Homepage Fill Out Your 3613 A Form
Article Structure

The 3613 A form serves a critical function within the landscape of healthcare facilities focused on the care of individuals requiring varying levels of assistance and support. Specifically designed for use by 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), this form is central to reporting incidents that may compromise the safety and well-being of residents. The report captures essential information related to allegations of abuse, neglect, exploitation, or other incidents that may endanger individuals in these facilities. Key components of the form include details about the service provider, incident categories, and involved individuals, allowing for a comprehensive accounting of each situation. With clear instructions for submission via fax or mail to the Texas Department of Aging and Disability Services, it also emphasizes confidentiality, ensuring that sensitive information is protected throughout the reporting process. Ultimately, the 3613 A form assists in maintaining standards of care while safeguarding the rights of those within the long-term care system.

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

Form Characteristics

Fact Name Details
Purpose The 3613 A form is used by various facilities, including Skilled Nursing Facilities and Assisted Living Facilities, to report investigations related to incidents involving residents.
Recipient Reports must be faxed to the Texas Department of Aging and Disability Services, specifically to the Consumer Rights and Services Section.
Submission Format You can either fax the report to 1-877-438-5827 or send it by mail to the Texas Department of Aging and Disability Services at the designated address in Austin, TX.
Governing Law This form is governed by regulations under the Texas Health and Safety Code, ensuring proper reporting and handling of incidents.
Privacy Notice The form contains confidential information, and any unauthorized disclosure is strictly prohibited. Immediate notification must occur if received in error.

Guidelines on Utilizing 3613 A

After gathering all necessary information, proceed to fill out the 3613 A form accurately and thoroughly. Ensure that all sections are completed to facilitate proper processing by the relevant authority.

  1. Gather Documentation: Collect all information regarding the incident, including details about individuals involved, dates, and nature of the allegation.
  2. Complete the Fax Cover Sheet: Fill in the date, recipient information including "DADS Consumer Rights and Services Section," and provide the number of pages being sent. Include your provider name and contact details.
  3. Document Provider Information: Write the agency name, license number, address, city, state, ZIP code, and telephone numbers as required on the form.
  4. Indicate Incident Details: Specify the incident category by checking the appropriate box and provide information on who made the allegation and when it occurred.
  5. Record Incident Timing and Location: Fill in the date, time of incident, and precise location.
  6. List Individuals Involved: For each individual involved, document their name, gender, Social Security number, date of birth, functional ability, and level of supervision.
  7. Provide Alleged Perpetrator Information: Include the alleged perpetrator's specifics, including their relationship to the victim, if not a staff member. Indicate if they confirmed or denied the allegation.
  8. Document Witness Information: If there are any witnesses, record their names, relationship to the situation, and contact details. Attach signed statements if possible.
  9. Describe the Allegation: Clearly articulate the nature of the allegation and any injuries or adverse effects that occurred.
  10. Complete Investigation Summary: Fill in the findings of the investigation, indicate whether they were confirmed, unconfirmed, inconclusive, or unfounded. Record any actions taken by the provider post-investigation.
  11. Sign and Date the Report: Ensure that the report is signed by an authorized individual, including their printed name and title, and date of the signature.

After completing the form, you can either fax it to the provided number or mail it to the Texas Department of Aging and Disability Services. Make sure not to send a duplicate if faxed.

What You Should Know About This Form

What is the 3613 A form used for?

The 3613 A form serves as a Provider Investigation Report specifically designed for facilities such as Skilled Nursing Facilities (SNF), Nursing Facilities (NF), and Assisted Living Facilities (ALF), among others. It is utilized to document incidents such as abuse, neglect, or other emergencies impacting residents. Facilities submit this report to the Texas Department of Aging and Disability Services (DADS) to inform them of such occurrences and the subsequent investigations.

Who should fill out the 3613 A form?

Staff members or administrators from any of the specified facilities should complete the 3613 A form. This includes individuals responsible for reporting incidents related to patient care and facility management. It’s essential that the report is filled out accurately to ensure proper investigation and resolution of the incident.

Where should the completed form be sent?

The completed 3613 A form can be either faxed to the toll-free number 1-877-438-5827 or mailed to the Texas Department of Aging and Disability Services at P.O. Box 149030, Austin, TX, 78714-9030. If the report is faxed, it is important not to mail a duplicate report.

What types of incidents must be reported using the 3613 A form?

