According to the Paperwork Reduction Act of 1995, no persons are required to respond to a 

collection of information unless such collection displays a valid OMB Control Number. Public 

reporting burden for this collection of information is estimated to average 3.5 hours per 

response, including time for reviewing instructions, searching existing data sources, gathering 

and maintaining the data needed, and completing and reviewing the collection of information. 

The obligation to respond to this collection is required to obtain or retain benefit (P.L. 105-220 

Section 410 Workforce Investment Act). Send comments regarding the burden estimate or any 

other aspect of this collection of information, including suggestions for reducing this burden, to 

the U.S. Department of Health and Human Services, Administration For Community Living, 

Mary E. Switzer Building, Attention Stephanie Whittier Eliason, 330 C Street, SW, Washington,

D.C., 20201, or email Stephanie.whittiereliason@acl.hhs.gov and reference the OMB Control 

Number XXXXXXXXXX. Note: please do not return the completed 704 report to this address.

OMB Control Number 0970-XXXX

Expiration Date: XX/XX/XXXX

Appendix A: Inventory of Adult Protective Services (APS) Practices and 

Service Innovations

APS Practice Survey 
APS Practice Survey 1

Appendix A: Inventory of Adult Protective Services (APS) 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.

• 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 survey goal is to have all states and territories participate 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.

APS programs may be administered on a statewide or county basis. In this survey, “APS” refers to the 

statewide APS program or to county-based/local system in a state or territory. 

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

“Across the state...”, answer it based on what is general practice across the state. Throughout the 

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

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

categories of responses:

• All local offices statewide

• A majority of local offices

• Few local offices 

• Don’t know

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

Please try to 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. 

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

activities include investigation of abuse, neglect, and exploitation. 

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.
APS Practice Survey 2

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 

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. 

It will take approximately three and a half hours to complete the survey, 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, please avoid leaving questions blank or skipping questions that are not 

required.

• 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.]

Assistance with the Survey 

Please direct questions about the survey to Karl Urban at kurban@wrma.com

Thank you in advance for your participation in this important survey. 
APS Practice Survey 3

Background Information 

*Please provide contact information for the person completing this survey. This information will be used 

only for response clarification and will be not be associated with the final data set.

• 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 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.

 Complete: The state or territory fully controls local APS programs; local offices have no 

discretion over 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
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?

[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

 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? 

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 

non-office 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

Please describe: 

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 good administrative practice. 

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: ____________________________________________________________________

_____________________________________________________________________________
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, 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

 Don’t know

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:

All Local 

Offices 

Statewide

A Majority 

of Local 

Offices

Few 

Local 

Offices

No Local 

Offices Don't Know

General APS phone line (e.g., 1-

800 number) ☐ ☐ ☐ ☐ ☐

Dedicated intake phone line 

(e.g., 1-800 number) with live 

personnel 

☐ ☐ ☐ ☐ ☐

Dedicated intake phone line 

(e.g., 1-800 number) with 

recorded message

☐ ☐ ☐ ☐ ☐

Intake office/walk-in ☐ ☐ ☐ ☐ ☐

Online reporting form ☐ ☐ ☐ ☐ ☐

Fax ☐ ☐ ☐ ☐ ☐

Mail ☐ ☐ ☐ ☐ ☐

Email ☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

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: 

________________________________________________________________________
APS Practice Survey 10

2.4. Do intake staff receive only APS referrals or referrals for other programs as well?

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? 

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

APS investigation staff ☐ ☐ ☐ ☐ ☐

Specialized intake staff ☐ ☐ ☐ ☐ ☐

Both specialized and 

APS staff ☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

2.7. Which of the following staff can make the determination whether to refer a report for

investigation, refer a report for information or referral, or screen out the report?

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices Don't Know

Intake staff ☐ ☐ ☐ ☐ ☐

Intake Supervisors ☐ ☐ ☐ ☐ ☐

APS Investigation staff ☐ ☐ ☐ ☐ ☐

APS Supervisor ☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐
APS Practice Survey 11

2.8. Who assigns reports to investigation staff? 

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:

Please describe: ☐ ☐ ☐ ☐ ☐

2.9. Does APS have partnership agreements or projects with the medical community to help ensure 

reporting of maltreatment (e.g. out-stationing APS staff with medical providers)?

 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. Does APS have partnership agreements or projects with the financial community (e.g., banks) to 

help ensure reporting of maltreatment (e.g., training for bank personnel)? 

 Yes, there is a statewide partnership

 Varies, some localities have partnerships and some do not

 No, there are no partnerships

 Don’t know

2.11. 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.

