Department for Community Based Services

Standards of Practice Online Manual

20.6 Investigations in Alternate Care Facilities

Cabinet for Health and Family Services

Department for Community Based Services
Division of Protection and Permanency
Standards of Practice Online Manual
Chapter 20-APS Investigations and Assessment
20.6 Investigations in Alternate Care Facilities

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Legal Authority/Introduction



The SSW: 

  1. Conducts investigations of alleged abuse, neglect and exploitation in all levels of alternate care;
  2. Is permitted to consult with service region or central office staff in any prevention or protection case;
  3. Uses the following considerations in addition to the guidelines in SOP 20.2 General Interviewing Guidelines when conducting investigations in alternate care settings: 
    1. May consult with a regional nurse consultant or a nurse service administrator when allegations of neglect involve complex medical or nursing issues;
    2. May consult with appropriate Office of Inspector General (OIG) staff when conducting joint investigations including the dietitian, pharmacist, or nurse;
    3. May refer to the OIG findings in support of DCBS conclusions when conducting joint investigations;
  4. Verbally shares these findings and recommendations with the facility administrator or designee when the investigation is completed and approved by the FSOS or designee;
  5. Shares the findings with the appropriate authorized agencies using the Notification of Protective Services Investigative Findings Reporting Form;
  6. Notifies the alleged perpetrator of the finding using the DPP-247 APS Unsubstantiated Investigation Notification Letter or the DPP-248 Adult Protective Services Substantiated Investigation Notification Letter;
  7. Sends notice of the finding, via the DPP-248 APS Substantiated Investigation Notification to the perpetrator: 
    1. By certified mail; or
    2. In person, with a witness signature to document that the perpetrator received the notice; 
  8. Sends a copy of the DPP-248 APS Substantiated Investigation Notification to:

    Office of the Ombudsman
    Performance Enhancement Branch
    Quality Assurance Section
    275 East Main Street, 1E-B
    Frankfort, KY 40621

    Or via e-mail
  9. May send a copy of the completed report to the authorized agency if requested.

Resident to Resident Allegations

The SSW: 

  1. Determines if neglect did occur; 
  2. Assesses the adult who committed the act if it is determined that neglect did not occur, but abuse or exploitation did;
  3. Assesses the resident’s capacity to understand and control his/her behaviors;
  4. Documents the findings as found and substantiated, if the adult who committed the act is found to be in control of his/her behaviors. 

Practice Guidance

  • DCBS is the lead investigative agency when the alleged victim meets the statutory requirements pursuant to KRS 209.020(4), including reports involving state operated facilities.


  • Allegations of resident to resident abuse are reported as adult abuse or exploitation only when the SSW determines through record review, interview and observation of the residents that the offending resident had the capacity to understand and control his behaviors.


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