The 3613 A form must be used to report a variety of incidents, including but not limited to abuse, neglect, drug diversion, resident disappearance, and emergencies like fires or extreme weather events. Each of these incidents poses potential risks to residents’ safety and well-being, which is why documentation and reporting are critical.

Is any information kept confidential on the 3613 A form?

Yes, the 3613 A form is a confidential document. This means that all information related to the reports is considered privileged and should not be disclosed without proper authorization. Facilities must protect the privacy of the residents and others involved in the report.

What details must be included in the incident report?

The report should include comprehensive particulars such as the agency name, license number, type of incident, individuals involved, descriptions of the incident, and any assessments or treatments given. Accurate and complete information is crucial for effective investigations.

How soon must the 3613 A form be submitted after an incident occurs?

Timeliness in reporting is essential. The 3613 A form should be submitted immediately after an incident is identified, ideally within a specified timeframe to ensure that the incident can be investigated while details are still fresh and any necessary actions can be taken promptly.

What actions should be taken post-investigation according to the 3613 A form?

After the investigation is concluded, the facility must indicate any actions taken on the form itself. This could include disciplinary measures, changes in policies, or staff retraining. Documenting actions taken is important for accountability and for preventing future incidents.

What if the person filling out the form has questions or needs assistance?

If there are questions or uncertainties regarding the completion of the 3613 A form, it is advisable to consult with a supervisor or legal advisor within the facility. Additionally, reaching out to the DADS Consumer Rights and Services Section for guidance can provide clarity on specific points.

Common mistakes

Many individuals encounter challenges when filling out the 3613 A form. One common mistake is not including all necessary contact information. It is essential to provide complete details, such as the provider's name, street address, and telephone number. Omitting any of these can delay the processing of the report.

Another frequent error involves unclear incident descriptions. The form requires a thorough explanation of the allegation. Vague or incomplete descriptions can lead to misunderstandings about the nature of the incident, making it harder for authorities to assess the situation accurately.

Using the wrong incident category is also a mistake people often make. Each incident has a specific category, such as abuse, neglect, or exploitations. Choosing an incorrect category may impact how the incident is investigated. It is important to carefully select the option that best fits the situation.

People sometimes fail to provide full information about the individuals involved in the incident. This includes basic details such as their names, birthdates, and social security numbers. Incomplete information can hinder the investigation process and may raise larger concerns regarding compliance.

Lastly, not following the return instructions correctly can lead to delays. Some individuals forget to fax the report instead of mailing it, despite clear instructions on the form. Ensuring proper submission methods are followed will help to expedite the review process and facilitate effective communication with the relevant authorities.

Documents used along the form

The 3613 A form is critical for reporting and investigating incidents in various care facilities. Often, it is accompanied by other important documents that can help ensure a comprehensive response to allegations. Below is a list of five commonly used forms and their purposes.

  • Provider Response Form: This form outlines the facility's response to the incident reported. It includes details on any actions taken and measures implemented to prevent future occurrences.
  • Incident Report Form: Used to document the specifics of the incident, this form captures information such as date, time, location, and individuals involved, which is essential for a thorough investigation.
  • Witness Statement Form: This document collects testimonies from witnesses related to the incident. It helps to gather various perspectives and provides crucial evidence for the investigation.
  • Medical Report: If there is any injury involves, a medical report detailing the treatment given is necessary. This document assists in understanding the extent of harm and any recommended follow-up care.
  • Follow-Up Investigation Report: After completing the initial investigation, this report summarizes findings and actions taken. It serves as a record of the resolution process and outlines any further steps necessary.

These documents play significant roles in ensuring that allegations are thoroughly investigated and addressed. Having the necessary paperwork in hand will create a foundation for proper compliance and oversight, which is vital for protecting residents' rights and safety.

