A.R.S. tit. 46 ch. 4 — Arizona Revised Statutes Title 46 Chapter 4 — Adult Protective Services

46-451. Definitions; program goals A. In this chapter, unless the context otherwise requires: 1. "Abuse" means: (a) Intentional infliction of physical harm. (b) Injury caused by negligent acts or omissions. (c) Unreasonable confinement. (d) Sexual abuse or sexual assault. (e) Emotional abuse. 2. "Adult protective services central intake unit" means a unit of specialized staff within adult protective services that is responsible for receiving reports of alleged abuse, neglect or exploitation of vulnerable adults or making the necessary resource referrals. 3. "De facto conservator" means any person who takes possession of the estate of a vulnerable adult, without right or lawful authority. A de facto conservator is subject to all of the responsibilities that attach to a legally appointed conservator or trustee. 4. "De facto guardian" means any person who takes possession of the person of a vulnerable adult, without right or lawful authority. A de facto guardian is subject to all of the responsibilities that attach to a legally appointed guardian. 5. "Emotional abuse" means a pattern of ridiculing or demeaning a vulnerable adult, making derogatory remarks to a vulnerable adult, verbally harassing a vulnerable adult or threatening to inflict physical or emotional harm on a vulnerable adult. 6. "Exploitation" means the illegal or improper use of a vulnerable adult or the vulnerable adult's resources for another's profit or advantage. 7. "Health professional" has the same meaning prescribed in section 32-3201. 8. "Informed consent" means any of the following: (a) A written expression by the person that the person fully understands the potential risks and benefits of the withdrawal of food, water, medication, medical services, shelter, cooling, heating or other services necessary to maintain minimum physical or mental health and that the person desires that the services be withdrawn. A written expression is valid only if the person is of sound mind and if the consent is witnessed by at least two individuals who do not benefit by the withdrawal of services. (b) Consent to withdraw food, water, medication, medical services, shelter, cooling, heating or other services necessary to maintain minimum physical or mental health as permitted by an order of a court of competent jurisdiction. (c) A declaration made pursuant to title 36, chapter 32. (d) Consent by another person under a durable power of attorney relating to health care services to withdraw food, water, medication, medical services, shelter, cooling, heating or other services necessary to maintain minimum physical or mental health. 9. "Neglect" means the deprivation of food, water, medication, medical services, shelter, supervision, cooling, heating or other services necessary to maintain a vulnerable adult's minimum physical or mental health. 10. "Protective services" means a program of identifiable and specialized social services that may offer social services appropriate to resolve problems of abuse, exploitation or neglect of a vulnerable adult. 11. "Protective services worker" means a person who has been selected by and trained under the requirements prescribed by the department to provide protective services. 12. "Vulnerable adult" means an individual who is eighteen years of age or older and who is unable to protect himself from abuse, neglect or exploitation by others because of a physical or mental impairment. Vulnerable adult includes an incapacitated person as defined in section 14-5101. B. Protective services programs shall seek to maintain the adult in the adult's familiar environment by strengthening the adult's capacity for self-maintenance or by providing supportive services. C. This section does not mean that an adult is abused, neglected or in need of protective services for the sole reason that the adult relies on treatment from a recognized religious method of healing in lieu of medical treatment. D. For the purposes of this section, a person is not exploited by a transfer of assets if the transfer is to obtain or maintain eligibility for benefits under title 36, chapter 29 or benefits for supplemental security income, medicare or veterans' administration programs and the transfer of assets is between the person and any of the following: 1. The person's spouse. 2. The person's child with a disability. 3. A trust for the benefit of the person's spouse or child with a disability. E. A transfer of assets for the purpose of obtaining or maintaining eligibility for benefits under title 36, chapter 29 shall comply with 42 United States Code section 1396p and sections 36-2934 and 36-2934.01. 46-452. Protective services workers; powers and duties; immunity; communications; access to records A. Each protective services worker shall: 1. Receive reports of abused, exploited or neglected vulnerable adults. 2. Receive from any source oral or written information regarding an adult who may be in need of protective services. 3. On receipt of such information make an evaluation to determine if the adult is in need of protective services and what services, if any, are needed. 4. Offer an adult in need of protective services or the adult's guardian whatever services appear appropriate in view of the evaluation. 5. File petitions as necessary for the appointment of a guardian or conservator or the appointment of a temporary guardian or temporary conservator or make application for a special visitation warrant as provided for in title 14, chapter 5. 6. File for an order of protection pursuant to section 13-3602 or an injunction against harassment pursuant to section 12-1809 as a third party on behalf of the vulnerable adult to prevent an alleged perpetrator from having access to the vulnerable adult. B. The department or a protective services worker employed by the department may not be appointed as guardian, conservator or temporary guardian. C. An adult protective services worker is immune from civil liability for applying for a special visitation warrant or for filing a petition for guardianship or conservatorship unless the application or filing is done in bad faith. D. For the purposes of this chapter, communications concerning a person who is incarcerated in any jail, prison, detention center or correctional facility or concerning a patient in the Arizona state hospital are not reports that require evaluation by a protective services worker. E. The department or a protective services worker, in performing official duties, may access law enforcement records related to an adult protective services case. A law enforcement entity shall furnish relevant records to adult protective services on request. 46-452.01. Office of state long-term care ombudsman The office of state long-term care ombudsman is established pursuant to the older Americans act of 1965, as amended (P.L. 100-175; United States Code section 307(a)(12)). The state long-term care ombudsman is under the direct supervision of the department of economic security, aging and adult administration program administrator or his designee. The department shall adopt rules for the purpose of implementing the state long-term care ombudsman program. 