Ky.gov
Effective: 7/11/2025

A1.3 Acceptance Criteria

Legal Authority

Introduction

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​The Department for Community Based Services (DCBS) receives and investigates reports that allege abuse, neglect, and exploitation of a person when they meet the criteria of an adult as defined in  Kentucky Revised Statue (KRS), Chapter 209 Protection of Adults which states that adult refers to a person 18 years of age or older who, because of mental or physical dysfunction, is unable to manage his or her own resources, carry out the activities of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may need protective services. 

DCBS utilizes Structured Decision Making® (SDM®) assessment tools. The SDM® tools are a series of evidence-based assessments used at key points in adult protection casework to support staff to make consistent, accurate, and equitable decisions throughout the work with adults and families. The intake assessment tool has two components: screening and response priority. When a report alleging adult maltreatment is received at central intake (CI), the screening component supports an SSW's decision regarding whether the situation requires an adult protection response. Screening thresholds are based on legal and regulatory requirements. If a response is needed, the response priority assessment helps the SSW determine how quickly contact must be made with the adult to initiate​ an investigation.​


Practice Guidance

  • If a new allegation is received within 15 working days of the original allegation and is not in the same program/sub-program as the original allegation, the CI SSW may assess the new information as a second (2nd) incident to an existing referral.  Only one (1) second (2nd) incident can be attached to an intake, and only CI staff can add a second (2nd) incident to a report. 
  • A victim/perp pairing modification can only be added in the first 30 working days of an investigation/assessment and can only be added if it is directly related to the original maltreatment type.  The assigned SSW can add a victim/perp pairing.  
  • For all allegations involving adults who are not residents of Kentucky:
    • ​Allegations that occur in the state of Kentucky will be screened for acceptance based on the available information.  Residency will not be a factor for acceptance; 
    • If the same allegation has been accepted for investigation in another state, CI shall confirm and screen the report for does not meet; 
    • Allegations that did not occur in the state of Kentucky will be referred to the state in which the incident occurred; and 
    • If allegations occur in another state for a Kentucky resident, the other state may screen the allegation to determine if a referral is warranted. If it is screened out as a referral, then Kentucky may screen and accept the investigation.
  • ​CI assigns reports to the county where the adult resides, except in cases where allegations of abuse, neglect, or exploitation are made for a non-resident. Referrals involving non-residents are assigned to the county where the allegations occurred. Considerations may be given to the county of assignment when the adult is in an alternative longer-term placement. Examples may include alternate care facilities, hospital stays that exceed typical time frames, psychiatric hospitals, etc.


Procedure


  1. Staff should follow the criteria outlined and defined within the KY SDM® Intake Assessment Manual to determine if reported allegations meet the criteria for investigation. Corresponding legal authority is listed for each portion of the acceptance criteria outlined within the SDM® manual. 
  2. Please be aware that the example items included in the SDM® manual are not all-inclusive and may include other acts that the FSOS deems appropriate. 
  3. Reports that do not meet the criteria for an investigation may be linked to resources and services that will meet the needs of the adult.
  4. Accepts an interdisciplinary evaluation report (IDT) from the court for services when an adult is alleged to be partially disabled or disabled as referenced in KRS 387.540 and abuse, neglect, or exploitation are not alleged (IDT is a court order that is prescreened before the SDM® is utilized). ​

​I.   Abuse Criteria​​​​

​​​
Adult Abuse Legal Rationale:  KRS 209.020 and 922 KAR 5:070
(4) Adult means a person eighteen (​18) years of age or older who, because of mental or physical dysfunctioning, is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may be in need of protective services: 
(8) Abuse means the infliction of injury, sexual abuse, unreasonable confinement, intimidation, or punishment that results in physical pain or injury, including mental injury; 

922 KAR 5:070 
(7) The Cabinet for Health and Family Services (CHFS/Cabinet) shall initiate an investigation upon acceptance of a report of: 
(a) Abuse if the report alleges the adult: 
  1. ​Being hit in a critical area of the body, such as the head, face, neck genitals, abdomen, or kidney area; 
  2. Has an injury that:
  3. Was inflicted by another person; or 
  4. Is of unknown origin in a critical area of the body.  
  5. Was sexually abused; 
  6. Was subjected to unreasonable confinement;
  7. Was subjected to intimidation; or 
  8. Received a punishment that resulted in pain, injury, or mental injury.  
(9) “Mental injury” means a negative impact on the emotional or psychological state of the adult that is inconsistent with an individual’s medical care and:
(a) Requires medical or therapeutic treatment;
(b) Is manifested by a behavioral change; or 
(c) Causes the person to feel fear, distress, humiliation, or ridicule.
(13) “Unreasonable confinement” means the unnecessary restriction of an adult’s movement through physical or chemical restraints or the unnecessary isolation of an individual.  

