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Effective: 09/25/2025

C2.11 Completing the Assessment and Documentation Tool (ADT)

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​The Assessment and Documentation Tool (ADT) is a tool utilized to thoroughly assess all reports received, regardless of the assessment pathway. For investigations and assessments that utilize the SDM® Safety and Risk Assessment tools, please refer to SOP C2.12 Structured Decision Making Safety and Risk Assessment​ for guidance. 

Practice Guidance

  1. SSW must ensure all efforts to locate the child(ren) and family is documented, including but not limited to the use of law enforcement pursuant to KRS 620.040.

Procedure

​The SSW:
  1. Ensures that all identifying information, including full names, Social Security numbers, and dates of birth, is accurate and associated with the correct individuals in the case;
  2. Ensures all household members have been entered into the assessment, as well as other pertinent individuals (Ex, Non-offending custodial parent);​
  3. Completes the assessment in TWIST using the information gathered during the investigation/assessment;
  4. ​​Documents the following information in the service recordings for familial assessments/investigations and /or the chronology section of the assessment for all specialized investigations and non-caretaker investigations:
    1. ​All interviews and evidence collected; ​
    2. Dates, times, locations, full names, and relationships of everyone interviewed; and
    3. Pertinent information gathered;
    4. Steps taken to assess and protect a child during the assessment; 
  5. Identifies and documents safety threats and risk factors for all children in the home; 
    1. Refers to SOP C2.12 Structured Decision Making Safety and Risk Assessments for documentation guidance for investigations and assessments utilizing the SDM® Safety and Risk Assessment;
  6. Consults with the FSOS when determining the investigative finding; 
    1. ​If necessary, consults with regional and/or central office. 
  7. ​Uses the definition of preponderance of evidence from regulation when reviewing the following information obtained during the investigation for credible information when consulting and to determine the finding of an investigation. (Per regulation, preponderance of evidence means that evidence is sufficient to conclude that it is more likely than not that an alleged perpetrator committed an act of child abuse or neglect as defined by KRS 600.020(1)):
    1. ​Observations of the home, child(ren), neighborhood, and family interaction;
    2. Interviews with caretakers, alleged victims, alleged perpetrators, and collateral sources, including witnesses, teachers, neighbors, or other sources of information regarding family functioning;
    3. Written statements from caretakers, alleged victims, alleged perpetrators, and collateral sources;
    4. Pictures of injuries and/or hazardous living conditions; 
    5. Expert opinions or statements from medical or other professionals who can make statements diagnosing a specific condition; or
    6. An adjudication of the same by the court.
  8. ​Completes the assessment within 45 working days; 
  9. Upon approval of the ADT®, provides the caretaker and alleged perpetrator notification of findings letter. Refer to SOP C2.18 Making a Finding, Notifications, and Court Involvement​ regarding the specific letter for the findings being made​.
    1. Non-caretaker perpetrators in human trafficking and female genital mutilation reports do not receive a notification of findings or service appeal documentation. 
The FSOS:
  1. Has five (5) working days to review and approve submitted ADTs. This allows the FSOS time to pend back for corrections, if needed, prior to approval. 


Contingencies and Clarifications

Request for an extension
  1. ​If the investigative worker is unable to complete the assessment within 45 working days from receipt of the investigation, the SSW utilizes the following guidelines in determining the need to request an extension:  
    1. ​The first extension request is approved by the FSOS and may be requested for the following reasons: 
      1. ​​​Another agency is expected to make available information that is necessary for a finding during an extension period; 1
      2. A specialized investigation requires many individual interviews or consultations with central office; or
      3. Law enforcement is conducting a criminal investigation and has not completed its work on the case. 2
    2. ​If a second extension becomes necessary, it must be approved by the service region administrator associate (SRAA) supervising the FSOS.  
    3. Extension requests are submitted in TWIST to the FSOS or designee by the SSW or by e-mail if TWIST is not available.  
    4. All approved extensions are documented in TWIST in the Risk Assessment Conclusion section of the assessment. 

  2. During the extension period, the SSW makes monthly contacts with the family until;

    1. ​​​​​​The investigation is closed, and the agency’s work with the family is complete; or
    2. A case is opened with the family, and monthly contacts begin in the ongoing function.  


​​Footnotes

  1. A finding should not be delayed awaiting a court determination. 
  2. CPS findings are not contingent upon law enforcement’s findings.  In cases where law enforcement asks CPS staff to delay making their finding so as not to compromise a law enforcement investigation, CPS staff should seek guidance from regional office.

Documents

Revisions

​6/5/23 Addition: 

The FSOS:
  1. Has five (5) working days to review and approve submitted ADTs. This allows time for the FSOS to pend back for corrections if needed prior to approval. 

9​/2025

The Assessment and Documentation Tool (ADT) is a tool utilized to thoroughly assess all reports received, regardless of the assessment pathway. stand-alone document. For investigations and assessments that utilize the SDM® Safety and Risk Assessment tools, please refer to SOP C2.12 Structured Decision Making Safety and Risk Assessment​ for guidance. The ADT is used to conduct a thorough assessment of all reports received, regardless of the assessment path. To conduct a thorough assessment, the SSW must consider information received from all alleged victims, alleged perpetrators, non-offending caregivers, collateral sources, and records received.  