46-452.02. State long-term care ombudsman; duties; immunity from liability A. A representative of the office of the state long-term care ombudsman who performs the official duties of the long-term care ombudsman is not liable under state law for the good faith performance of official duties. B. Official duties of the office of the state long-term care ombudsman include authority to: 1. Enter long-term care facilities to communicate with residents. 2. Hear, investigate and attempt to resolve complaints by agreement, mediation or conciliation. 3. Render advice to residents of facilities. 4. Refer cases involving abuse, neglect, exploitation or health and safety to adult protective services or the appropriate licensing agency. 5. Make appropriate referrals to legal services or other community services. 6. Assume such other responsibilities as required pursuant to the older Americans act of 1965, as amended (P.L. 100-175; 42 United States Code section 3027(a)(12)). C. Subject to available monies, the office of the state long-term care ombudsman shall visit each long-term care facility in this state without prior notice at least two times each calendar year to speak with residents of the long-term care facility, or the resident's representative if the resident is nonverbal, without the presence of the facility's staff. The requirements of this subsection are in addition to any follow-up in response to a complaint. D. Official duties of the office of the state long-term care ombudsman do not include activities performed by a licensed health care provider as defined in section 12-561. 46-453. Immunity of participants; nonprivileged communication A. Any person making a complaint, furnishing a report, information or records required or authorized by this chapter or otherwise participating in the program authorized by this chapter or in a judicial or administrative proceeding or investigation resulting from reports, information or records submitted or obtained pursuant to this chapter is immune from any civil or criminal liability by reason of such action, unless the person acted with malice or unless such person has been charged with or is suspected of abusing, exploiting or neglecting the vulnerable adult in question. Except as provided in subsection B of this section the physician-patient privilege, husband-wife privilege or any privilege except the attorney-client privilege, provided for by professions such as the practice of social work or nursing covered by law or a code of ethics regarding practitioner-client confidences, both as they relate to the competency of the witness and to the exclusion of confidential communications, shall not pertain in any civil or criminal litigation in which a vulnerable adult's exploitation, abuse or neglect is an issue nor in any judicial or administrative proceeding resulting from a report, information or records submitted or obtained pursuant to section 46-454 nor in any investigation of a vulnerable adult's exploitation, abuse or neglect conducted by a peace officer or a protective services worker. B. In any civil or criminal litigation in which incapacitation, abuse, exploitation or neglect of a vulnerable adult is an issue, a clergyman or priest shall not, without his consent, be examined as a witness concerning any confession made to him in his role as a clergyman or a priest in the course of the discipline enjoined by the church to which he belongs. 46-454. Duty to report abuse, neglect and exploitation of vulnerable adults; duty to make medical records available; violation; classification A. A health professional, emergency medical technician, home health provider, hospital intern or resident, speech, physical or occupational therapist, long-term care provider, social worker, peace officer, medical examiner, guardian, conservator, fire protection personnel, developmental disabilities provider, employee of the department of economic security or other person who has responsibility for the care of a vulnerable adult and who has a reasonable basis to believe that abuse, neglect or exploitation of the vulnerable adult has occurred shall immediately report or cause reports to be made of such reasonable basis to a peace officer or to the adult protective services central intake unit. The guardian or conservator of a vulnerable adult shall immediately report or cause reports to be made of such reasonable basis to the superior court and the adult protective services central intake unit. The reports required by this subsection shall be made immediately by telephone or online. B. If an individual listed in subsection A of this section is an employee or agent of a health care institution as defined in section 36-401 and the health care institution's procedures require that all suspected abuse, neglect and exploitation be reported to adult protective services as required by law, the individual is deemed to have complied with the requirements of subsection A of this section by reporting or causing a report to be made to the health care institution in accordance with the health care institution's procedures. C. An attorney, accountant, trustee, guardian, conservator or other person who has responsibility for preparing the tax records of a vulnerable adult or a person who has responsibility for any other action concerning the use or preservation of the vulnerable adult's property and who, in the course of fulfilling that responsibility, discovers a reasonable basis to believe that abuse, neglect or exploitation of the vulnerable adult has occurred shall immediately report or cause reports to be made of such reasonable basis to a peace officer or to the adult protective services central intake unit. The reports required by this subsection shall be made immediately by telephone or online. D. Reports pursuant to subsections A and C of this section shall contain: 1. The names and addresses of the vulnerable adult and any persons having control or custody of the vulnerable adult, if known. 2. The vulnerable adult's age and the nature and extent of the vulnerable adult's vulnerability. 3. The nature and extent of the abuse, neglect or exploitation. 4. Any other information that the person reporting believes might be helpful in establishing the cause of the abuse, neglect or exploitation. E. Any person other than one required to report or cause reports to be made pursuant to subsection A or C of this section who has a reasonable basis to believe that abuse, neglect or exploitation of a vulnerable adult has occurred may report the information to a peace officer or to the adult protective services central intake unit. F. A person having custody or control of medical or financial records of a vulnerable adult for whom a report is required or authorized under this section shall make those records, or a copy of those records, available to a peace officer or adult protective services worker investigating the vulnerable adult's abuse, neglect or exploitation on written request for the records signed by the peace officer or adult protective services worker. Records disclosed pursuant to this subsection are confidential and may be used only in a judicial or administrative proceeding or investigation resulting from a report required or authorized under this section. G. If reports pursuant to this section are received by a peace officer, the peace officer shall notify the adult protective services central intake unit as soon as possible and make that information available to them, including all related police records. A peace officer shall provide the information to adult protective services as soon as possible. H. A person required to receive reports pursuant to subsection A, C or E of this section may take or cause to be taken photographs of the abused vulnerable adult and the vicinity involved. Medical examinations, including radiological examinations of the involved vulnerable adult, may be performed. Accounts, inventories or audits of the exploited vulnerable adult's property may be performed. The person, department, agency or court that initiates the photographs, examinations, accounts, inventories or audits shall pay the associated costs in accordance with existing statutes and rules. If any person is found to be responsible for the abuse, neglect or exploitation of a vulnerable adult in a criminal or civil action, the court may order the person to make restitution as the court deems appropriate. I. If psychiatric records are requested pursuant to subsection F of this section, the custodian of the records shall notify the attending psychiatrist, who may excise from the records, before they are made available: 1. Personal information about individuals other than the patient. 