OMB Control Number 0985-New

Expiration Date: XX/XX/XXXX

Appendix A: Inventory of Adult Protective Services Practices and Service 

Innovations

APS Practice Survey 

Purpose of Survey 

Under a contract with the Administration for Community Living (ACL), the national Adult Protective 

Services Technical Assistance Resource Center (APS TARC) is conducting a national program evaluation 

of adult protective services (APS) programs. As part of this evaluation, this survey has three primary 

objectives: 

• Identify practice variations in the way APS programs serve older adults and adults with 

disabilities (vulnerable adults). 

• Identify practice barriers to meeting policy mandates.

• Identify practice innovations and model programs that address such barriers and communityidentified needs.

While participation is voluntary, the goal is to have all states, district and territories complete the survey 

to develop a complete picture of APS programs across the country. 

Scope

This is a survey of APS programs in states, the District of Columbia, and U.S. territories. This includes 

investigations conducted by APS programs in the community and of providers (e.g., nursing facilities). 

This survey does NOT apply to activities conducted by licensing/regulatory agencies, even if those 

activities include investigation of abuse, neglect, and exploitation. 

Instructions

Geographic Variation

This survey is designed to be completed by state APS programs about the overall state program. Some 

APS programs are state administered, and some are administered through counties or other local units 

of government. There can be tremendous variation in practice across geographic jurisdictions, 

particularly within county administered programs but also within state administered programs. In many 

of the questions, this survey seeks to determine how consistent practice is across geographic 

jurisdictions in a state. 

Some questions ask about practice specifically on a statewide level. If a question begins with “Across 

the state or territory...”, answer it based on general practice across the state to the best of your 

knowledge. Throughout the survey, “statewide” refers to practice across the state or territory.

Some questions ask about the extent to which a practice varies in a state or territory by using the 

following categories of responses:
APS Practice Survey 2 

• All local offices statewide

• A majority of local offices

• Few local offices

• No local offices

• Don’t know

If a statewide policy guides a practice for a particular response, then select “All local offices statewide.” 

If there is no statewide policy, then answer based on the best of your knowledge about geographic 

variability. 

Consistency of Responses Within a Question

A single question may have multiple responses. In some questions, the selection of one response may 

dictate how the following responses should be answered. These questions are indicated by the 

following parenthetical reminder following the question: (Please ensure responses are consistent with 

each other.) In particular, when you select that a practice is statewide in one response, this may dictate 

how you should answer the additional responses. For example, in a question about use of assessment 

tools, if you indicate that a specialized assessment tool is used statewide in one response, then you 

would most likely indicate that a general assessment tool is used in no local offices in the next response. 

Pay special attention to the use of the word “only” in responses, which would impact the selection in 

the next response. 

General Instructions

Avoid selecting “Don’t Know” by making your best guess or, if possible, discussing the question with 

other state, territory, or local staff that may have insight. 

The survey includes many questions about the use of “tools”. A tool is more than simply a form to 

collect information; it is a structured document or process designed to assist the worker with decisionmaking at critical case junctures, such as evaluation of client cognitive capacity or level of risk.

Preparing to Complete the Survey

This survey is being sent to the APS administrator in each state and territory. It is not intended to be 

completed by county-level staff. 

Please designate a single point of contact to work with the APS TARC and coordinate with all necessary 

state and local staff to determine survey responses. 

The survey is divided into sections covering five aspects of APS programs: Administration, Intake, 

Investigation, Post-Investigation Services, and Quality Assurance. Some questions are repeated for each 

section and should be answered in the context of that aspect of APS practice. 

The estimated time to complete the survey is three and half hours, including time to research and 

compile the responses. 

Survey Navigation and Instructions

• Text may be pasted into text boxes or entered directly.

• Questions with asterisks require a response. You will not be able to move on to the next section

until you have responded to these questions.

• To the extent possible, avoid leaving questions blank or skipping questions that are not

required.
APS Practice Survey 3 

• Your responses in the web survey will be saved each time you advance to a new page. Your data

will remain intact, should you need to exit the survey and return. [Additional explanation may

be needed once the survey is programmed.]

• A pdf copy of the entire survey was emailed with the request to complete the survey. Please

use it to assist with preparing responses.

Assistance with the Survey

Please direct questions about the survey to the APS TARC at apstarc-ta@acl.hhs.gov. 

Thank you in advance for your participation in this important survey. 

Paperwork Reduction and Privacy

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of 

information unless it displays a currently valid OMB control number. Respondent identities and 

information will be kept private to the maximum extent allowable by law and the APS TARC Evaluation 

team will not attribute specific information provided to any individual providing a state response.
APS Practice Survey 4 

Background Information

*Please provide contact information for the person completing this survey. Except for the state name, 

this information will be used only for response clarification and will be not be associated with the final 

data set.