______________________________________________________________________________

____________________________________________________________________________
APS Practice Survey 12

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

Example 1: ___________________________________________________________________

_____________________________________________________________________________

Example 2: ___________________________________________________________________

_____________________________________________________________________________

Example 3: ____________________________________________________________________

_____________________________________________________________________________

2.13.* 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 to make a finding 

about an allegation of abuse, neglect (including self-neglect), or exploitation, whether in 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 that 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?

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. How do APS investigative staff assess the emergency and/or immediate safety needs of clients? 

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:

Please describe: ☐ ☐ ☐ ☐ ☐

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

assessment tool or general assessment tool: _________________________________________

______________________________________________________________________________
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 

Offices 

Statewide

A Majority 

of Local 

Offices

Few 

Local 

Offices

No Local Offices Don't Know

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:

Please describe: ☐ ☐ ☐ ☐ ☐

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 
APS Practice Survey 16

 

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

assessment of the client. The following questions ask about which aspects of client health and wellbeing are systematically assessed by investigative staff. 

3.6. When APS investigation staff assess the health and well-being of the client, which of the 

following do they 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 selfneglect) or exploitation

☐ ☐ ☐ ☐ ☐

Other

Please describe: ☐ ☐ ☐ ☐ ☐
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. 

General Social 

Work Training

Specific APS 

Training

Use Of An 

Assessment 

Tool

Other:

Click or tap here

to enter text.

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

Please describe: ☐ ☐ ☐ ☐

3.7.a. Please provide the name and brief description of the assessment tool(s): 

_____________________________________________________________________________________

_____________________________________________________________________________________
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 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Nurses ☐ ☐ ☐ ☐ ☐

Nurse practitioners/

physician assistants ☐ ☐ ☐ ☐ ☐

Physicians ☐ ☐ ☐ ☐ ☐

Mental health 

professionals ☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

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? 

 Yes

 No

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 function? 

All Local 

Offices 

Statewide

A Majority 

Of Local 

Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Included as part of 

general assessment of 

well-being

☐ ☐ ☐ ☐ ☐

Based on a specific 

assessment tool/process 

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: 

______________________________________
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? 

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS has licensed 

professionals on staff to 

determine competency

☐ ☐ ☐ ☐ ☐

APS has contracts with 

professionals to 

determine competency

☐ ☐ ☐ ☐ ☐

APS reaches out to noncontract community

professionals to help 

assess competency

☐ ☐ ☐ ☐ ☐

APS does not determine 

legal competency

☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

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

 Training on interview skills is a local responsibility

 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

 APS does not participate in MDTs in this state or territory

3.13. How does APS decide what types of cases are referred to multi-disciplinary teams? [select one]
APS Practice Survey 20

 Caseworker/supervisor decide based on case complexity

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

 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:

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

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:

Please describe: ☐ ☐ ☐ ☐ ☐

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

are used:

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS investigators 

collect and preserve 

physical evidence

☐ ☐ ☐ ☐ ☐

APS investigators 

document – making 

copies or taking 

photographs - physical

☐ ☐ ☐ ☐ ☐
APS Practice Survey 21

evidence but do not 

collect and preserve it

APS does not collect or 

document physical 

evidence

☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

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 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Medical community ☐ ☐ ☐ ☐ ☐

Financial community ☐ ☐ ☐ ☐ ☐

Law enforcement ☐ ☐ ☐ ☐ ☐

Any other 

community:

Please describe: ☐ ☐ ☐ ☐ ☐

3.18. 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 settings (e.g., nursing facilities) or of care providers (e.g., 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: ____________________________________________________ 
APS Practice Survey 22

3.19. 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:

Please describe: ☐ ☐ ☐ ☐ ☐

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

specialized APS units or staff are available? (Check 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: 

________________________________________________________________________
APS Practice Survey 23

3.21. 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:

Please describe: ☐ ☐ ☐ ☐

3.22. Across the state or territory, what types of notice and review does APS provide perpetrators in 

all investigations? [Select all that apply.]

 Notification of allegations

 Notification of disposition decision 

 Administrative review of the findings by program staff such as a supervisor when allegations 

are substantiated

 Judicial review of the findings by a hearing officer or court when findings are substantiated

 No notice or review given

 Other, please specify: ____________________________________________________ 

3.23. Does APS have a formalized practice, process, or tool for determining findings of an 

investigation? 

 Yes 

 No

3.23.a. If yes, describe the formalized practice, process, or tool: 

_____________________________________________________________________________________

3.24. Does the APS program make distinctions in the types of notice and review depending on the 

type of the alleged perpetrator (e.g. family member or professional)?