2. Information regarding specific diagnosis or treatment of a psychiatric condition, if the attending psychiatrist certifies in writing that release of the information would be detrimental to the patient's health or treatment. J. If any portion of a psychiatric record is excised pursuant to subsection I of this section, a court, on application of a peace officer or adult protective services worker, may order that the entire record or any portion of the record containing information relevant to the reported abuse, neglect or exploitation be made available to the peace officer or adult protective services worker investigating the abuse, neglect or exploitation. K. A licensing agency shall not find that a reported incidence of abuse at a care facility by itself is sufficient grounds to allow the agency to close the facility or to find that all residents are in imminent danger. L. Retaliation against a person who in good faith reports abuse, neglect or exploitation is prohibited. Retaliation against a vulnerable adult who is the subject of a report is prohibited. Any adverse action taken against a person who reports abuse, neglect or exploitation or a vulnerable adult who is the subject of the report within ninety days after the report is filed is presumed to be retaliation. M. A person who violates this section is guilty of a class 1 misdemeanor, except that if the failure to report involves an offense listed in title 13, chapter 14, the person is guilty of a class 6 felony. 46-455. Allowing life or health of a vulnerable adult to be endangered by neglect; violation; classification; civil remedy; definition A. A person who has been employed to provide care, who is a de facto guardian or de facto conservator or who has been appointed by a court to provide care to a vulnerable adult and who causes or allows the life of the adult to be endangered or that person's health to be injured or endangered by neglect is guilty of a class 5 felony. B. A vulnerable adult whose life or health is being or has been endangered or injured by neglect, abuse or exploitation may file an action in superior court against any person or enterprise that has been employed to provide care, that has assumed a legal duty to provide care or that has been appointed by a court to provide care to such vulnerable adult for having caused or allowed such conduct. A physician licensed pursuant to title 32, chapter 13, 14 or 17, a podiatrist licensed pursuant to title 32, chapter 7, a registered nurse practitioner licensed pursuant to title 32, chapter 15 or a physician assistant licensed pursuant to title 32, chapter 25, while providing services within the scope of that person's licensure, is not subject to civil liability for damages under this section unless either: 1. At the time of the events giving rise to a cause of action under this section, the person was employed or retained by the facility or designated by the facility, with the consent of the person, to serve the function of medical director as that term is defined or used by federal or state law governing a nursing care institution, an assisted living center, an assisted living facility, an assisted living home, an adult day health care facility, a residential care institution, an adult care home, a skilled nursing facility or a nursing facility. 2. At the time of the events giving rise to a cause of action under this section, all of the following applied: (a) The person was a physician licensed pursuant to title 32, chapter 13, 14 or 17, a podiatrist licensed pursuant to title 32, chapter 7, a registered nurse practitioner licensed pursuant to title 32, chapter 15 or a physician assistant licensed pursuant to title 32, chapter 25. (b) The person was the primary provider responsible for the medical services to the patient while the patient was at one of the facilities listed in paragraph 1 of this subsection. C. Any person who was the primary provider of medical services to the patient in the last two years before it was recommended that the patient be admitted to one of the facilities listed in subsection B, paragraph 1 of this section is exempt from civil liability for damages under this section. D. For the purposes of this section, primary provider does not include a consultant or specialist as listed in subsection B, paragraph 2, subdivision (a) of this section who is requested by the primary provider to provide care to the patient for whom the primary provider is responsible, unless that consultant or specialist assumes the primary care of the patient. E. The state may file an action pursuant to this section on behalf of those persons who are endangered or injured to prevent, restrain or remedy the conduct described in this section. F. The superior court has jurisdiction to prevent, restrain and remedy the conduct described in this section, after making provision for the rights of all innocent persons affected by such conduct and after a hearing or trial, as appropriate, by issuing appropriate orders. G. Before a determination of liability, the orders may include entering restraining orders or temporary injunctions or taking such other actions, including the acceptance of satisfactory performance bonds, the creation of receiverships and the appointment of qualified receivers and the enforcement of constructive trusts, as the court deems proper. H. After a determination of liability, such orders may include: 1. Ordering any person to divest himself of any direct or indirect interest in any enterprise. 2. Imposing reasonable restrictions, including permanent injunctions, on the future activities or investments of any person including prohibiting any person from engaging in the same type of endeavor or conduct to the extent allowed by the constitutions of the United States and this state. 3. Ordering dissolution or reorganization of any enterprise. 4. Ordering the payment of actual and consequential damages, as well as costs of suit, to those persons injured by the conduct described in this section. The court or jury may order the payment of punitive damages under common law principles that are generally applicable to the award of punitive damages in other civil actions. 