 State

 Name

 Title 

 Agency Name

 Email

 Phone #
APS Practice Survey 4 

1. Administration of APS

Introduction and Terminology 

This component of the survey collects information about the overall administration and workforce of 

APS program(s) and services. The terms state or territory office and local office are used regardless of 

whether there is a statewide program with service delivery at the local level or multiple local programs. 

1.1.* Please select the response which best describes how APS is conducted in your state or territory. 

[Select one] 

 State or Territory APS employees conduct investigations 

 Local (e.g., city/county) APS government employees conduct investigations 

 Local non-government (e.g., contract) employees conduct investigations

 Other (please explain): _____________________________________________________

1.2. How much control does the APS state or territory office have over local APS programs? [Select

one] 

 Limited: The state or territory office provides guidance but few if any requirements; 

local offices have discretion over most areas of casework practice. 

 Moderate: The state or territory provides a framework of requirements; local offices 

have discretion over some areas of casework practice. 

 Significant: The state or territory provides a framework of requirements; local offices 

have discretion over only few areas of casework practice. 

1.3. Across the state or territory, how does the state or territory office affect casework practice and 

support local offices? [Check all that apply]

 Conducts training programs

 Establishes training requirements

 Establishes policy that must be followed

 Provides some infrastructure supports such as information technology

 Provides expert consultation

 Administers funding and contracts

 Conducts research and evaluation

 Conducts performance monitoring/quality assurance

 None of the above

 Don’t know

 Other (please explain): _____________________________________________________

1.4. Across the state or territory, what is the minimal education requirement for APS investigation 

staff? [select one]

 High School Diploma

 Associate Degree

 Bachelor’s Degree

 Master’s Degree or equivalent experience

 None
APS Practice Survey 5 

 Varies by locality

 Don’t know

1.5. Across the state or territory, which of the following most accurately describes APS investigation 

staff? [Select one] 

 All investigation staff work only on APS cases

 Some investigation staff work only on APS cases while others may have responsibilities 

in other programs, such as Child Protective Services (CPS) 

 No investigation staff work only on APS cases; all work on other investigations also

 Don’t know

 Other (please explain): _____________________________________________________

1.6. Across the state or territory, how does the APS program protect the safety of APS investigators?

(Note: this does not apply to personal health but physical safety.)_[Select all that apply.]

 Law enforcement or other officials routinely accompany staff if needed

 APS investigative staff must be accompanied by other staff in certain circumstances to 

enhance safety.

 All staff use cell phones or other technology with specific safety-related features or 

functions. 

 APS investigative staff are restricted from conducting visits during certain times of the 

day

 All staff receive training on safety

 All staff utilize a tracking system (calendar, flow board, etc.) to indicate their location 

throughout the day

 None of the above

 Don’t know

 Other (please explain): ____________________________________________________

1.7. Does the APS program support the use of remote workers in each of the following ways? 

a

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Policy that allows for 

teleworking ☐ ☐ ☐ ☐ ☐

Provision of tools – such 

as mobile technology 

and remote access to IT ☐ ☐ ☐ ☐ ☐

systems – that support 

remote work.. 

Staff have the flexibility 

to do different types of 

work in different 

settings (e.g., ☐ ☐ ☐ ☐ ☐

documentation work at 

home).

Other: ☐ ☐ ☐ ☐ ☐
APS Practice Survey 6 

Click or tap here to 

enter text.

1.8. Does the APS worker training process include the following components or phases?

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Orientation to the job ☐ ☐ ☐ ☐ ☐

Supervised fieldwork ☐ ☐ ☐ ☐ ☐

Core competency 

training

☐ ☐ ☐ ☐ ☐

Advanced or specialized 

training

☐ ☐ ☐ ☐ ☐

1.9.* Please describe any significant barriers or obstacles to successful program administration as defined in the 

questions in this section.

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

1.10. Please describe any significant barriers or obstacles to hiring and retaining a quality workforce. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

a
APS Practice Survey 7 

1.11.* Please describe any significant improvements or innovations in administrative practice

introduced during the last three years. The innovations or improvements do not need to be 

statewide. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

1.12 Please describe any significant improvements or innovations in hiring and retaining workforce 

introduced during the last three years. The innovations or improvements do not need to be 

statewide. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________
APS Practice Survey 8 

2. Intake

Instructions 

For the purposes of this survey, intake (also known as pre-screening) is defined as the process of 

receiving reports of allegations of maltreatment, gathering information on the reports, reviewing 

reports to determine if they are appropriate for investigation (or referral to another agency), and 

assigning reports to staff for investigation. This step precedes the investigation.

2.1. Where are reports alleging maltreatment of adults received? 

 Primarily at the state or territory level for the entire state or territory and then assigned to 

local offices 





Primarily at the local level for the local community 

Both at the state or territory and local level 

2.2. Does the state or territory mandate use of a common intake form or checklist for all offices

receiving reports? 

