

Denied

Confirmed

History of similar allegations?

 

Yes

No

 

 

Did investigation reveal the presence of a witness?

 

 

 

Yes

No

 

 

 

 

 

 

 

Statement attached (signed and notarized, if possible)

 

 

 

Yes

No

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Witness(es) Name

Individual/Patient/Family/Staff/Other

Address

Area Code and Telephone No.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Description of the Allegation

....................................................................................................................................................Injury/Adverse Effect?

Yes

No

 

 

 

Description of Injury

 

 

 

 

 

Assessment

Date

Time

:

A.M.

P.M.

Description of Assessment

 

 

 

Treatment/Transfer Date

Time

 

 

Treatment provided?

Yes

No

 

:

A.M.

P.M.

 

 

 

Off-site

 

City

 

Treatment location: In-House

Yes

No

 

 

 

 

 

 

 

 

 

 

 

Provider Response

Form 3613-A

Page 3 / 07-2012

DADS Intake ID No.

Investigation Summary (attach additional sheets, as necessary)

Investigation Findings

Confirmed

Unconfirmed

Inconclusive

Unfounded

Provider Action Taken Post-Investigation

Signature

Printed Name

Title

Date

File Breakdown

Fact Name Description
Form Purpose The 3613 A form is used for reporting investigations related to incidents in skilled nursing and related facilities.
Applicable Facilities This form is specifically for Skilled Nursing Facilities (SNF), Nursing Facilities (NF), Intermediate Care Facilities for Individuals with an Intellectual Disability (ICF/IID), Assisted Living Facilities (ALF), Adult Day Care Facilities (ADC), and Day and Activity Health Services Facilities (DAHS).
Confidentiality Notice The form includes a confidentiality notice, emphasizing that the information contained is privileged and should not be disclosed without proper authorization.
Submission Method The report can be faxed to 1-877-438-5827 or mailed to the Texas Department of Aging and Disability Services in Austin, TX.
Incident Categories Incident categories include abuse, neglect, exploitation, death, and various emergencies, among others.
Investigation Findings Upon completion, the investigation can yield findings categorized as confirmed, unconfirmed, inconclusive, or unfounded.
Governing Laws This form is governed by Texas Health and Safety Code, Chapter 242, which regulates nursing facilities.

Guide to Using 3613 A

After completing the 3613 A form, the next steps involve submitting it to the appropriate department for review. Ensure that all information is accurate and complete before sending. You can choose to fax or mail the report, but do not send it by both methods.

  1. Fill in the Date at the top of the form.
  2. Enter the To field as "DADS Consumer Rights and Services Section Attention: Intake Coordinator."
  3. Provide the Fax Area Code and Telephone No. as 1-877-438-5827.
  4. Write the DADS Intake ID No. if available.
  5. Indicate the No. of Pages, including the cover sheet.
  6. In the From section, fill in the Provider Name and Vendor / ID No..
  7. Complete the Street Address, City, Telephone No., and Fax fields for the provider.
  8. Provide the Agency Name and License No..
  9. Fill in the Street Address, City, State, ZIP Code, and County for the agency.
  10. Enter the Area Code and Telephone No. and Fax
  11. Specify the Provider Type and Vendor / ID No. again.
  12. Document the Incident Category by selecting from the provided options.
  13. Identify Who made the allegation? and When?
  14. Record the Incident Date and Time.
  15. Fill in the Location of the incident.
  16. List the Individual(s)/Resident(s) Involved, including their names, gender, social security number, date of birth, functional ability, and level of supervision.
  17. Provide details about the Alleged Perpetrator(s), including their name, date of birth, and how they were identified.
  18. Indicate if there was a witness and provide their information.
  19. Describe the Allegation and any Injury/Adverse Effect.
  20. Document the Description of Assessment and Treatment/Transfer details.
  21. Complete the Provider Response section.
  22. Sign and print the name and title of the person completing the form, along with the date.

Get Answers on 3613 A

What is the purpose of the 3613 A form?

The 3613 A form is designed to facilitate the reporting of incidents involving residents in various types of care facilities, such as Skilled Nursing Facilities, Nursing Facilities, and Assisted Living Facilities. It serves as a Provider Investigation Report, allowing facilities to document allegations of abuse, neglect, or other significant incidents affecting residents. The form helps ensure that the Texas Department of Aging and Disability Services (DADS) receives accurate and timely information to investigate these matters thoroughly.

Who is required to use the 3613 A form?

This form is specifically for use by a range of care providers, including:

  • Skilled Nursing Facilities (SNF)
  • Nursing Facilities (NF)
  • Intermediate Care Facilities for Individuals with an Intellectual Disability or Related Conditions (ICF/IID)
  • Assisted Living Facilities (ALF)
  • Adult Day Care Facilities (ADC)
  • Day and Activity Health Services Facilities (DAHS)

These facilities must complete the form whenever they need to report incidents to DADS, ensuring compliance with state regulations regarding resident safety and care.