II. Adult Self Neglect​​

​
​​Adult Self Neglect Legal Rationale:  KRS 209.020 and 922 KAR 5:070

KRS 209.020
(4) Adult means a person eighteen (18) years of age or older who, because of mental or physical dysfunctioning, is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may need protective services: 
(16) Neglect means a situation in which an adult is unable to perform or obtain for
himself or herself the goods or services that are necessary to maintain his or
her health or welfare, or the deprivation of services by a caretaker that is
necessary to maintain the health and welfare of an adult

922 KAR 5:070
(b) Neglect, of an adult that may result in harm to the health and safety of the adult in the following areas:
  1. ​Hygiene neglect, if the adult has physical symptoms that require treatment due to poor care as a result of:
    1. An act or omission by a caretaker; or
    2. The absence of a caretaker;
  2. ​Supervision neglect, if the reporting source has observed a physical health and safety risk to an adult resulting from a lack of necessary and appropriate supervision;
  3. Food neglect, if an adult shows symptoms of:
    1. ​Malnutrition;
    2. Dehydration;
    3. Food poisoning; or
    4. Lack of adequate food for a period of time that:
      1. ​​​​Results in physical symptoms; or
      2. Requires treatment;
  4. ​​Environmental neglect, if a serious health and safety hazard is present, and the adult or the adult's caretaker is not taking appropriate action to eliminate the problem; or
  5. Medical neglect, if the adult is not receiving treatment for an injury, illness, or disability that:
    1. ​Results in an observable decline in the adult's health and welfare;
    2. May be life-threatening; or
    3. May result in permanent impairment;

III. Caretaker Neglect Criteria 

Caretaker Neglect Legal Rationale:  KRS 209.020 and 922 KAR 5:070

KRS 209.020
(4) Adult means a person eighteen (18) years of age or older who, because of mental or physical dysfunctioning, is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may need protective services;

(6) Caretaker means an individual or institution who has been entrusted with or
who has the responsibility for the care of the adult as a result of family
relationship, or who has assumed the responsibility for the care of the adult
person voluntarily or by contract, employment, legal duty, or agreement;

(16) Neglect means a situation in which an adult is unable to perform or obtain for
himself or herself the goods or services that are necessary to maintain his or
her health or welfare, or the deprivation of services by a caretaker that is
necessary to maintain the health and welfare of an adult


922 KAR 5:070
(b) Neglect, as defined in KRS 209.020(16), of an adult that may result in harm to the health and safety of the adult in the following areas:
  1. ​​​Hygiene neglect, if the adult has physical symptoms that require treatment due to poor care as a result of:
    1. ​An act or omission by a caretaker; or
    2. The absence of a caretaker;
  2. ​Supervision neglect, if the reporting source has observed a physical health and safety risk to an adult resulting from a lack of necessary and appropriate supervision;
  3. Food neglect, if an adult shows symptoms of:
    1. ​Malnutrition;
    2. Dehydration;
    3. Food poisoning; or
    4. Lack of adequate food for a period of time that:
      1. ​​​Results in physical symptoms; or
      2. Requires treatment;
  4. ​Environmental neglect, if a serious health and safety hazard is present, and the adult or the adult’s caretaker is not taking appropriate action to eliminate the problem; or
  5. Medical neglect, if the adult is not receiving treatment for an injury, illness, or disability that:
    1. ​Results in an observable decline in the adult’s health and welfare;
    2. May be life-threatening; or
    3. May result in permanent impairment;
Resident-to-Resident Allegations in Alternate Care Settings

The initial focus of resident-to-resident allegations in alternate care settings is on potential neglect involving the facility.