 Yes 

 No 
APS Practice Survey 24

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

_____________________________________________________________________________________

Explanatory note for 3.25 through 3.27: 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. 

3.25. 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:

Please describe: ☐ ☐ ☐ ☐ ☐

3.26. How do APS staff decide whether services are needed to ameliorate the abuse, neglect 

(including self-neglect) or exploitation? 

All Local Offices 

Statewide

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS staff use a tool that 

determines whether services 

are needed. Please provide the 

name of tool:

Click or tap here to enter text.

☐ ☐ ☐ ☐ ☐

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 

☐ ☐ ☐ ☐ ☒
APS Practice Survey 25

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

3.27. Which of the following methods does APS use to develop service plans? 

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: 

Please describe: ☐ ☐ ☐ ☐ ☐

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:

Please describe: 

☐ ☐ ☐ ☐ ☐
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? (if 

no, skip whole section)

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in some local offices

 No

 Don’t know

4.2. Are there specialized APS staff that are responsible for only post-investigation services?

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in some local offices

 No

 Don’t know

4.3. Does APS purchase services directly for clients?

 Yes, in all local offices statewide

 Yes, in a majority of local offices

 Yes, in some 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 

By APS Staff

Purchased 

By APS

Referred By 

APS

Varies By 

Locality

Is Not 

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:

Please describe: ☐ ☐ ☐ ☐ ☐
APS Practice Survey 28

4.5. Does APS utilize each of the following alternatives to guardianship? 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

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:

Please describe: ☐ ☐ ☐ ☐ ☐

4.6. How does APS monitor the status of clients receiving services provided directly or arranged by 

APS? 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS staff make contacts directly 

with clients ☐ ☐ ☐ ☐ ☐

Providers, not APS, make 

contacts directly with clients 

☐ ☐ ☐ ☐ ☐

The status of clients receiving 

services is not monitored 

☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐
APS Practice Survey 29

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

and status of clients? 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

All clients receive the same 

number of contacts ☐ ☐ ☐ ☐ ☐

The number of contacts is based 

on professional judgment ☐ ☐ ☐ ☐ ☐

The number of contacts is based 

on an assessment tool ☐ ☐ ☐ ☐ ☐

Other:

Please describe: ☐ ☐ ☐ ☐ ☐

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

_____________________________________________________________________________________

4.8. What is the relationship of the APS program to guardianship services? 

All Local 

Offices

A Majority of 

Local Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

APS staff may be appointed as 

guardians ☐ ☐ ☐ ☐ ☐

APS may petition for 

guardianship but may not serve 

as guardians

☐ ☐ ☐ ☐ ☐

APS contracts with guardianship 

providers ☐ ☐ ☐ ☐ ☐

APS makes referrals to public 

guardianship programs ☐ ☐ ☐ ☐ ☐
APS Practice Survey 30

APS makes referrals to private 

guardianship programs ☐ ☐ ☐ ☐ ☐

APS does not involve itself in 

guardianship proceedings ☐ ☐ ☐ ☐ ☐

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 

☐ ☐ ☐ ☐ ☐

Periodic review all or a subset of 

documentation by managers 

(other than supervisors)

☐ ☐ ☐ ☐ ☐

Systematic review of a subset 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:

_____________________________________________________________________________________
APS Practice Survey 32

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

All Local 

Offices

A Majority

of Local 

Offices

Few Local 

Offices

No Local 

Offices

Don't 

Know

Screen out (not accept) a report 

for investigation ☐ ☐ ☐ ☐ ☐

Disposition of an allegation of 

maltreatment ☐ ☐ ☐ ☐ ☐

Referring a case to law 

enforcement ☐ ☐ ☐ ☐ ☐

Legal interventions ☐ ☐ ☐ ☐ ☐

Service plans ☐ ☐ ☐ ☐ ☐

Keeping investigations open for 

longer periods of time than typical ☐ ☐ ☐ ☐ ☐

Case closure ☐ ☐ ☐ ☐ ☐

Other ☐ ☐ ☐ ☐ ☐

5.3. How does the APS state or territory office 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)

 Performance management/improvement is not conducted at the state or territory level

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

 It is a state- or territory-mandated requirement 

 It is not a state- or territory-mandated requirement but local communities use them

 None exist in the state or territory
APS Practice Survey 33

5.5. Which of the following results of APS investigations does the APS program routinely monitor or 

track in order to assess the impact of the program on client’s outcomes?

 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

 Recidivism or recurrence of clients

 Recidivism or recurrence 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: ____________________________________________________________________

_____________________________________________________________________________