 Yes

 No

2.2a. If yes, please provide the name of the intake tool and a brief description:

___________________________________________________________________________
APS Practice Survey 9 

2.3. Does APS accept reports with each of the following methods? (Please ensure responses are 

consistent with each other.)

All Local 

Offices 

Statewide

A Majority 

of Local 

Offices

Few 

Local 

Offices

No Local 

Offices Don't Know

Only General APS phone line 

for intake and other purposes ☐ ☐ ☐ ☐ ☐

Dedicated intake phone line 

with live personnel ☐ ☐ ☐ ☐ ☐

Dedicated intake phone line 

with recorded message ☐ ☐ ☐ ☐ ☐

Intake office/walk-in ☐ ☐ ☐ ☐ ☐

Online reporting form ☐ ☐ ☐ ☐ ☐

Fax ☐ ☐ ☐ ☐ ☐

Mail ☐ ☐ ☐ ☐ ☐

Email ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

2.3a. What hours does the state or territory dedicated intake phone line operate? [select one]

 24/7

 Only during normal business hours

 Don’t know 

 Other, please describe: 

________________________________________________________________________

 Normal business hours with limited weekend hours

a
APS Practice Survey 10

2.4. Is the intake process for only the APS program or does it include other programs? (Please ensure responses 

are consistent with each other.)

All Local Offices 

Statewide

A Majority of Local 

Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS only ☐ ☐ ☐ ☐ ☐

APS and other

programs

☐ ☐ ☐ ☐ ☐

2.5. What type of staff conduct intakes? (Please ensure responses are consistent with each other.)

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Only APS investigation 

staff ☐ ☐ ☐ ☐ ☐

Only dedicated intake 

specialists ☐ ☐ ☐ ☐ ☐

Both dedicated 

specialists and APS staff ☐ ☐ ☐ ☐ ☐

Other: 

Click or tap here to 

enter text. ☐ ☐ ☐ ☐ ☐

2.6. What type of staff make the intake determination (i.e., whether to refer an intake for investigation, refer an 

intake for information or referral, or screen out the intake)? (Please ensure responses are consistent with each 

other.)

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Dedicated intake 

specialists (if used) ☐ ☐ ☐ ☐ ☐

Intake Supervisors ☐ ☐ ☐ ☐ ☐

APS Investigation staff ☐ ☐ ☐ ☐ ☐

APS Supervisor ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to 

enter text.

☐ ☐ ☐ ☐ ☐

a

a

a
APS Practice Survey 11

2.7. What type of staff routinely assign reports to investigation staff? (Please ensure responses are consistent 

with each other.) 

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Intake staff ☐ ☐ ☐ ☐ ☐

Intake Supervisors ☐ ☐ ☐ ☐ ☐

APS Supevisor ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to ☐ ☐ ☐ ☐ ☐

enter text.

2.8. Does APS have partnership arrangements (including formal agreements or projects) with the medical 

community to help ensure reporting of maltreatment? (Examples would include out-stationing APS staff with 

medical providers or use of multi-disciplinary teams that may result in reporting.)

 Yes, there is a statewide partnership

 Varies, some localities have partnerships and some do not

 No, there are no partnerships

 Don’t know

2.9. Does APS have partnership arrangements (including formal agreements or projects) with the financial 

community (e.g., banks) to help ensure reporting of maltreatment? (An example would include training for bank 

personnel or agreed upon protocols for reporting financial abuse.)

 Yes, there is a statewide partnership

 Varies, some localities have partnerships and some do not

 No, there are no partnerships

 Don’t know

2.10 Please describe any variations in intake practices designed for specific populations, such as 

persons with disabilities or residents of facilities, served by the APS program. 

______________________________________________________________________________

____________________________________________________________________________

a
APS Practice Survey 12

2.11.* Please describe the most significant obstacles or problems in your intake process. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

2.12.* Please describe the most significant improvements or innovations you have implemented in 

your intake process in the last three years. The innovations or improvements do not need to be 

statewide. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________
APS Practice Survey 13

3. Investigation

Instructions 

For this survey, an investigation is defined as the process for gathering information in the field to make 

a finding about an allegation of abuse, neglect (including self-neglect), or exploitation, whether by a 

member of the community or by a provider, and collecting information for planning needed services for 

the client. A client is defined as the alleged or actual victim who is the subject of the investigation.

The questions in this section are organized according to following categories of investigatory activities: 

• Initiating the investigation

• Assessing the client’s circumstances

• Interviewing client, alleged perpetrators, and collaterals

• Consulting with supervisors and appropriate experts and teams

• Determining findings and communicating results

• Making service recommendations

Investigatory activities within these categories may overlap and differ from jurisdiction to jurisdiction. 