5. Ordering the payment of all costs and expenses of the prosecution and investigation of the conduct described in this section, civil and criminal, incurred by the state or county as appropriate to be paid to the state general fund or the general fund of the county that incurred such costs and expenses. I. A defendant who is convicted in any criminal proceeding is precluded from subsequently denying the essential allegations of the criminal offense of which the defendant was convicted in any civil proceeding. For the purposes of this subsection, a conviction may result from a verdict or plea, including a plea of no contest. J. A person who files an action under this section shall serve notice and one copy of the pleading on the attorney general within thirty days after the action is filed with the superior court. The notice shall identify the action, the person and the person's attorney. Service of the notice does not limit or otherwise affect the right of this state to maintain an action under this section or intervene in a pending action and does not authorize the person to name this state or the attorney general as a party to the action. On receipt of a complaint, the attorney general shall notify the appropriate licensing agency. K. The initiation of civil proceedings pursuant to this section shall be commenced within two years after actual discovery of the cause of action. L. Except for the standard of proof provided in subsection H, paragraph 4 of this section, the standard of proof in civil actions brought pursuant to this section is the preponderance of the evidence. M. Except in cases filed by a county attorney, the attorney general, on timely application, may intervene in any civil action or proceeding brought under this section if the attorney general certifies that in his opinion the action is of special public importance. On intervention, the attorney general may assert any available claim and is entitled to the same relief as if the attorney general had instituted a separate action. N. In addition to the state's right to intervene as a party in any action under this section, the attorney general may appear as a friend of the court in any proceeding in which a claim under this section has been asserted or in which a court is interpreting section 46-453 or this section. O. A civil action authorized by this section is remedial and not punitive and does not limit and is not limited by any other civil remedy or criminal action or any other provision of law. Civil remedies provided under this title are supplemental and not mutually exclusive. P. The cause of action or the right to bring a cause of action pursuant to subsection B or E of this section shall not be limited or affected by the death of the vulnerable adult. Q. For the purposes of this section, "enterprise" means any corporation, partnership, association, labor union or other legal entity, or any group of persons associated in fact although not a legal entity, that is involved with providing care to a vulnerable adult. 46-456. Duty to a vulnerable adult; financial exploitation; civil penalties; exceptions; definitions A. A person who is in a position of trust and confidence to a vulnerable adult shall use the vulnerable adult's assets solely for the benefit of the vulnerable adult and not for the benefit of the person who is in the position of trust and confidence to the vulnerable adult or the person's relatives unless any of the following applies: 1. The superior court gives prior approval of the transaction on a finding that the transaction is for the benefit of the vulnerable adult. 2. The transaction is specifically authorized in a valid durable power of attorney that is executed by the vulnerable adult as the principal or in a valid trust instrument that is executed by the vulnerable adult as a settlor. 3. The transaction is required in order to obtain or maintain eligibility for services under title 36, chapter 29. 4. The person in the position of trust and confidence to the vulnerable adult is the vulnerable adult's spouse and the transaction furthers the interest of the marital community, including applying for benefits pursuant to title 36, chapter 29 or benefits for supplemental security income, medicare or veterans' administration programs. B. A person who violates subsection A of this section or section 13-1802, subsection B shall be subject to actual damages and reasonable costs and attorney fees in a civil action brought by or on behalf of a vulnerable adult and the court may award additional damages in an amount up to two times the amount of the actual damages. C. In addition to the damages prescribed in subsection B of this section, the court may: 1. Order a person who violates subsection A of this section or section 13-1802, subsection B to forfeit all or a portion of the person's: (a) Interest in any governing instrument. (b) Benefits under title 14, chapter 2 with respect to the estate of the vulnerable adult, including an intestate share, an elective share, an omitted spouse's share, an omitted child's share, a homestead allowance, any exempt property and a family allowance. If the vulnerable adult died intestate, the vulnerable adult's intestate estate passes as if the person who violated subsection A of this section or section 13-1802, subsection B disclaimed that person's intestate share to the extent the court orders that person to forfeit all or a portion of the person's benefits under title 14, chapter 2. 2. Revoke, in whole or in part, any revocable: (a) Disposition or appointment of property that is made in a governing instrument by the vulnerable adult to the person who violates subsection A of this section or section 13-1802, subsection B. (b) Provision by the vulnerable adult that is contained in a governing instrument that confers a general or nongeneral power of appointment on the person who violates subsection A of this section or section 13-1802, subsection B. (c) Nomination or appointment by the vulnerable adult that is contained in a governing instrument that nominates or appoints the person who violates subsection A of this section or section 13-1802, subsection B to serve in any fiduciary or representative capacity, including serving as a personal representative, executor, guardian, conservator, trustee or agent. 3. Sever the interests of the vulnerable adult and the person who violates subsection A of this section or section 13-1802, subsection B in any property that is held by them at the time of the violation as joint tenants with the right of survivorship or as community property with the right of survivorship, and transform the interests of the vulnerable adult and the person who violated subsection A of this section or section 13-1802, subsection B into tenancies in common. To the extent that the person who violated subsection A of this section or section 13-1802, subsection B did not provide adequate consideration for the jointly held interest, the court may cause the person's interest in the subject property to be forfeited in whole or in part. D. A revocation or a severance under subsection C, paragraph 2 or 3 of this section does not affect any third party interest in property that was acquired for value and in good faith reliance on apparent title by survivorship in the person who violated subsection A of this section or section 13-1802, subsection B unless a writing declaring the severance has been noted, registered, filed or recorded in records that are appropriate to the kind and location of the property and that are relied on as evidence of ownership