How should the 3613 A form be submitted?

The form can be submitted either by fax or by mail. If faxing, providers should send the completed form to the toll-free fax number: 1-877-438-5827. Alternatively, it can be mailed to the following address:

Texas Department of Aging and Disability Services
Consumer Rights and Services Section
E-249, P.O. Box 149030
Austin, TX 78714-9030

It is important to note that if the form is faxed, it should not be mailed as well. This helps prevent duplicate reports and ensures a clear communication process.

What information is required on the 3613 A form?

The 3613 A form requires detailed information about the incident being reported, including:

  1. The type of facility and provider information.
  2. The nature of the incident, such as abuse, neglect, or other emergencies.
  3. Details about the individuals involved, including alleged victims and perpetrators.
  4. A description of the allegation, any injuries sustained, and the assessment or treatment provided.
  5. Investigation findings and actions taken by the provider.

This comprehensive information is crucial for DADS to conduct an effective investigation and ensure the safety and well-being of residents.

Common mistakes

Filling out the 3613 A form can be tricky, and mistakes can lead to delays or complications in processing. One common error is providing incomplete information. Each section of the form requires specific details, such as the provider's name, license number, and the incident category. Leaving out any of this information can result in the form being returned or rejected.

Another mistake often made is failing to specify the incident date and time accurately. This information is crucial for the investigation process. If the date or time is incorrect, it can confuse the timeline of events and hinder the investigation.

People sometimes forget to include the DADS Intake ID number. This number is essential for tracking the report within the system. Without it, the report may not be properly logged, leading to potential issues in follow-up or resolution.

Additionally, many individuals overlook the need to sign the report. A signature is necessary to validate the submission and confirm that the information provided is accurate. Omitting a signature can delay the processing of the report.

Another frequent mistake is not providing enough detail in the description of the allegation. The form asks for a thorough explanation of what occurred, and vague descriptions can lead to misunderstandings. Providing clear and detailed accounts helps ensure that the investigation is thorough.

Lastly, failing to attach supporting documents can be a critical oversight. If there are any witness statements or medical assessments related to the incident, they should be included. These documents can provide valuable context and support the claims made in the report.

Documents used along the form

The 3613 A form is essential for documenting incidents in various care facilities. Along with this form, several other documents are frequently used to ensure proper reporting and compliance. Each of these documents plays a crucial role in the investigation and resolution process.

  • Incident Report Form: This form provides detailed information about the incident, including what happened, when it occurred, and who was involved. It serves as the primary record for any allegations made.
  • Witness Statement: A document where witnesses provide their accounts of the incident. This statement helps to gather different perspectives and can be crucial for understanding the situation.
  • Medical Report: If injuries are involved, a medical report outlines the injuries sustained and any treatment provided. This document is vital for assessing the impact of the incident on the individual.
  • Provider Response Form: This form allows the facility to outline their response to the incident. It includes actions taken post-investigation and any measures implemented to prevent future occurrences.
  • Follow-Up Report: After the initial investigation, a follow-up report details any further findings or actions taken. This document ensures ongoing accountability and transparency.
  • Training Records: These records show that staff have received appropriate training related to incident management and resident care. They are essential for compliance and improving facility practices.
  • Compliance Audit Report: This report assesses the facility's adherence to regulations and standards. It helps identify areas for improvement and ensures that the facility meets necessary guidelines.
  • Incident Review Meeting Minutes: Documentation from meetings held to discuss the incident and its implications. These minutes capture the discussions and decisions made by the team involved.
  • Confidentiality Agreement: A document that ensures all parties involved in the investigation maintain confidentiality regarding the details of the incident and the individuals involved.

Each of these documents complements the 3613 A form and contributes to a thorough understanding of incidents within care facilities. Proper documentation is vital for ensuring the safety and well-being of residents while also maintaining compliance with regulatory standards.

Similar forms

The 3613 A form is a specific document used by various types of healthcare facilities in Texas for reporting incidents related to patient care. Several other documents serve similar purposes in different contexts. Below is a list of ten documents that share similarities with the 3613 A form:

  • Incident Report Form: Used in various healthcare settings to document any incidents or accidents involving patients, providing a structured way to report details and follow up on investigations.
  • Patient Safety Report: Focuses on documenting safety concerns and incidents affecting patient care, similar to the 3613 A form's emphasis on specific incidents and outcomes.
  • Abuse Reporting Form: Specifically designed to report suspected abuse cases within healthcare facilities, paralleling the 3613 A form’s focus on allegations of abuse and neglect.
  • Quality Assurance Report: Used to evaluate the quality of care provided in healthcare settings, often including incident reporting as part of its assessment process.
  • Event Report Form: Captures details about unexpected events in healthcare environments, serving a similar purpose of documenting incidents and facilitating investigations.
  • Accident Report Form: Documents accidents that occur on facility premises, focusing on the specifics of the incident, much like the 3613 A form.
  • Patient Incident Report: A detailed report that records any incidents affecting a patient’s health or safety, similar to the incident categories listed in the 3613 A form.
  • Neglect Report Form: Specifically addresses incidents of neglect within care facilities, aligning with the neglect category found in the 3613 A form.
  • Compliance Report: Used to ensure adherence to regulatory standards, often requiring documentation of incidents that may affect compliance, akin to the reporting requirements of the 3613 A form.
  • Investigation Report Template: Provides a framework for documenting the findings of investigations into reported incidents, similar to the investigation summary section of the 3613 A form.

Dos and Don'ts

When filling out the 3613 A form, it’s crucial to follow specific guidelines to ensure accuracy and compliance. Here’s a list of things you should and shouldn’t do:

  • Do double-check all information for accuracy before submitting.
  • Do include all required details, such as the provider's name and incident category.
  • Do ensure that the form is sent to the correct fax number or mailing address.
  • Do keep a copy of the submitted form for your records.
  • Do report any allegations promptly and within the specified time frame.
  • Do maintain confidentiality regarding the details of the incident.
  • Do seek assistance if you have questions about the form or the reporting process.
  • Don’t leave any sections blank; incomplete forms may delay the investigation.
  • Don’t provide false information, as this can have serious legal consequences.
  • Don’t forget to sign and date the form before submission.
  • Don’t submit the form if you plan to fax it; mailing after faxing is not allowed.
  • Don’t disclose sensitive information to unauthorized individuals.
  • Don’t assume that verbal communication is sufficient; always use the form as required.
  • Don’t overlook the importance of documenting any follow-up actions taken after the incident.

Misconceptions

  • Misconception 1: The 3613 A form is only for skilled nursing facilities.
  • This form is actually applicable to a variety of facilities, including nursing facilities, assisted living facilities, and adult day care facilities. It serves multiple types of providers in the healthcare sector.

  • Misconception 2: You can mail the form after faxing it.
  • Once the form has been faxed, you should not mail it. This is to prevent duplicate submissions and ensure that the report is processed efficiently.

  • Misconception 3: The 3613 A form is not confidential.
  • In fact, the form contains sensitive and privileged information. It is important to handle it with care and ensure it reaches only the intended recipients.

  • Misconception 4: You can report any incident using this form.
  • The form is specifically designed for certain types of incidents, such as abuse, neglect, and other serious situations. Not all incidents may be appropriate for this reporting method.

  • Misconception 5: Anyone can fill out the form.
  • The form should be completed by authorized personnel who are familiar with the incident and the individuals involved. This ensures accuracy and accountability.

  • Misconception 6: There is no need to provide detailed information about the incident.
  • Providing a thorough description of the allegation and any related injuries is crucial. This helps the investigating agency understand the context and seriousness of the situation.

  • Misconception 7: The form is only for reporting negative incidents.
  • While it primarily addresses adverse events, it can also document positive actions taken by the facility in response to incidents, such as preventive measures or staff training.

  • Misconception 8: You don’t need to include witness information.
  • Including witness details is important for a comprehensive investigation. Witness statements can provide valuable insights into the incident.

  • Misconception 9: The investigation findings are not important.
  • On the contrary, the findings from the investigation are critical. They help ensure accountability and improve care standards within the facility.

Key takeaways

Filling out and using the 3613 A form is essential for reporting incidents in various care facilities. Here are some key takeaways to keep in mind:

  • Understand the Purpose: The form is specifically designed for Skilled Nursing Facilities, Nursing Facilities, Intermediate Care Facilities, Assisted Living Facilities, Adult Day Care Facilities, and Day and Activity Health Services Facilities.
  • Confidentiality: The document contains privileged information. Ensure that it is shared only with intended recipients.
  • Accurate Information: Fill in all required fields accurately, including the agency name, license number, and contact details.
  • Incident Categories: Clearly indicate the type of incident being reported, such as abuse, neglect, or emergency situations.
  • Timeliness: Report incidents promptly. The form requires the date and time of the report, as well as the date and time of the incident.
  • Allegations: Provide detailed information about the allegations, including who made them and the individuals involved.
  • Witness Information: If there are witnesses to the incident, include their details and any statements they may have provided.
  • Assessment Details: Document any injuries or adverse effects, along with assessments and treatments provided.
  • Provider Response: After the investigation, summarize the findings and note any actions taken by the provider.
  • Submission: Fax the completed form to the specified number or mail it to the appropriate address. Do not send a physical copy if you have already faxed it.

By following these guidelines, facilities can ensure that they properly report incidents and comply with regulatory requirements.