3.1.* Do you face any significant obstacles or problems in any of the following categories of APS 

investigatory practice? The obstacles or problems do not have to be statewide.

a. Initiating the investigation ☐ Yes ☐ No

If yes, describe: ___________________________________________________________

b. Assessing the alleged victim’s circumstances ☐ Yes ☐ No

If yes, describe: __________________________________________________________

c. Interviewing clients, alleged perpetrators, and collaterals ☐ Yes ☐ No

If yes, describe: __________________________________________________________

d. Consulting with supervisors and appropriate experts and teams ☐ Yes ☐ No

If yes, describe: __________________________________________________________

e. Determining findings and communicating results ☐ Yes ☐ No

If yes, describe: __________________________________________________________

f. Making service recommendations ☐ Yes ☐ No

If yes, describe: __________________________________________________________

3.2.* Have you made any significant improvements or innovations during the last three years in any of 

the following categories of APS investigatory practice? The innovations or improvements do not 

need to be statewide.

a. Initiating the investigation ☐ Yes ☐ No

If yes, describe: ___________________________________________________________
APS Practice Survey 14

b. Assessing the alleged victim’s circumstances ☐ Yes ☐ No

If yes, describe: __________________________________________________________

c. Interviewing clients, alleged perpetrators, and collaterals ☐ Yes ☐ No

If yes, describe: __________________________________________________________

d. Consulting with supervisors and appropriate experts and teams ☐ Yes ☐ No

If yes, describe: __________________________________________________________

e. Determining findings and communicating results ☐ Yes ☐ No

If yes, describe: __________________________________________________________

f. Making service recommendations ☐ Yes ☐ No

If yes, describe: __________________________________________________________

3.3. Please describe any variations in investigation practices designed for specific populations, such 

as persons with disabilities or residents of facilities, served by the APS program. 

_____________________________________________________________________________________

_____________________________________________________________________________________ 

3.4. Which of the following methods do APS investigative staff use to assess the emergency and/or 

immediate safety needs of clients? (Please ensure responses are consistent with each other.) 

All Local Offices 

Statewide

Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Professional judgment ☐ ☐ ☐ ☐ ☐

An emergency/

safety assessment tool ☐ ☐ ☐ ☐ ☐

A general assessment 

tool, not specific to ☐ ☐ ☐ ☐ ☐

emergency/safety 

Other:

Click or tap here to 

enter text. ☐ ☐ ☐ ☐ ☐

3.4.a. If applicable, please provide the name and a brief description of the emergency/safety 

assessment tool or general assessment tool: _________________________________________

______________________________________________________________________________

a
APS Practice Survey 15

3.5. When the APS investigation determines an emergency intervention is necessary to address 

immediate safety or emergency needs, which of the following emergency interventions are 

available to APS investigative staff? 

All Local A Majority Few 

Offices of Local Local No Local Offices Don't Know

Statewide Offices Offices

Emergency out-of-home 

placement ☐ ☐ ☐ ☐ ☐

APS purchase of good or 

services such as medicine ☐ ☐ ☐ ☐ ☐

or utility bills

Immediate access to

petitioning for

temporary/emergency ☐ ☐ ☐ ☐ ☐

orders

Other:

Click or tap here to enter 

text. ☐ ☐ ☐ ☐ ☐

a
APS Practice Survey 16

Explanatory Note for Questions 3.6 and 3.7: One of the key aspects of an APS investigation is the 

assessment of the client. The following questions ask about which aspects of client health and wellbeing are systematically assessed by a defined process. 

3.6. Which are of the following aspects of the client’s health and well-being are APS 

investigation staff required to systematically assess?

All Local 

Offices 

Statewide

A Majority of 

Local Offices

Few 

Local 

Offices

No Local 

Offices Don't Know

Informal support systems (e.g., 

family caregiving) ☐ ☐ ☐ ☐ ☐

Formal support systems (e.g., 

arranged social service supports) ☐ ☐ ☐ ☐ ☐

Financial status ☐ ☐ ☐ ☐ ☐

Mental health status ☐ ☐ ☐ ☐ ☐

Physical health status ☐ ☐ ☐ ☐ ☐

Environmental conditions ☐ ☐ ☐ ☐ ☐

Specific client goals to address the 

abuse, neglect (including self- ☐ ☐ ☐ ☐ ☐

neglect) or exploitation

Other

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

a
APS Practice Survey 17

3.7. Across the state or territory, indicate how APS investigation staff are trained or equipped to 

assess the client’s health and well-being in each of the areas listed below. 

3.7.a. (If “Use of assessment tool” is selected) Please provide the name and brief description of the 

assessment tool(s):

_____________________________________________________________________________________ 

_____________________________________________________________________________________ 

 Only general social work training

 Only specific APS training

 Use of an assessment tool

 Other (please describe)
APS Practice Survey 18

3.8. When APS investigation staff assess the physical health and well-being of the client, what

medical staff are available, either on staff or consulting basis, to assess or assist with the 

assessment of health status of the client? 