in the ordinary course of transactions involving that property. E. If the court imposes a revocation under subsection C, paragraph 2 of this section, provisions of the governing instrument shall be given effect as if the person who violated subsection A of this section or section 13-1802, subsection B disclaimed all provisions revoked by the court or, in the case of a revocation of a nomination in a fiduciary or representative capacity, the person who violated subsection A of this section or section 13-1802, subsection B predeceased the decedent. F. Section 46-455, subsections F, G, H, I, K, L, M and P also apply to civil violations of this section. G. The vulnerable adult or the duly appointed conservator or personal representative of the vulnerable adult's estate has priority to, and may file, a civil action under this section. If an action is not filed by the vulnerable adult or the duly appointed conservator or personal representative of the vulnerable adult's estate, any other interested person, as defined in section 14-1201, may petition the court for leave to file an action on behalf of the vulnerable adult or the vulnerable adult's estate. Notice of the hearing on the petition shall comply with section 14-1401. H. Subsections A, B, C, D, E and F of this section do not apply to an agent who is acting within the scope of the person's duties as, or on behalf of, any of the following: 1. A bank, financial institution or escrow agent licensed or certified pursuant to title 6. 2. A securities dealer or salesman registered pursuant to title 44, chapter 12, article 9. 3. An insurer, including a title insurer, authorized and regulated pursuant to title 20. 4. A health care institution licensed pursuant to title 36, chapter 4 that provides services to the vulnerable adult. I. A civil action brought by a person in a position of trust and confidence against a vulnerable adult regarding a governing instrument established by the vulnerable adult is presumed not to be for the benefit of the vulnerable adult unless it is shown otherwise by clear and convincing evidence. J. For the purposes of this section: 1. "Asset" includes all forms of personal and real property. 2. "Disposition or appointment of property" includes a transfer of an item of property or any other benefit of a beneficiary designated in a governing instrument. 3. "For the benefit of the vulnerable adult" includes any act that is consistent with the clearly stated wishes of the vulnerable adult found by the court to be made without coercion and while the vulnerable adult was of sound mind. 4. "Governing instrument" means a deed, a will, a trust, a custodianship, an insurance or annuity policy, an account with pay on death designation, a security registered in beneficiary form, a pension, a profit sharing, retirement or similar benefit plan, a family limited partnership, an instrument creating or exercising a power of appointment, a power of attorney, an estate planning document or a dispositive, appointive or nominative instrument of any similar type. 5. "Position of trust and confidence" means that a person is any of the following: (a) A person who has assumed a duty to provide care to the vulnerable adult. (b) A joint tenant or a tenant in common with a vulnerable adult. (c) A person who is in a fiduciary relationship with a vulnerable adult including a de facto guardian or de facto conservator. (d) A person who is in a confidential relationship with the vulnerable adult. The issue of whether a confidential relationship exists shall be an issue of fact to be decided by the court based on the totality of the circumstances. (e) A beneficiary of the vulnerable adult in a governing instrument. 6. "Revocable" means a disposition, appointment, provision or nomination under which the vulnerable adult, at the time of or immediately before death, was alone empowered, by law or under the governing instrument, to cancel the designation in favor of the person who violated subsection A of this section or section 13-1802, subsection B, whether or not the vulnerable adult was then empowered to designate the vulnerable adult in place of the person who violated subsection A of this section or section 13-1802, subsection B or the vulnerable adult then had capacity to exercise the power. 46-457. Elder abuse central registry; mandatory reporting; release of information A. A person who files an action under this article shall serve notice and one copy of the pleading with the attorney general within thirty days after the action is filed in the superior court. The notice shall identify the action, the person against whom the civil complaint has been filed and that person's attorney. The person who files an action is responsible for submitting a report on the final disposition of the case within thirty days after the final action is taken. B. Except as otherwise provided in this subsection, a state agency other than adult protective services that renders an administrative decision that substantiates the allegation of abuse or that files a civil action that alleges abuse, neglect or financial exploitation pursuant to this article or title 36 shall serve notice and one copy of the administrative decision or pleading with the attorney general within thirty days after the administrative decision is rendered or within thirty days after the action is filed in the superior court. The agency is responsible for submitting a report on the final disposition of the case within thirty days after the final action is taken. Adult protective services shall report its findings to the registry established pursuant to section 46-459. The department of economic security shall not provide the notice prescribed in this subsection for information maintained in the adult protective services registry pursuant to section 46-459. C. If the victim of the offense is a vulnerable adult, a person who files a criminal complaint or indictment involving a violation of this article or section 13-1102, 13-1103, 13-1104, 13-1105, 13-1201, 13-1203, 13-1204, 13-1303, 13-1304, 13-1403, 13-1404, 13-1406, 13-1802, 13-1807, 13-2002, 13-2310 or 13-3623 shall submit a copy of the criminal complaint or indictment to the attorney general within thirty days after arraignment. Within thirty days of the date of issuance of the minute entry the court shall endorse to the attorney general a copy of the sentencing minute entry or the minute entry reflecting the case has been dismissed or a judgment of acquittal has been entered. The attorney general shall develop guidelines to implement this subsection. D. The attorney general shall maintain a registry containing the names of persons pursuant to subsection A, B or C of this section with the date the action was filed with the superior court or the date the administrative decision was rendered, the dates of the conduct set forth in the complaint, the indictment or decision, the general nature of the complaint, indictment or decision and the disposition of the complaint, indictment or decision, if known. E. The information maintained pursuant to subsection D of this section is available to the public on written request to the custodian of the registry. F. A person may submit a written statement on that person's own behalf to the custodian of the registry. The statement is part of the records for distribution in response to all inquiries concerning that person. G. A person or agency that distributes information in the registry in good faith is not subject to civil or criminal liability. 