The SSW:
  1. ​Asks the following questions, in addition to the normal intake questions, when a report is received of a resident-to-resident incident:
    1. ​Was there a physical or mental injury resulting from the incident?
    2. What is the cognitive status of the residents involved?
    3. Is there a history of incidents involving either of the residents?
    4. What actions were taken by the facility to protect from further incidents?

IV. Adult Exploitation Criteria

Adult Exploitation Legal Rationale:  KRS 209.020 and 922 KAR 5:070


KRS 209.020
(4) Adult means a person eighteen (18) years of age or older who, because of mental or physical dysfunctioning​, is unable to manage his or her own resources, carry out the activity of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may need protective services;
(9) Exploitation means obtaining or using another person's resources, including
but not limited to funds, assets, or property, by deception, intimidation, or
similar means, with the intent to deprive the person of those resources;

922 KAR 5:070
(c) Exploitation of an adult, as defined in KRS 209.020(9), if the report alleges:
  1.  Isolation from friends, relatives, or important information, such as:
    1. Screening telephone calls;
    2. ​Denying visitors; or
    3. Intercepting mail;
  2. ​Physical or emotional dependency;
  3. Manipulation;
  4. Acquiescence; and
  5. Loss of resources to a person in a position of trust to the alleged victim.

V. General Adult Services

General Adult Services Legal Rationale:  KRS 209.035, and 922 KAR 5:090


KRS 209.035
The Cabinet shall promulgate administrative regulations for the provision of general adult services to include uniform criteria for adult intake and appropriate and necessary service provision.

922 KAR 5:090

(8) "General adult services" means a voluntary preventive service aimed at:
(a) Assisting an adult to attain and function at the adult's highest level of self-sufficiency and autonomy; and
(b) Maintaining the adult in the community.

922 KAR 5:090

Section 2. Criteria for Intake and Assessment. 
  1. If a cabinet worker and the adult agree, an individual eighteen (18) years of age or older shall be eligible for general adult services if the individual:
    1. ​Is:
      1. Mentally or physically dysfunctional and not in an abuse, neglect, or exploitation situation; and
      2. Requesting the service or has directed the request for the service through another individual or agency;
    2. ​Is a victim as defined by KRS 209A.020(6); or
    3. Requests a transitioning service from out-of-home care within twelve (12) months of release from the cabinet's commitment.
  2. ​An individual sixty-five (65) years of age or older shall be eligible for general adult services if the individual is:
    1. Not mentally or physically dysfunctional; and
    2. Allegedly being abused, neglected, or exploited by a:
      1. ​Family member;
      2. Household member; or
      3. Caretaker.

VI.  Criteria for Reports that are not Accepted 


The FSOS may reject the following as a report for an adult protective services investigation:

  1. The reporting source does not provide sufficient information to determine that the alleged victim:
    1. ​Has a mental or physical dysfunction;
    2. Is unable to manage his/her own resources, carry out the activity of daily living, or protect himself from neglect, exploitation, or a hazardous or abusive situation without assistance from others; and
    3. Needs protective services;
  2. ​The reporting source reports caretaker neglect against state guardianship staff. Per KRS 210.290 (3) b the Cabinet shall not be assigned as a person's caregiver or custodian;
  3. Reports of spouse/partner abuse;
  4. There is insufficient information to identify or locate the adult, or explore leads to identify or locate the adult;
  5. A specific act of abuse, neglect, or exploitation is not alleged;
  6. The reporting source reports that an adult is improperly dressed for some activities, but the clothing deficiency does not result in harm to the well-being of the adult; 
  7. The reporting source reports that the caretaker provides nutritious food irregularly or in insufficient amounts, but there is no impairment in the health of the adult;
  8. The reporting source reports inadequate hygiene conditions that, although not optimal, do not adversely affect the well-being of the adult;
  9. The reporting source reports of threats to commit suicide;
  10. The adult’s right to self-determination and lifestyle issues are compromised with no allegation of abuse, neglect, or exploitation; 
  11. The report concerns a situation or specific incident that is currently being investigated and no new additional information or change in the adult's circumstances is communicated by the reporting source. 
  12. The report concerns an incident that has already been investigated in the past thirty (30) calendar days and no new or additional information or change in the adult's circumstances is communicated by the reporting source; or
  13. When a report does not meet the criteria for investigation, the SSW:
    1. ​Provides information about acceptance criteria to the individual making the report, if requested;
    2. Reviews reports not requiring investigation to determine if they can be referred; and 
    3. Enters the report as a resource linkage and documents the reason for not accepting the report; 

Criteria for Reports that are not Accepted Legal Rationale: 922 KAR 5:070. 
(5) If a report does not meet the criteria for investigation, the Cabinet may refer the reporting source to:

​(a) ​Community resources;

(b) General adult services in accordance with 922 KAR 5:090; or

(8) If a report alleging the exploitation of an adult does not meet criteria established in subsection (7)(c) of this section, the report may be referred to an appropriate authorized agency or community resource.