Similar forms

The 3613 A form serves a significant role in reporting incidents within various healthcare facilities, particularly those focused on aging and disability services. Similar documentation exists in different contexts, often sharing the purpose of ensuring safety, compliance, and thorough record-keeping. Here are five similar documents:

  • Incident Report Form: This document is commonly used in various healthcare settings to document any unexpected events affecting patient safety. Like the 3613 A form, it requires details about the event, individuals involved, and follow-up actions taken by the facility.
  • Patient Safety Report: This report is generated specifically to address potential patient safety risks and incidents. It mirrors the 3613 A in that it captures information on the circumstances surrounding the incident, the individuals involved, and protocols followed to mitigate future risks.
  • Quality Assurance Report: Similarly focused on evaluating services, this report reflects on incidents or complaints that could impact facility quality. The report helps ensure compliance with standards, just as the 3613 A form aims to investigate specific allegations.
  • Abuse Reporting Form: This targeted document is specifically for documenting allegations of abuse or neglect in care settings. Like the 3613 A, it captures detailed information about the incident, including the nature of the allegation and actions taken after the report.
  • Accident Investigation Report: Used to examine accidents that occur within a facility, this report shares similarities with the 3613 A form regarding the thorough documentation of the incident, witnesses, injuries, and the response provided by the organization.

Each of these documents plays a vital role in ensuring the safety and well-being of individuals in care facilities, highlighting the importance of meticulous reporting in maintaining quality care standards.

Dos and Don'ts

When filling out the 3613 A form, it is essential to adhere to best practices to ensure that your submission is accurate and complete. Here are seven things you should and should not do:

  • Do double-check all the information you provide. Accuracy is key.
  • Do ensure you include the correct DADS Intake ID number for tracking.
  • Do submit the form in the correct format, either by fax or mail.
  • Do provide details about the incident clearly and concisely, including all involved parties.
  • Don't leave any mandatory fields blank. Confirm that all required sections are filled out.
  • Don't use vague language. Be specific about the nature of the incident and involved individuals.
  • Don't send the form via mail if you have already faxed it. This can create confusion and delays.

Following these guidelines will help ensure that your report is processed smoothly and efficiently.

Misconceptions

Misunderstandings about the Form 3613 A can lead to confusion and mismanagement within facilities that are required to use it. Here are eight common misconceptions addressed with clarity and understanding:

  • Only skilled nursing facilities need to use the form. Many believe that only skilled nursing facilities (SNFs) are required to complete Form 3613 A. In reality, this form is applicable to a variety of facilities, including nursing facilities (NFs), assisted living facilities (ALFs), and more.
  • The form is optional. Some individuals think that submitting the Form 3613 A is optional. However, it is a mandatory requirement for certain incidents to ensure that allegations of abuse, neglect, or other serious situations are properly investigated.
  • The form can be filled out by anyone. There is a misconception that any staff member can fill out this form. In fact, it should typically be completed by individuals who are trained in handling incidents and understand the sensitivity of the information being reported.
  • Confidentiality is not guaranteed. While some may think that submitting the form compromises confidentiality, the document is designed to be confidential. This means that the identity of those making reports is protected from unauthorized disclosure.
  • Investigations must always lead to punitive actions. A common belief is that all investigations will result in punishment or disciplinary actions. In truth, the investigation could also conclude with a finding of no wrongdoing, which is equally important for ensuring fairness.
  • Once submitted, the form is ignored. There may be an impression that submissions to the department are not taken seriously or are ignored. In reality, each report is reviewed and investigated according to established protocols.
  • Filing a report will lead to immediate consequences for the facility. Some fear that submitting a report will trigger swift penalties. Understandably, this can deter reporting. Generally, investigations are conducted thoroughly and fairly before any actions are taken.
  • The form is only a formality. It's a common misconception that the Form 3613 A is just a procedural formality without any real impact. The truth is that it plays a crucial role in safeguarding residents and ensuring accountability within care facilities.

Understanding these misconceptions can empower facilities to take appropriate actions in safeguarding their residents and ensuring a safe environment for everyone involved.

Key takeaways

When completing and using the 3613 A form, it is important to keep the following key takeaways in mind:

  • Specific Use: This form is exclusively 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 and confidential information. Ensure that it is handled appropriately to prevent unauthorized disclosure.
  • Reporting Process: Faxes should be sent to 1-877-438-5827. If faxing is completed, do not mail the report to avoid duplication.
  • Incident Details: Thoroughly include all relevant details about the incident, including date, time, location, and the individuals involved.
  • Allegation Clarity: Clearly describe the nature of the allegation. Include all necessary information to support your account, keeping in mind the potential for injury or adverse effects.
  • Follow-Up Actions: Document any actions taken in response to the investigation findings directly on the report.
  • Signature Requirement: The completed form must be signed by the responsible authority, ensuring accountability and authenticity.

Filling out the 3613 A form accurately and thoroughly is crucial to ensure proper reporting and subsequent investigation. Handle this process with diligence and care.