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

Nurses ☐ ☐ ☐ ☐ ☐

Nurse practitioners/

physician assistants ☐ ☐ ☐ ☐ ☐

Physicians ☐ ☐ ☐ ☐ ☐

Mental health 

professionals ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to 

enter text. ☐ ☐ ☐ ☐ ☐

None ☐ ☐ ☐ ☐ ☐

3.8.a (if “All Local Offices Statewide” is selected) Are these staff available as part of a forensic medical 

network available across the state or territory? 

Explanatory Note for Questions 3.9 and 3.10: 

Cognitive Capacity - an assessment of the individual's abilities to form rational decisions, specifically the 

individual's ability to understand, appreciate, and manipulate information and form rational decisions.

Competency - a legal term referring to individuals “having sufficient ability... possessing the requisite

natural or legal qualifications” to engage in a given endeavor, as determined by a court. 

3.9. If the APS investigative staff believes the client may have a reduced cognitive capacity, how do 

they conduct an initial screening of cognitive capacity? (Please ensure responses are consistent with 

each other.)

All Local 

Offices 

Statewide

A Majority 

Of Local 

Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

As part of general 

assessment of well-being 

only

☐ ☐ ☐ ☐ ☐

Use a assessment tool/

process specific for 

assessing cognitive 

capacity

☐ ☐ ☐ ☐ ☐

3.9.a If a specific assessment tool/process for assessing cognitive capacity is used across the state or 

territory, please provide the name and a brief description: 

______________________________________

 Yes  No No

a

a
Other: 

APS Practice Survey 19

_____________________________________________________________________________________

3.10. If the initial assessment of the client indicates reduced cognitive capacity, which of the following 

resources does the APS program use to inform the court’s determination of the 

legal competency of the client? (Please ensure responses are consistent with each 

other.) 

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

APS does not help assess 

competency ☐ ☐ ☐ ☐ ☐

APS has licensed 

professionals on staff to 

help assess competency

☐ ☐ ☐ ☐ ☐

APS has contracts with 

licensed professionals to 

help assess competency ☐ ☐ ☐ ☐ ☐

APS reaches out to non-contract 

community professionals to help 

assess competency ☐ ☐ ☐ ☐ ☐

☐ ☐ ☐ ☐ ☐

3.11. Across the state or territory, how does APS ensure high quality interviews by investigative staff? 

[select all that apply]

 Teach interview skills in APS investigator orientation training

 Provide specialized, focused in-service training on interview skills on a regular basis

 Other, please specify: ____________________________________________________

 None of the above

3.12. Which of the following describes APS participation with multi-disciplinary teams? [select one] 

 It is a state- or territory-mandated requirement for the APS program 

 It is not a state- or territory-mandated requirement, but certain local offices participate in 

them

3.13. Across the state or territory, how does APS decide what types of cases are referred to multi-disciplinary 

teams? [Select one.]

 Caseworker/supervisor decide based on case complexity

 Based on pre-defined criteria that certain types of cases are referred 

APS staff rely only on a 

tool to assess 

competency.

Other: 

Click or tap here to enter 

text. ☐ ☐ ☐ ☐ ☐

 Based on the high-profile nature of the case (e.g., a case with media attention)

a

a
APS Practice Survey 20

 Other, please specify: ____________________________________________________

 Not applicable, APS does not participate in MDTs in this state or territory 

3.14. Please indicate which of the following investigation interview protocols or standards are used. (Please 

ensure responses are consistent with each other.)

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

Interviews are 

electronically recorded ☐ ☐ ☐ ☐ ☐

Interviews are 

documented with 

exact quotes in ☐ ☐ ☐ ☐ ☐

documentation

Interviews are 

summarized in ☐ ☐ ☐ ☐ ☐

documentation

Interviews are 

summarized in signed ☐ ☐ ☐ ☐ ☐

interview statements

Interviews are not 

documented ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to 

enter text. ☐ ☐ ☐ ☐ ☐

3.15. Please indicate which of the following investigation evidence collection protocols or standards are used. 

(Please ensure responses are consistent with each other.)

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

APS investigators 

collect and preserve ☐ ☐ ☐ ☐ ☐

physical evidence

APS investigators 

document – making 

copies or taking 

photographs - physical ☐ ☐ ☐ ☐ ☐

evidence but do not 

collect and preserve it

APS does not collect or 

document physical ☐ ☐ ☐ ☐ ☐

evidence

Other:

Click or tap here to ☐ ☐ ☐ ☐ ☐

enter text.

a

a
APS Practice Survey 21

3.16. Does APS have protocols or partnership agreements with any of the following communities to 

improve investigations through coordination and access to records? 

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

Medical community ☐ ☐ ☐ ☐ ☐

Financial community ☐ ☐ ☐ ☐ ☐

Law enforcement ☐ ☐ ☐ ☐ ☐

Any other 

community: 

Click or tap here to ☐ ☐ ☐ ☐ ☐

enter text.

3.17. Across the state or territory, which of the following organizations does the APS state or territory office have 

written agreements (such as a memorandum of understanding) with related to investigations in congregate/provider 

settings (e.g., nursing facilities, home health agencies)? [Select all that apply.]

