Ky.gov
Effective: 7/15/2024

20.1 Introduction to APS Investigation and Assessment

Legal Authority

Introduction

​​​​​​​​​​​​​​The Department for Community Based Services (DCBS) notifies all pertinent community partners and attempts to coordinate investigations.

​​​​​​DCBS also conducts investigations of reports alleging abuse, neglect, or exploitation of:

  • ​​​​​​An abused and/or neglected adult as defined by KRS Chapter 209 Protection of Adults; or 
  • Provides protective services upon acceptance, request, or court order.

Practice Guidance

  • Initiation timeframes begin from the moment the central intake (CI) FSOS approves the report and assigns the report to the investigative FSOS in TWIST, or in after-hours situations, upon decision by the on-call FSOS to accept the report. 
  • All allegations of abuse, neglect or exploitation received during business hours shall be screened through CI.  
  • An investigation includes contact with the alleged victim and may include contact with the alleged perpetrator and collaterals. 
  • The purposes of conducting an adult protective services (APS) investigation are: 
    • To determine through personal contact whether alleged maltreatment of an adult has occurred; 
    • To assess the need for protective services; 
    • To provide protective services upon request, acceptance, or court order; 
    • To initiate court action in the circuit, district, or family court when: 
      • The adult is in need of protective services; 
      • The adult lacks the capacity to consent and refuses services; 
      • The adult is in a state of abuse or neglect and an emergency exists; 
      • No person is authorized by law or court order to give consent or such person refuses to give consent; and 
      • The intervention is the least restrictive. 
    • To distribute investigative findings that may help authorized agencies in the performance of their duties and the protection of the adult. 
  • When allegations of abuse, neglect, or exploitation are accepted and the individual is no longer in Kentucky, the SSW will request a courtesy visit from APS or a designated agency where the adult is currently located. Please see the link to the National Adult Protective Services Association (NAPSA) to find state contact information. 9
  • If a caretaker, guardian, or facility representative/operator fails to cooperate with an investigation, the SSW or FSOS may seek assistance from law enforcement.
  • For purposes of carrying out an investigation, a search warrant may be issued if conditions are met per KRS 209.030(8).
    • ​Approval is needed by the service region administrator (SRA) or designee; and
    • DCBS should consult with the Office of Legal Services (OLS).
    • Search warrants are served by a law enforcement officer.  

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Procedure

The SSW:
  1. Adheres to the following timeframes for initiation of an investigation: 1 
    1. Within four (4) hours of the receipt of the report if the adult’s condition presents a substantial risk of death or immediate and serious physical harm; 
    2. Within forty-eight (48) hours of receiving the report if the adult is not in a state of emergency.; and 
    3. Within forty-eight (48) hours of receiving th​e report if the alleged adult abuse or neglect resulted in the death of an adult. 
  2. Is required to have face-to-face contact with the reported victim(s) to initiate an APS investigation when the allegations do not involve the death of an adult; 
  3. ​​​When investigating a report of alleged adult abuse or neglect that resulted in death, the following actions constitute initiation:
    1. ​​​​​Consultation with appropriate law enforcement; 
    2. Consultation with a coroner or doctor; 
    3. Collection of medical records; or 
    4. interviews with family members or collaterals.
  4. ​​​​Documents the legitimate attempts that have been made to locate the alleged victim(s) only after attempts at face-to-face contact within the required time frames have failed; 
  5. Completes an SDM® Safety assessment;
    1. ​Upon initial face-to-face, enter the information into TWIST within five (5) working days following the SSW's face-to-face contact with the adult; 
    2. Within five (5) working days of receipt of the referral if SSW is unable to make initiation; 
    3. Upon initiation of a second incident; 2 ​or 
    4. If one or more safety threats emerge at any point during the investigation, the SSW should complete a new safety assessment (also known as a safety reassessment). A safety reassessment is required only if there is a change in safety circumstances (improvements​​​ or worsening).
  6. Completes reports in the county where the adult victim resides; 3
  7. Completes an onsite request to another county or region for information regarding an investigation to obtain:
    1. Interviews; 
    2. Police reports; 
    3. Hospital or other medical records; and 
    4. Legal documentation (from the courthouse, etc.). 
  8. Completes case consultation with FSOS or designee;4
  9. Completes the investigation and assessment of SDM® risk on the Assessment Documentation Tool (ADT)  and submits to the FSOS for approval and signature within forty-five (45) working days after receipt of the investigation; and 
  10. At the completion of an investigation, if ongoing services are going to be provided, completes an APS prevention plan if an extension of a previous prevention plan is needed to assist the client with identified needs until a case plan can be negotiated. 5​

The FSOS: 

  1. May utilize an additional five (5) working days past the forty-five (45) working days for completion of the assessment to review, pend back for corrections, and approve.