46-458. Hearing process; definitions A. After completing its investigation, the department shall notify a person who is alleged to have abused, neglected or exploited a vulnerable adult that the department intends to enter a substantiated finding of abuse, neglect or exploitation in the registry and of that person's right: 1. To receive a copy of the report containing the allegation and findings. 2. To a hearing before entry into the registry pursuant to section 46-459. B. The department shall send the notice prescribed in subsection A of this section by first class mail not more than fifteen calendar days after completion of the investigation. C. A request for a hearing on the proposed finding must be received by the department within fifteen calendar days of the notice date. D. If a request for a hearing is made pursuant to subsection C of this section, the department shall notify the reporting source, the vulnerable adult and the vulnerable adult's representative of record and conduct a review before the hearing. The department shall provide an opportunity for the accused person to provide written or verbal information to support the position that the department should not substantiate the allegation and an opportunity for the reporting source, the vulnerable adult and the vulnerable adult’s representative of record to respond to the information provided by the accused person. If the department determines that the accused person did not engage in the alleged conduct by a preponderance of the evidence, the department shall amend the information or finding in the report and shall notify the person, and a hearing shall not be held. E. Notwithstanding section 41-1061, subsection B, the notification prescribed in subsection A of this section shall also state that if the department does not amend the information or finding in the report as prescribed in subsection D of this section within sixty days after it receives the request for a hearing the person has a right to a hearing unless either: 1. The person is a party in a civil, criminal or administrative proceeding in which the allegations of abuse, neglect or exploitation are at issue. 2. A court or administrative law judge has made findings as to the alleged abuse, neglect or exploitation. F. If the department does not amend the information or finding in the report as prescribed in subsection D of this section, the department shall notify the office of administrative hearings of the request for a hearing not later than five days after completion of the review. The department shall forward all records, reports and other relevant information with the request for hearing within ten days after the request is made. The department shall redact the identity of the reporting source before transmitting the information to the office of administrative hearings. G. The office of administrative hearings shall hold a hearing pursuant to title 41, chapter 6, article 10, with the following exceptions: 1. A vulnerable adult who is the victim of or a witness to abuse, neglect or exploitation is not required to testify at the hearing. 2. The identity of the reporting source of the abuse, neglect or exploitation shall not be disclosed without the permission of the reporting source. 3. The reporting source is not required to testify. 4. A written statement from the reporting source may be admitted if the time, content and circumstances of that statement are sufficiently indicative of its reliability. 5. If the person requesting the hearing fails to appear, the hearing shall be vacated and a substantiated finding of abuse, neglect or exploitation shall be entered. On good cause shown, the hearing may be rescheduled if the request is made within fifteen calendar days after the date of the notice vacating the hearing for failure to appear. H. On completion of the presentation of evidence, the administrative law judge shall determine whether the department's finding that the accused engaged in the alleged conduct is supported by a preponderance of the evidence. If the administrative law judge determines there is insufficient evidence to sustain the department's burden of proof, the administrative law judge shall order the department to amend the information or finding in the report. I. Notwithstanding section 41-1959, the department shall notify the person who is the subject of the investigation and the person who reported the allegations of abuse, neglect or exploitation of the outcome of the investigation at one of the following times: 1. At the conclusion of the investigation if the report is unsubstantiated or if, by a preponderance of the evidence, there is reason to believe the allegation did occur but no perpetrator has been identified. 2. After the time to request a hearing has lapsed pursuant to subsection C of this section without the department receiving a request for a hearing. 3. After a final administrative decision has been made. J. All final decisions substantiating an allegation of abuse, neglect or exploitation shall be reported to the adult protective services registry, pursuant to section 46-459, within thirty days after the decision is rendered. K. Any person receiving information pursuant to this section shall maintain its confidentiality as provided by section 41-1959, subsection A. L. This section applies only to those allegations of abuse, neglect or exploitation received by the department on or after July 1, 2007. M. The department is exempt from the rule making requirements of title 41, chapter 6 for the purposes of implementing this section. N. For the purposes of this section: 1. "Amend the finding" means to change the finding from substantiated to unsubstantiated. 2. "Amend the information" means to change information identifying the accused of having abused, neglected or exploited a vulnerable adult. 3. "Final decision" means a decision for which the time to appeal has expired or from which no further appeal is available. 46-459. Adult protective services registry A. The department of economic security shall maintain a registry of substantiated reports of abuse, neglect and exploitation of vulnerable adults made pursuant to section 46-458. The department shall incorporate duplicate reports on the same incident in the original report and shall not classify duplicate reports as new reports. B. The registry shall contain the name and date of birth of the person determined to have abused, neglected or exploited a vulnerable adult, the nature of the allegation made and the date and description of the disposition of the allegation. The names of the vulnerable adult and reporting source shall not be reported to the registry. C. The department shall maintain a report in the registry for twenty-five years after the date of entry. D. The department shall annually purge reports and investigative outcomes received pursuant to the time frames prescribed in subsection C of this section. E. Any person who was the subject of an adult protective services investigation may request confirmation that the department has purged information about the person pursuant to subsection D of this section. On receipt of this request, the department shall provide the person with written confirmation that the department has no record containing identifying information about that person. F. Information maintained pursuant to subsection B of this section shall be made available to the public on written request and online. The department may charge a fee for processing written requests. G. The department shall conduct an adult protective services registry background check for any person who is employed or seeking employment in a position that provides direct services to children or vulnerable adults in any of the following: 1. A community residential setting as defined in section 36-551. 