(9) The following criteria shall be used in identifying a report of adult abuse, neglect, or exploitation not requiring an adult protective service investigation:
(a) The report does not meet the statutory definitions of:
  1. ​Adult; and
    1. Abuse;
    2. Neglect; or
    3. Exploitation; or
(b) There is insufficient information to:
  1. ​Identify or locate the adult; or
  2. Explore leads to identify or locate the adult.

KRS 210.290

(3) When the Cabinet is appointed as a limited guardian, guardian, limited conservator, or conservator of a partially disabled or disabled person, the Cabinet shall not:
  1. ​​Assume physical custody of the person;
  2. Be assigned as the person's caregiver or custodian; or
  3. Become personally liable for the person's expenses or placement, or to third parties for the person's actions.

However, the Cabinet shall procure resources and services for which the person is eligible when
necessary and available.


Documents

Revisions

8/29/2022​

Acceptance Criteria for Mental Injury

  1. ​The SSW accepts a report of adult mental injury that alleges the following acts have occurred:

    1. ​Threats of violence against the adult or others;
    2. Threats with a weapon, including objects used as a weapon;
    3. Forced isolation or imprisonment, unreasonable confinement;
    4. Destruction or threats to destroy property and/or pets;
    5. Forcing to perform degrading acts;
    6. Controlling activities such as sleep, eating habits, access to money or social relationships;
    7. Verbal assaults and attacks on the adult's self-esteem, including name calling, insulting, degrading remarks, custody threats or threats to abduct/abscond with the child(ren);
    8. Stalking: or
    9. Intimidation.​
  2. This list is not all inclusive and may include other acts that the FSOS deems appropriate regarding adult mental injury.

6/14/2023 Delete
  • Allegations in an open investigation-When allegations are received on the adult that are not the same as the original allegations, but are received within thirty (30) working days of the original allegations, the SSW may take this as a second incident and include it in the original report.
6/14/2023 Addition: 
  • If a new allegation is received within fifteen (15) working days of the original allegation and is not in the same program/sub-program as the original allegation, the central intake (CI) SSW may add the new information to the existing report as a second (2nd) incident.  Only one (1) second (2nd) incident can be attached to an intake and only CI staff can add a second (2nd) incident to a report. 
  • A victim/perp pairing modification can only be added in the first thirty (30) working days of an investigation/assessment and can only be added if it is directly related to the original incident of reported maltreatment.  The assigned SSW can add a victim/perp pairing.  
    ​​Allegations involving adults who are not residents of Kentucky:
​3.  Reports that do not meet the criteria for an investigation may shall be referred appropriately linked to resources and services that will meet the needs of the adult. ​


3/21/2024

Addition: 

The Department for Community Based Services (DCBS) receives and investigates reports that allege abuse, neglect, and exploitation of a person when they meet the criteria of an adult based on the adult definition defined by Kentucky Revised Statue (KRS), Chapter 209 Protection of Adults​. This states that adult refers to a person eighteen (18) years of age or older who, because of mental or physical dysfunction, is unable to manage his or her own resources, carry out the activities of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may be in need of protective services. 

  1. The format of this section is designed so that staff may view the legal rationale along with DSBS's procedure for criteria.  
DCBS utilizes Structured Decision Making® (SDM) assessment tools. The SDM® tools are a series of evidence-based assessments used at key points in adult protection casework to support staff to make consistent, accurate, and equitable decisions throughout the work with adults and families. The intake assessment tool has two components: screening and response priority. When a report alleging adult maltreatment is received at central intake (CI), the screening component supports a SSW's decision regarding if the situation requires an adult protection response. Screening thresholds are based on legal, and regulatory requirements. If a response is needed, the response priority assessment assists the SSW to determine how quickly contact must be made with the adult to begin an investigation.​

(9) “Mental injury” means a negative impact on the emotional or psychological state of the adult that is inconsistent with an individual’s medical care and:
(a) Requires medical or therapeutic treatment;
(b) Is manifested by a behavioral change; or 
(c) Causes the person to feel fear, distress, humiliation, or ridicule.
(13) “Unreasonable confinement” means the unnecessary restriction of an adult’s movement through physical or chemical restraints of the unnecessary isolation of an individual.  