 APS program does not investigate in congregate or provider settings

 State Long-term Care Ombudsman

 State licensing programs or other regulatory bodies

 Law enforcement

 Medicaid Fraud Control Unit

 Protection and Advocacy agency

 Other, please specify: ____________________________________________________ 

 Tribal communities

a
APS Practice Survey 22

3.18 In which of the following areas do APS investigative staff have access to expert consultation 

resources/professionals from outside the APS program?

All Local Offices 

Statewide

A Majority of

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Legal ☐ ☐ ☐ ☐ ☐

Medicine ☐ ☐ ☐ ☐ ☐

Mental/behavioral

health ☐ ☐ ☐ ☐ ☐

Forensic science ☐ ☐ ☐ ☐ ☐

Forensic accounting ☐ ☐ ☐ ☐ ☐

Finance/accounting ☐ ☐ ☐ ☐ ☐

Cultural competency ☐ ☐ ☐ ☐ ☐

Domestic violence ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to 

enter text. ☐ ☐ ☐ ☐ ☐

3.19. Across the state or territory, are there any local offices in which the following types of 

specialized APS units or staff are available? [Select all that apply.]

 Units/staff focused on allegations of financial exploitation

 Units/staff focused on allegations involving congregate settings or other provider investigations

 Legal counsel

 None of the above

 Units/staff focused on other specific types of investigations, please specify: 

________________________________________________________________________

 Units/staff focused on other specific types of investigations, please specify

a
APS Practice Survey 23

3.20. Across the state or territory, what is the degree of supervisor involvement at each of the following case 

junctures?

Involved In 

All Cases

Involved In 

Some Cases

Involved In Few 

or No Cases Don’t know

Intake ☐ ☐ ☐ ☐

Case assignment ☐ ☐ ☐ ☐

Investigation planning ☐ ☐ ☐ ☐

If legal intervention is being ☐ ☐ ☐ ☐

considered

Determining the investigation ☐ ☐ ☐ ☐

findings

Service provision planning ☐ ☐ ☐ ☐

At case closure ☐ ☐ ☐ ☐

Other:

Click or tap here to enter text. ☐ ☐ ☐ ☐

3.21. Across the state or territory, what types of notice and review does APS provide to the perpetrator? 

[Select all that apply.]

 Notification of allegations in all investigations

 Notification of disposition decision in all investigations

 When requested and allegations are substantiated, administrative review of the findings by 

program staff such as a supervisor

 When requested and allegations are substantiated, judicial review of the findings by a hearing 

officer or court

 No notice or review given in any cases

 Other, please specify: ____________________________________________________ 

3.22. Across the state or territory, does the APS program make distinctions in the types of notice and review 

provided to perpetrators depending on the type of the alleged perpetrator (e.g., family member or professional)?

 Yes 

 No

3.22.a. If yes, describe the notice and review:

_____________________________________________________________________________________ 

3.23. Across the state or territory, does APS have a formalized practice, process, or tool for 

determining findings of an investigation? 

a 

 Yes

 No

a

a
APS Practice Survey 24

3.23.a. If yes, describe the notice and review: 

_____________________________________________________________________________________

Explanatory note for 3.25 through 3.26: For purpose of this survey, the planning of services to address 

abuse, neglect (including self-neglect), or exploitation is considered part of the investigation. Delivery of 

services is covered in the post-investigative services section. 

3.24. To ameliorate factors contributing to abuse, neglect (including self-neglect) or exploitation, does 

APS provide or arrange for services for the following: 

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Alleged victims ☐ ☐ ☐ ☐ ☐

Substantiated victims ☐ ☐ ☐ ☐ ☐

Perpetrators ☐ ☐ ☐ ☐ ☐

Caregivers ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to enter 

text. ☐ ☐ ☐ ☐ ☐

3.25. How do APS staff decide whether services are needed to address the abuse, neglect 

(including self-neglect) or exploitation? (Please ensure responses are consistent with each 

other.)

All Local Offices A Majority of Few Local No Local Don't 

Statewide Local Offices Offices Offices Know

APS staff use a tool that 

determines whether services 

are needed. Please provide the 

name and a brief description of 

the tool:

☐ ☐ ☐ ☐ ☐

APS staff use only professional 

judgment to determine 

whether services are needed

☐ ☐ ☐ ☐ ☐

APS staff use specific criteria 

to determine whether services ☐ ☐ ☐ ☐ ☐

are needed

APS staff consult with legal or 

other experts ☐ ☐ ☐ ☐ ☐

a

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APS Practice Survey 25

Other: 

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

3.26. Which of the following methods does APS use to develop service plans? (Please ensure the first two responses 

are consistent with each other.)

All Local 

Offices 

Statewide

A Majority 

of Local 

Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Develop formal (e.g., documented, 

written) service plans ☐ ☐ ☐ ☐ ☐

Use a specific service planning tool. 