2. An intermediate care facility for individuals with intellectual disabilities as defined in section 36-551. 3. Home and community based services pursuant to title 36, chapter 29, article 2. 4. Day care for persons who have developmental disabilities pursuant to title 36, chapter 29, article 2. H. The department may conduct an adult protective services registry background check for any person who is employed or seeking employment with the department or one of the department's contractors in a position that provides direct services to children or vulnerable adults. I. The department shall use the information contained in the adult protective services registry to determine the following: 1. Whether the person is qualified for home and community based services certification for services provided to vulnerable adults or children. 2. Whether the person who is employed or seeking employment with the department of economic security is qualified for a position that provides direct services to vulnerable adults or children. 3. Qualifications for positions that provide direct services to vulnerable adults or children for any of the following: (a) A person who applies for a contract with the department and that person's employees. (b) All employees of a contractor. (c) A subcontractor of a contractor and the subcontractor's employees. (d) Prospective employees of a contractor or subcontractor at the request of the prospective employer. J. Before being employed in a position that provides direct services to vulnerable adults or children, prospective employees shall certify under penalty of perjury on a form prescribed by the department whether an allegation of vulnerable adult abuse, neglect or exploitation has been made against the person and was substantiated. 46-460. Adult protective services information; confidentiality; allowed disclosures; violation; classification A. Unless otherwise provided by law, all personally identifying information concerning any person who is involved in an adult protective services program, including the reporting source's identity, other than a perpetrator against whom an allegation of abuse, neglect or exploitation has been substantiated pursuant to section 46-458, and all information that is gathered or created by adult protective services and that is contained in adult protective services records is confidential and may not be released except as provided in subsections B, C and D of this section. B. Employees of the department of economic security, the department of law and the court may obtain the information described in subsection A of this section in the performance of their duties as authorized by rules adopted by the director of the department to economic security. C. Employees of the department of economic security may release any information that is otherwise held confidential under this section, including the identity of the person who makes a report of suspected abuse, neglect or exploitation, to the following or under any of the following circumstances: 1. Pursuant to a superior court order. 2. To law enforcement to be used only for purposes of conducting investigations. 3. To agencies that are responsible for investigating a report of abuse, neglect or exploitation when the investigation is authorized by statute or by an agreement with the department. 4. In any judicial or administrative proceeding involving an adult protective services client if the director considers the information pertinent to the proceeding. 5. To agencies of the federal government, any state, any political subdivision of any state for official purposes or any tribal government. All information received by a governmental agency pursuant to this paragraph shall be maintained as confidential, except where pertinent to a criminal prosecution. D. Employees of the department of economic security may release any information that is otherwise held confidential under this section, except the reporting source's identity, to the following or under any of the following circumstances: 1. The client when a request is made in writing specifically requesting information that directly relates to the person requesting the information. 2. When necessary for purposes that are directly connected with the administration of adult protective services, including: (a) To protect against a clear and substantial risk of imminent serious injury to a client or to others. (b) In oral and written communications with the minimal necessary release of information needed to conduct an investigation of allegations of abuse, neglect or exploitation. (c) In oral and written communications to arrange specific services for a vulnerable adult. (d) To a person that has the legal responsibility or authorization to care for, evaluate, treat or supervise a vulnerable adult. (e) To the extent necessary to make claims on behalf of a client for public or private assistance, insurance or health or medical assistance pursuant to title 11, chapter 2, article 7 or title 36, chapter 29 to which the client may be entitled. 3. Pursuant to the consent of the client who is receiving adult protective services. 4. Persons identified by the client pursuant to one of the following: (a) If the client is present or otherwise available and has the capacity to make decisions, an adult protective services worker may disclose the information if one of the following applies: (i) The client agrees orally or in writing by signing a consent form that authorizes disclosure. (ii) The client is given an opportunity to object and does not express an objection. (b) If the client is not present or the opportunity to agree or object to the disclosure of information cannot practicably be provided because of the client's incapacity or an emergency circumstance, the adult protective services worker may disclose the information if the disclosure of the information is in the best interests of the client. 5. Any statutorily created team that is mandated to review adult protective services and the clients served in the completion of the official duties. 6. To disclose statistics or other summary information if personally identifiable information is not revealed by the disclosure. 7. To confirm, clarify, correct or supplement information concerning an allegation or actual instance of vulnerable adult abuse, neglect or exploitation that has been made public by a source or sources outside the department. 8. Any person who is engaged in bona fide research, if no personally identifying information is made available, unless it is essential to the research and the director or the director's designee gives prior approval. If the researcher wants to contact a subject of a record, the subject's consent must be obtained by the department before the contact. E. The department may adopt rules to implement the purposes of the department and the duties and powers of the director under this chapter. F. A person who violates this section is guilty of a class 2 misdemeanor. 