(9) “Mental injury" means a negative impact on the emotional or psychological state of the adult that is inconsistent with an individual's medical care and:

                (a) Requires medical or therapeutic treatment;

                (b) Is manifested by a behavioral change; or

                (c) Causes the person to feel fear, distress, humiliation, or ridicule.

(13) “Unreasonable confinement" means the unnecessary restriction of an adult's movement through physical or chemical restraints or the unnecessary isolation of an individual.  


alleging a loss of resources has occurred, the adult's funds, assets, or property are being wrongfully used, mismanaged, or misappropriated by a person in a position of trust and that individual is doing so through:

11. The report concerns a situation or specific incident that is currently being investigated and no new additional information or change in the adult's circumstances is communicated by the reporting source. ​

12. The report concerns an incident that has already been investigated in the past thirty (30) calendar days and no new or additional information or change in the adult's circumstances is communicated by the reporting source; or​​


Delete

  • Physical abuse, sexual abuse, mental injury, neglect, or exploitation of an adult, when the adult meets the definition of an adult defined by Kentucky Revised Statue (KRS), Chapter 209 Protection of Adults, which states:
  • Adult means a person eighteen (18) years of age or older who, because of mental or physical dysfunction, is unable to manage his or her own resources, carry out the activities of daily living, or protect himself or herself from neglect, exploitation, or a hazardous or abusive situation without assistance from others, and who may be in need of protective services.
  • Mental injury means a negative impact on the emotional or psychological state of the adult that is inconsistent with an individual’s medical care and:
    • ​​​Requires medical or therapeutic treatment;
    • Is manifested by a behavioral change; or
    • Caused the person to feel fear, distress, humiliation, or ridicule.
  • Unreasonable confinement means that the unnecessary restriction of an adult’s movement through physical or chemical restrains or the unnecessary isolation of an individual.
  1. Staff should follow the criteria outlined in the table below to determine whether or not a report meets criteria for investigation.  The format of this section is designed so that staff may view the legal rationale alongside of the agency’s procedures for the criteria.  Legal authority has been shaded in light blue to differentiate it from the SOP procedures.

  1. ​Forced sexual relations, including forced sex with others, animals, or foreign objects;​
​Unwanted fondling or touching;

Physical assault, including pushing, kicking, hitting, slapping, punching, strangling, pinching, burning, hair pulling, shoving, stabbing, shooting, beating, battering during pregnancy, striking with an object, and complaints of pain as a result of the assault;

Marks that are or have been observed on an adult that were allegedly inflicted by another individual;

  1. Rough handling, (ex: forced feeding, roughness when transferring individual from bed to chair or during bathing); 
  2. Inappropriate use of physical or chemical restraints;
  3. Threats of violence against the adult or others;
  4. Threats with a weapon, including objects used as a weapon;
  5. Forced isolation or imprisonment, unreasonable confinement;
  6. Destruction or threats to destroy property and/or pets;
  7. Forced to perform degrading acts;
  8. Controlling activities such as sleep, eating habits, access to money, or social relationships;
  9. Stalking; 
  10. Intimidation; or 
  11. Being hit in a critical area of the body, such as the head, face, neck, genitals, abdomen, or kidney area. 
    1. ​Unmet personal or medical needs, such as bedsores, malnourishment, dehydration, inappropriate clothing, poor hygiene, incorrect use of medication, lack of food or inadequate food;
    2. Refusing or being unable to access medical or mental health care/treatment;
    3. Living in an unsafe environment, such as fire/safety hazard, roach/rat/insect infested dwelling, condemned building;
    4. Living alone and in life threatening conditions;
    5. Being unable to manage own resources;
    6. New onset of confusion and/or disorientation;
    7. Attempts to commit suicide; or
    8. Hoarding.
  1. This list in not all inclusive and may include other acts that the FSOS deems appropriate regarding adult self neglect.  ​