Name of tool: 

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

Use input from the client to help 

identify the appropriate interventions ☐ ☐ ☐ ☐ ☐

Use input from family

members/caregivers to help identify 

appropriate ☐ ☐ ☐ ☐ ☐

interventions

Use a structured approach to 

consider the client’s concepts ☐ ☐ ☐ ☐ ☐

of safety and good outcomes

Use a structured approach for the 

client to help identify the factors that ☐ ☐ ☐ ☐ ☐

influence intervention risk and needs

The client formally agrees to the plan 

by signing it or by other means ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

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APS Practice Survey 26

4. Post-investigation/Services

Introduction 

The following questions explore how the APS program provides or arranges for services to ameliorate 

maltreatment after an investigation is complete. 

4.1 Does APS provide post-investigation services as defined in the introduction to this section? 

[Select one.]

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in a few local offices

 No, in no local offices

 Don’t know

4.2. Are there specialized APS staff that are responsible for only post-investigation services and not conduct 

investigations? [Select one.]

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in a few local offices

 No

 Don’t know

4.3. Does APS purchase services directly for clients? [Select one.]

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in a few local offices

 No

 Don’t know
APS Practice Survey 27

4.4. Across the state or territory, for each of the following services for APS clients, please select the 

mechanism by which services are primarily available. 

Provided Directly Purchased Referred By Varies By Is Not 

By APS Staff By APS APS Locality Available

Representative Payee ☐ ☐ ☐ ☐ ☐ 

Money 

management/financial ☐ ☐ ☐ ☐ ☐ 

planning services

In-home support services ☐ ☐ ☐ ☐ ☐ 

Medical services ☐ ☐ ☐ ☐ ☐ 

Placement in a licensed 

facility ☐ ☐ ☐ ☐ ☐ 

Caregiver support services ☐ ☐ ☐ ☐ ☐ 

Community day services ☐ ☐ ☐ ☐ ☐ 

Emergency financial 

assistance and material aid ☐ ☐ ☐ ☐ ☐ 

services

Housing and relocation 

services ☐ ☐ ☐ ☐ ☐ 

Legal services ☐ ☐ ☐ ☐ ☐ 

Dental services ☐ ☐ ☐ ☐ ☐ 

Medical rehabilitation 

services ☐ ☐ ☐ ☐ ☐ 

Mental health services ☐ ☐ ☐ ☐ ☐ 

Nutrition ☐ ☐ ☐ ☐ ☐ 

Substance use services ☐ ☐ ☐ ☐ ☐ 

Transportation ☐ ☐ ☐ ☐ ☐ 

Environmental services 

(i.e., cleanup of ☐ ☐ ☐ ☐ ☐ 

house/yard)

Other services:

Click or tap here to enter 

text. ☐ ☐ ☐ ☐ ☐ 
APS Practice Survey 28

4.5. Which of the following alternatives to guardianship are encouraged based on training and/or policy?

All Local A Majority of Few Local No Local Don't 

Offices Local Offices Offices Offices Know

Substitute decision-makers in which 

someone assumes responsibility to 

make decisions for a person who is ☐ ☐ ☐ ☐ ☐

not able to make his or her own 

financial or health care decisions. 

Supported decision-making which is a

process of supporting and 

accommodating an adult with a 

disability to enable the adult to make 

life decisions, such as living and work ☐ ☐ ☐ ☐ ☐

arrangements and services, supports, 

and medical care the adult wants to 

receive, without impeding the selfdetermination of the adult.

Power of Attorney ☐ ☐ ☐ ☐ ☐

Advanced directives ☐ ☐ ☐ ☐ ☐

Other alternatives:

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

4.6. How does APS monitor the status of clients receiving post-investigation services provided directly or

arranged by APS? (Please ensure responses are consistent with each other.)

All Local A Majority of Few Local No Local Don't 

Offices Local Offices Offices Offices Know

The status of clients receiving 

services is not monitored ☐ ☐ ☐ ☐ ☐

APS staff make contacts directly 

with clients ☐ ☐ ☐ ☐ ☐

Providers, not APS, make 

contacts directly with clients ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

a

a
APS Practice Survey 29

4.7. How do APS staff determine the frequency/amount of contacts for monitoring post-investigation service 

provision and status of clients? (Please ensure responses are consistent with each other.)