46-461. Multidisciplinary adult protection team; duties; confidentiality; definition A. Adult protective services may establish a multidisciplinary adult protection team consisting of employees of the adult protective services program, the county attorney or the county attorney's designees and representatives of law enforcement, behavioral health, domestic violence and sexual assault or other appropriate human service agencies. Representatives from local tribal governments and adult disability and advocate groups may be added to the multidisciplinary adult protection team. B. The multidisciplinary adult protection team may provide public and professional education and develop resources for prevention, intervention and treatment to better enable the department to carry out its adult protection functions and to meet the community's needs for adult protection services. C. Adult protective services may make available to members of the multidisciplinary adult protection team all information or records that are necessary for the official duties without the designation of the client's name unless the client's name is required for the official purposes. The case information received by members of the multidisciplinary adult protection team shall be maintained as confidential unless a consent to release has been given pursuant to this section or pursuant to a court order in this state or another state. Any member of the multidisciplinary adult protection team may share information that is acquired in the team member's professional capacity with other members of the multidisciplinary adult protection team to assist the multidisciplinary adult protection team in its function. D. Case consultation may be performed by a committee of the team consisting of the team members representing social services, law enforcement, the county attorney, health care and persons directly involved in an individual case as determined by the case consultation committee. E. A person to whom information is released pursuant to this section is prohibited from using or releasing the information except in the proper performance of the person's official duties unless a consent to release has been given pursuant to this section or pursuant to a court order or a grand jury subpoena. F. For the purposes of this section, "case consultation" means a case review process that results in recommendations about services to be provided to an identified adult and family. 46-471. Definitions In this article, unless the context otherwise requires: 1. "Broker-dealer" has the same meaning as dealer prescribed in section 44-1801. 2. "Eligible adult" means either of the following: (a) A person who is sixty-five years of age or older. (b) A person who is a vulnerable adult. 3. "Financial exploitation" means either of the following: (a) The wrongful or unauthorized taking, withholding, appropriating or use of money, assets or property of an eligible adult. (b) Any act or omission taken by a person, including through the use of a power of attorney, guardianship or conservatorship of an eligible adult, to either: (i) Obtain control through deception, intimidation or undue influence over the eligible adult's money, assets or property to deprive the eligible adult of the ownership, use, benefit or possession of the eligible adult's money, assets or property. (ii) Convert money, assets or property of the eligible adult to deprive the eligible adult of the ownership, use, benefit or possession of the eligible adult's money, assets or property. 4. "Investment adviser" means a person who is licensed or exempt from licensure as an investment advisor pursuant to title 44, chapter 13. 5. "Investment adviser representative" means a person who is licensed or exempt from licensure as an investment advisor representative pursuant to title 44, chapter 13. 6. "Qualified individual" means a broker-dealer, investment adviser or person who serves in a supervisory, compliance, legal or senior investor protection capacity for a broker-dealer or investment adviser. 46-472. Disclosures; immunity; third-party disclosures A. Notwithstanding section 46-454, if a qualified individual reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted or is being attempted, the qualified individual may notify adult protective services and the corporation commission. B. A qualified individual who in good faith and exercising reasonable care makes a disclosure of information pursuant to subsection A of this section is immune from administrative or civil liability that might otherwise arise from the disclosure or for any failure to notify the customer of the disclosure. C. If a qualified individual reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted or is being attempted, a qualified individual may notify any third party previously designated by or reasonably associated with the eligible adult. A qualified individual may not notify any designated third party that is suspected of financial exploitation or other abuse of the eligible adult. D. A qualified individual who in good faith and exercising reasonable care makes a disclosure pursuant to subsection C of this section is immune from any administrative or civil liability that might otherwise arise from the disclosure. 46-473. Delaying disbursements or transactions; immunity A. A broker-dealer or investment adviser may delay a disbursement or transaction from an account of an eligible adult or an account on which an eligible adult is a beneficiary if both: 1. The broker-dealer, investment adviser or qualified individual reasonably believes, after initiating an internal review of the requested disbursement or transaction and the suspected financial exploitation, that the requested disbursement or transaction may result in financial exploitation of an eligible adult. 2. The broker-dealer or investment adviser does all of the following: (a) Immediately, but not more than two business days after the delayed disbursement or transaction, provides written notification of the delay and the reason for the delay to all parties authorized to transact business on the account, unless any party is reasonably believed to have engaged in suspected or attempted financial exploitation of the eligible adult. (b) Immediately, but not more than two business days after the delayed disbursement or transaction, notifies adult protective services and the corporation commission. (c) Continues its internal review of the suspected or attempted financial exploitation of the eligible adult, as necessary, and reports the investigation's results to adult protective services and the corporation commission on request. B. A delayed disbursement or transaction expires on the earlier of: 1. A determination by the broker-dealer or investment adviser that the disbursement or transaction will not result in financial exploitation of the eligible adult. 2. Fifteen business days after the date on which the broker-dealer or investment adviser first delayed disbursement or transaction of the monies, unless either adult protective services or the corporation commission requests that the broker-dealer or investment adviser extend the delay, in which case the delay shall expire not more than twenty-five business days after the date on which the broker-dealer or investment adviser first delayed disbursement or transaction of the monies unless otherwise terminated or further e