  1. ​Abandonment or lack of supervision;
  2. Unmet personal or medical needs, such as bedsores, or incorrect administration of prescribed medication;
  3. Failure to provide adequate food or hydration;
  4. Adult has physical symptoms the require treatment due to poor hygiene as a result of an act or omission by the caretaker or the absence of the caretaker, and clothing is insufficient to meet the elements;
  5. Serious environmental health and safety hazards are present and the adult or the adult’s caretaker is not taking appropriate action to eliminate the problem;
  6. A lack of necessary and appropriate supervision has created physical health and safety risks to the adult;
  7. Forced isolation, unreasonable confinement; and
  8. Not obtaining needed mental health or medical services or permitting unnecessary pain

  1. Accepts a report for services for any of the following situations if the SSW and the adult (eighteen (18) years of age or older) agree:
    1. ​Physically or mentally dysfunctional, but is not being abused, neglected or exploited and is requesting services or in a situation in which services are requested at the direction of an individual through another individual or agency;
    2. An alleged victim of domestic violence who is requesting services; or 
    3. Transitioning from out-of-home care (OOHC) and released from commitment within the past twelve (12) months and requesting services for self-sufficiency;
  1. The alleged victim is under the age of eighteen (18) and not married to the alleged perpetrator at the time of the alleged abusive incident;

Victims of domestic violence might be served through community resources, offered by the Kentucky Coalition Against Domestic Violence.