All Local A Majority of Few Local No Local Don't 

Offices Local Offices Offices Offices Know

The number of contacts is based 

only on professional judgment ☐ ☐ ☐ ☐ ☐

All clients receive the same 

number of contacts ☐ ☐ ☐ ☐ ☐

The number of contacts is based 

on an assessment tool ☐ ☐ ☐ ☐ ☐

Other:

Click or tap here to enter text. ☐ ☐ ☐ ☐ ☐

4.7.a. Please provide the name and a brief description of the assessment tool: 

_____________________________________________________________________________________ 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS staff may be appointed as 

emergency/temporary guardians ☐ ☐ ☐ ☐ ☐

APS may petition for 

guardianship but may not serve 

as guardians

☐ ☐ ☐ ☐ ☐

APS staff may be appointed as 

permanent guardians ☐ ☐ ☐ ☐ ☐

APS contracts with guardianship 

providers ☐ ☐ ☐ ☐ ☐

APS makes referrals to public 

guardianship programs ☐ ☐ ☐ ☐ ☐

APS does not involve itself in 

guardianship proceedings ☐ ☐ ☐ ☐ ☐

4.8. What is the relationship of the APS program to guardianship services? (Please ensure responses are 

consistent with each other.)

APS makes referrals to private 

guardianship programs ☐ ☐ ☐ ☐ ☐

a

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APS Practice Survey 30

4.9. Please describe any variations in practices for post-investigation services designed for specific 

populations, such as adults with disabilities or investigations of facilities, served by the APS 

program: ____________________________________________________________________

____________________________________________________________________________

4.10.* Please describe the most significant current obstacles or problems in your post-investigation 

services. 

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

4.11.* Please describe the most significant improvements or innovations that you have made in your 

post-investigation services in the last three years. The innovations or improvements do not need 

to be statewide.

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________
APS Practice Survey 31

5. Quality Assurance

For this survey, quality assurance is the process of ensuring that staff practices meet standards 

set by the program. Quality assurance involves the documentation, supervision, review, and 

improvement of activities and functions conducted by program staff.

5.1. Which of the following methods does APS use to ensure high quality casework? 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Standardized 

documentation ☐ ☐ ☐ ☐ ☐

requirements

Periodic review of all or a subset 

of documentation by supervisors ☐ ☐ ☐ ☐ ☐

Frequent supervisory interaction 

with all caseworkers ☐ ☐ ☐ ☐ ☐

“Case staffings” such as periodic 

review of documentation in a 

subset of cases by staff other 

than a worker’s direct supervisor

☐ ☐ ☐ ☐ ☐

Systematic review of a subset/

sample of cases by independent 

case reviewers

☐ ☐ ☐ ☐ ☐

Other ☐ ☐ ☐ ☐ ☐

5.1.a. Across the state or territory, does APS use a standard form to conduct systemic review of cases:

 Yes

 No

5.1.b. Please provide a brief description of the standard form to conduct systemic review of cases: 

_____________________________________________________________________________________

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APS Practice Survey 31

5.2. What specific aspects of casework are supervisors required to approve? 

Screen out (not accept) a report 

or investigation

Disposition of an allegation of 

maltreatment

All Local 

Offices

☐

☐

A Majority 

of Local 

Offices

☐

☐

Few Local

Offices

☐

☐

No Local 

Offices

☐

☐

Don't 

Know

☐

☐

Referring a case to law 

enforcement ☐ ☐ ☐ ☐ ☐

Legal interventions ☐ ☐ ☐ ☐ ☐

Service plans ☐ ☐ ☐ ☐ ☐

Keeping investigations open for 

onger periods of time than typical

Case closure 

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

Other ☐ ☐ ☐ ☐ ☐

f

l

5.3. Across the state or territory, how does APS use data to manage/improve performance? [Check 

all that apply.] 

 Assess individual worker quality or performance as part of performance review

 Assess overall program performance (e.g., repeat case rate, caseloads) against established 

goals or benchmarks

 Assess the quality of critical aspects of casework (e.g., case duration, timelines of case 

initiation) against defined performance standards 

 Assess the effectiveness of policy and practice changes

 Report on performance to external and/or internal stakeholders (e.g. legislators, public 

annual report)

 Data is not used for performance management/improvement at the state or territory level 

5.4. Which of the following describes use of elder death review teams by APS? (An elder death 

review team is responsible for reviewing all or a sample of cases with deceased clients to determine how 

to improve APS practice.) [Select one.]

 It is a state- or territory-mandated requirement 

 It is not a state- or territory-mandated requirement but voluntarily used by the APS program

 None exist in the state or territory

5.5. At the state/territory level, which of the following results of APS investigations does the APS 

program routinely monitor or track to assess the impact of the program on client’s outcomes? 

[Select all that apply.]

 
APS Practice Survey 32

 If the client is safe and no longer in state of abuse, neglect (including self-neglect), or 

exploitation 

 How many clients receive guardianship

 How many clients receive placement in a facility

 How many perpetrators removed and/or referred to law enforcement

 How many referrals were made to regulatory programs to address provider concerns

 Repeat investigations of clients

 Recidivism of perpetrators

 Other

5.6.* Please describe the most significant current obstacles or problems in your quality assurance 

process?

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

5.7.* Please describe the most significant improvements or innovations that you have made in your 

quality assurance process in the last three years? The innovations or improvements do not need 

to be statewide.

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________