  1. Ensures that all identifying information, including full names, Social Security numbers, and dates of birth, is accurate and associated with the correct individuals in the case;
  2. Ensures all household members have been entered into the assessment, as well as other pertinent individuals (Ex. Non-offending custodial parent)​
  3. ​Refers to SOP C2.12 Structured Decision Making Safety and Risk Assessments​​ for ADT completion for investigations utilizing the SDM® Safety and Risk Assessment;\
  4. Completes the assessment in TWIST using the information gathered during the investigation/assessment: appropriate ADT template for all other investigations. 


4.  Documents the following information in the service recordings for familial assessments/investigations and /or the chronology section of the assessment for all specialized investigations and non-caretaker investigations:

  1. ​All interviews and evidence collected; content;
D. Ensures that all identifying information, including full names, Social Security numbers, and dates of birth, are accurate and associated with the correct individuals in the case (Please refer to the Case Naming Protocol Tip Sheet when updating information in TWIST);


  1. Refers to SOP C2.12 Structured Decision Making Safety and Risk Assessments​ for documentation guidance for investigations and assessments utilizing the SDM® Safety and Risk Assessment;

​6.  Determines the finding for each child on all reports based on the assessment of credible information and supportive documentation gained in the investigation and the assessment proces​s;
7.  Uses the following guidelines for credible information when determining the finding of an investigation:
    1. Personal observations of the home, child(ren), neighborhood, and family interaction;
    2. Interviews with caretakers, alleged victims, alleged perpetrators, and collateral sources, including witnesses, teachers, neighbors, or other sources of information regarding family functioning;
    3. Written statements from caretakers, alleged victims, alleged perpetrators, and collateral sources;
    4. Pictures of injuries and/or hazardous living conditions; 
    5. Expert opinions or statements from medical or other professionals who can make statements diagnosing a specific condition; or
    6. An adjudication of the same by the court.
​8.  Ensures that the investigative finding is consistent with statute and regulation;
9.  Consults with the FSOS, as appropriate, when determining the investigative finding;

10.  Upon approval of the ADT® provides the caretaker and alleged perpetrator notification of findings letter. Refer to SOP C2.18 Making a Finding, Notifications, and Court Involvement regarding the specific letter for the findings being made. with written notice of the outcome of the investigation, and each should receive a DPP-154 ​Protection and Permanency Service Appeal form.  The alleged perpetrator receives a D​PP-155 Request for Appeal of Child Abuse or Neglect Investigative Findings form​.​

10.  Provides a copy of the Case Planning Meeting Bro​chure​ to the custodial parent(s) in person or when sending the notification letter(s), if an ongoing case is opened.​

Definitions:  
  • ​Caretaker refers to any of the following:
    • A person responsible for a child’s health, welfare, or care, including:
      • The child’s parent;
      • The child’s guardian;
      • The child’s foster parent;
      • An employee of a public or private residential home, agency, or institution;
      • Any other person legally responsible under state law for the child’s welfare in a residential setting; or
      • Any staff person providing out-of-home care (OOHC), including center-based child daycare, family daycare, or group daycare.
    • A person entrusted with the care of a child, defined as someone given access to a child by a person responsible for the health, welfare, or care of a child for the purpose of providing education, child care, counseling, spiritual guidance, coaching, training, instruction, tutoring, or mentoring.
  • Child refers to any person aged 18 and younger or a youth aged 18 through age 21 and in the Cabinet for Health and Family Services (Cabinet/CHFS) custody.
  • Only a child as defined above may be classified as a victim of child abuse and/or neglect.
  • Only a person responsible, a person given access, or a person entrusted as defined above may be classified as a perpetrator of child abuse and/or neglect. The Department for Community Based Services (Department/DCBS) will only accept reports involving a non-caretaker if the report involves allegations of human trafficking and/or female genital mutilation.
    • Non-accidental:  Conduct where the actor’s conscious objective is to cause that result or engage in that conduct.
    • Physical Injury: Substantial physical pain or impairment of physical condition.
    • Serious physical injury: Physical injury that creates a substantial risk of death, or that causes serious and prolonged disfigurement, prolonged impairment of health, or prolonged loss or impairment of the function of any bodily member or organ.
    • Needs of the child: Necessary food, clothing, health, shelter, and education.
    • Emotional injury: Injury to the mental or psychological capacity or emotional stability of a child as evidenced by a substantial and observable impairment in the child's ability to function within a normal range of performance and behavior with due regard to his age, development, culture, and environment as testified to by a qualified mental health professional (QMHP). 
    • Preponderance of evidence: The documented evidence is to be sufficient to allow a reasonable person to conclude that the child victim was abused or neglected, and that it is more likely than not that the alleged perpetrator committed the act of commission or omission as governed by KRS 600.020(1).
    • Unsubstantiated: Sufficient evidence, indicators, or justification does not exist for the substantiation of abuse, neglect, or dependency.

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