7/11/2025

  1. The format of this section is designed so that staff may view the legal rationale along with DSBS's procedure for criteria.  
  2. Please be aware that the following list items are not all-inclusive and may include other acts that the FSOS deems appropriate. 
  1. Staff should follow the criteria outlined and defined within the KY SDM® Intake Assessment Manual to determine if reported allegations meet the criteria for investigation. Corresponding legal authority is listed for each portion of the acceptance criteria outlined within the SDM® manual. 
  2. Please be aware that the example items included in the SDM® manual are not all-inclusive and may include other acts that the FSOS deems appropriate. 
  3. Reports that do not meet the criteria for an investigation may be linked to resources and services that will meet the needs of the adult.
  4. ​Accepts an interdisciplinary evaluation report (IDT) from the court for services when an adult is alleged to be partially disabled or disabled as referenced in KRS 387.540 and abuse, neglect, or exploitation are not alleged (IDT is a court order that is prescreened before the SDM® is utilized). ​
  1. ​The SSW accepts a report of adult abuse that alleges the following acts have occurred: 
    1. ​​​​​​​​​​Injuries or complaints of pain that may be the result of: 
      1. ​​​​​​​Physical assault, including pushing, kicking, slapping, punching, strangling, pinching, burning, hair pulling, shoving, stabbing, shooting, beating, battering during pregnancy, striking with an object, and complaints of pain as a result of assault;
      2. An unknown origin when in a critical area (head, face, genitals, abdomen, or kidney areas);
      3. An aggressive action during care may include forced feeding, roughness when transferring from bed to chair, during bathing, etc.; or 
      4. Marks that are or have been observed on an adult that were allegedly inflicted by another individual. 
        1. Consider the status and functioning of the alleged adult perpetrator.  
    2.   Sexual contact or sexual activity that may be the result of:
      1. Lack of cognitive capacity to consent; 
      2. Unwanted fondling or touching;
      3. Unnecessary personal care; or 
      4. Forced contact.
    3. Conduct or behavior that results in involuntary seclusion that may be the result of:
      1. ​Controlling activities such as sleep, eating habits, access to money, or social relationships.  
      2. Forced isolation or imprisonment, restricting the adult’s ability to move within their environment (when not medically necessary); or
      3. Inappropriate use of physical or chemical restraints. 
    4. ​​Conduct or behavior used to evoke fear in the adult. May be the result of: 
      1. ​​Threats of violence against the adult or others; 
      2. Threats with a weapon, including objects used as a weapon;
      3. Destruction or threats to destroy property and/or pets; or 
      4. Stalking.
    5. Extreme or unusual conduct or behavior that is used to control or discipline the adult, resulting in pain, injury, or mental injury.  May be the result of: 
      1. Forced to perform degrading acts; or
      2. Degrading or inhumane treatment, such as taking away the adult’s bed due to incontinence. 
  1. ​The SSW accepts a report of adult self-neglect when alleged harm may occur to the adult’s health or welfare as a result of:
    1. Hygiene needs causing a decline that requires treatment or care, examples may include:
      1. ​​​Bedsores; or 
      2. Inappropriate clothing.
    2. The adult being unable to provide their own nutrition of food or liquids which results in physical symptoms or requires treatment.  Examples may include:​​
      1. Inadequate amounts or nutritional value, resulting in malnutrition or dehydration;
      2. Inability to prepare or procure food for safe ingestion; or 
      3. Insufficient resources for proper food storage, resulting in food poisoning or foodborne illness. ​
    3. ​The adult is unable to provide themselves with shelter that is free from serious health and safety hazards. Examples may include : 
      1. ​Living in an unsafe environment, such as a fire/safety hazard, roach/rat/insect infested dwelling, or condemned building; or
      2. Hoarding. 
    4. ​Adult being unable to seek or obtain medical treatment or rehabilitative care, resulting in an observable decline in health or welfare, injury, or long-term health effects.  Examples may include: 
      1. ​Incorrect use of medications;
      2. Refusing or being unable to access medical or mental health care/treatment; or 
      3. Attempts to commit suicide.
    5.  A lack of adequate supervision, causing potential safety threats that might threaten the adult's life or health.  Examples may include: 
      1. Being unable to manage own finances or resources; or 
      2. Wanders from home and is unable to identify themselves and/or home address. 
  1. The SSW accepts a report of caretaker neglect when alleging harm may occur to the adult's health or welfare as a result of;
    1. Hygiene needs causing a decline that requires treatment or care, because of an act or omission by the caretaker. Examples may include:
      1. ​​Bedsores; or 
      2. Insufficient clothing to meet the elements.  
    2. ​​​Adult lacking adequate nutrition of food or liquids due to an act or omission by a caretaker which results in physical symptoms or requires treatment.  Examples may include; 
      1. ​Inadequate amounts or nutritional value resulting in malnutrition or dehydration;
      2. The caretaker refuses to prepare or procure food for safe ingestion; or 
      3. Improper food storage that results in food poisoning or foodborne illness.
    3. ​Adult being without shelter that is free from serious health and safety hazards and the caretaker is not taking appropriate action to eliminate the problem. Examples may include;  
      1. Inadequate utilities and/or other access to resources required for the adult's medical or physical health;
      2. No access to water for drinking, cooking, or bathing;​
      3. Human or pet feces and/or urine in living areas;
      4. I​nfestation of bugs, rodents, or other pests; or
      5. Blocked pathways’ and exits.​
    4. ​The adult being without medical treatment or rehabilitative care for their conditions due to an act or omission by a caretaker, resulting in an observable decline in health or welfare, injury, or long-term health effects.  Examples may include: 
      1. ​Not obtaining needed mental health or medical services; 
      2. Permitting unnecessary pain;
      3. Improper use of equipment or deviations from established medical care protocols, resulting in injury; or  
      4. Refusal to administer and/or obtain needed medication(s).
    5. The lack of necessary and appropriate supervision due to an act or omission by the caretaker, causing potential safety threats that might threaten the adult's life or health. Examples may include: 
      1. Isolation in a manner that has restricted the adult from being able to move to safety (removal of wheelchairs, walkers, etc.); or 
      2. Aggressive incidents between residents.

Resident-to-Resident Allegations in Alternate Care Settings

The initial focus of resident-to-resident allegations in alternate care settings is on potential neglect involving the facility.​

The SSW:
  1. ​Asks the following questions, in addition to the normal intake questions, when a report is received of a resident-to-resident incident:
    1. ​Was there a physical or mental injury resulting from the incident?
    2. What is the cognitive status of the residents involved?
    3. Is there a history of incidents involving either of the residents?
    4. What actions were taken by the facility to protect from further incidents?
Resident-to-Resident Allegations in Alternate Care Settings

The initial focus of resident-to-resident allegations in alternate care settings is on potential neglect involving the facility.