​​

​​Contingencies and Clarifications

  • When a second incident is received during an open investigation, the SSW: 
    • Initiates the incident within specified timeframes based on the assigned program/subprogram; and 
    • Documents the details of the second incident in the chronology section of the ADT.

Request for an extension

If the investigative worker is unable to complete the assessment within forty-five (45) working days from receipt of the investigation, the SSW utilizes the following guidelines to determine 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 information available during an extension period that is necessary to a finding; 5​
    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 their work on the case. 6​
  2. If a second extension becomes necessary, it must be approved by the service region administrative 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; and 
  4. All approved extensions are documented in TWIST in the risk assessment conclusion section of the assessment.

Footnotes

  1. Timeframes are based upon claims from the reporting source and determination by the FSOS. 
  2. If a second incident is received before initiation of the original referral a second safety assessment is not required.  
  3. If a case needs to be opened, it remains in the county where the adult victim resides. 
  4. Utilization of the APS Investigation Case Consultation form will assist in strengthening outcomes for victims. 
  5. A finding should not be delayed waiting for a court determination. 
  6. APS findings are not contingent upon law enforcement’s findings. In cases in which law enforcement requests that APS delay determining a finding so that a law enforcement investigation is not compromised, APS staff should seek guidance from the regional office. 
  7. To guide the SSW's work with an adult they are encouraged to complete the risk assessment as soon as all needed information has been gathered. 
  8. Guidance for developing the prevention plan can be found in SOP 7.3 APS Prevention Planning​. 
  9. Every state has its own APS programs which vary in respect to the population served and scope of the program. The National Adult Protective Services Association (NAPSA)​ website provides information on each state's APS programs and mandatory reporting.​

Documents

Revisions

​8/29/22 Within four (4) hours one (1) hour of the receipt of the report if the adult’s condition presents a substantial risk of death or immediate and serious physical harm;

4/19/23 7.  Completes the investigation and assessment of risk on the adult assessment and submits to the FSOS for approval and signature within forty five (45) thirty (30) working days after initiation of the investigation​

4/19/23  If the investigative worker is unable to complete the assessment within forty five 45) thirty (30) working days (forty-five (45) calendar days) from receipt of the investigation, the SSW utilizes the following guidelines to determine the need to request an extension:

6/14/20​23 Practice Guidane

  • Initiation timeframes begin from the moment the central intake FSOS approves the report and assigns the report to the investigative FSOS in TWIST, intake SSW submits the report to the intake FSOS, or in after-hours situations, upon decision by the on-call FSOS to accept the report. 
​​​7.  Completes the investigation and assessment of risk on the adult assessment and submits to the FSOS for approval and signature within forty-five (45) working days after receipt initiation of the investigation; and 

The FSOS: 

  1. May utilize an additional five (5) working days past the forty-five (45) working days for completion of the assessment to review, pend back for corrections, and approve.

​
7/15/2024

  • If a caretaker, guardian, or facility representative/operator fails to cooperate with an investigation, the SSW or FSOS may seek assistance from law enforcement.
  • For purposes of carrying out an investigation, a search warrant may be issued if conditions are met per KRS 209.030(8).
    • ​Approval is needed by the service region administrator (SRA) or designee; and
    • DCBS should consult with the Office of Legal Services (OLS).
    • Search warrants are served by a law enforcement officer.  ​
​​​C.  Within forty-eight (48) hours of receiving the report if the alleged adult abuse or neglect resulted in the death of an adult. 

​I2.  Is required to have face-to-face contact with the reported victim(s) to initiate an APS investigation when the allegations do not involve the death of an adult; 
3.  When investigating a report of alleged adult abuse or neglect that resulted in death, the following actions constitute initiation:
    1. ​​​​​Consultation with appropriate law enforcement; 
    2. Consultation with a coroner or doctor; 
    3. Collection of medical records; or 
    4. interviews with family members or collaterals.


​9.  Completes the investigation and assessment of SDM® risk on the Assessment Documentation Tool (ADT) adult assessment and submits to the FSOS for approval and signature within forty-five (45) working days after receipt of the investigation; and ​


Footnotes

2.  If a second incident is received before initiation of the original referral a second safety assessment is not required.  ​

7.  To guide the SSW's work with an adult they are encouraged to complete the risk assessment as soon as all needed information has been gathered. ​