The SSW:
  1. ​Asks the following questions, in addition to the normal intake questions, when a report is received of a resident-to-resident incident:
    1. ​Was there a physical or mental injury resulting from the incident?
    2. What is the cognitive status of the residents involved?
    3. Is there a history of incidents involving either of the residents?
    4. What actions were taken by the facility to protect from further incidents?
  1. ​The SSW accepts a report of exploitation if alleging a loss of resources has occurred, the adult's funds, assets, or property are being wrongfully used, mismanaged, or misappropriated by a person in a position of trust, and that individual is doing so through:
    1. ​Force, deception, or manipulation;
    2. Isolation from friends, relatives, or important information, such as screening phone calls, denying visitors, or intercepting mail;
    3. Compelling physical or emotional dependency; 
    4. Excessive charges for food, shelter, care, or services; or
    5. Unauthorized or fraudulent use of monies, resources, or assets;
Reports alleging exploitation by state guardianship staff should be screened for allegations of theft or misappropriation of the ward's funds as opposed to errors about fiduciary staff managing finances.​​
  1. ​The SSW:
    1. ​Accepts a report for services requested by an adult sixty-five (65) years of age or older, who is not physically or mentally dysfunctional, but is being abused, neglected, or exploited by a family member, household member, or caretaker;
  2. ​Accepts an interdisciplinary evaluation report (IDT) from the court for services when an adult is alleged to be partially disabled or disabled as referenced in KRS 387.540 and abuse, neglect, or exploitation are not alleged (IDT is a court order that is prescreened before the SDM​​® is utilized). 
  3. ​Accepts a report for services for an adult eighteen (18) years of age or older who is physically or mentally dysfunctional, but is not being abused, neglected, or exploited and is requesting services or in a situation in which services are requested at the direction of an individual through another individual or agency; 
  4. Accepts a report for services for an adult eighteen (18) years of age or older who is an alleged victim of domestic violence who is requesting services; or 
  5. Accepts a report for services for an adult eighteen (18) years of age or older who is transitioning from out-of-home care (OOHC) and released from commitment within the past twelve (12) months and requesting services for self-sufficiency. ​
KRS 387.922​
3. Interdisciplinary Report

(7) General adult services means a voluntary preventive service aimed at assisting:
​(a) An adult to attain and function at his highest level of self-sufficiency and autonomy; and
(b) In maintaining the adult in the community.

922 KAR 5:090

(8) "General adult services" means a voluntary preventive service aimed at:
(a) Assisting an adult to attain and function at the adult's highest level of self-sufficiency and autonomy; and
(b) Maintaining the adult in the community.

  1. ​If SSW and the adult agree, an individual eighteen (18) years of age or older shall be eligible for general adult services:
    1. ​If he is:
      1. Mentally or physically dysfunctional and not in an abuse, neglect, or exploitation situation; and
      2. Requesting the service or in a situation where service is requested at the direction of an individual through another individual or agency;
    2. ​If an allegation of abuse, neglect, or exploitation is made and the alleged perpetrator is a:
      1. Former spouse;
      2. Former cohabiting partner; or
      3. ​​Partner with a child in common.
    3. If he/she requests a transitioning service from out-of-home care within twelve (12) months of release from the Cabin​et’s commitment.
  2. ​An individual sixty-five (65) years of age or older shall be eligible for general adult services if he is:
    1. ​​Not mentally or physically dysfunctional; and
    2. Allegedly being abused, neglected, or exploited by a:
      1. ​Family member;
      2. Household member; or
      3. Caretaker.
922 KAR 5:090

Section 2. Criteria for Intake and Assessment. 
  1. If a cabinet worker and the adult agree, an individual eighteen (18) years of age or older shall be eligible for general adult services if the individual:
    1. ​Is:
      1. Mentally or physically dysfunctional and not in an abuse, neglect, or exploitation situation; and
      2. Requesting the service or has directed the request for the service through another individual or agency;
    2. ​Is a victim as defined by KRS 209A.020(6); or
    3. Requests a transitioning service from out-of-home care within twelve (12) months of release from the cabinet's commitment.
  2. ​An individual sixty-five (65) years of age or older shall be eligible for general adult services if the individual is:
    1. Not mentally or physically dysfunctional; and
    2. Allegedly being abused, neglected, or exploited by a:
      1. ​Family member;
      2. Household member; or
      3. Caretaker.​