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3260 Monitoring the Service Plan

APS IH September 2014

The goals of monitoring the service plan are to ensure that:

  •   the client is safe;

  •   the actions being taken are appropriate and effective; and

  •   the client is not at risk of further abuse, neglect, or financial exploitation.

The APS specialist accomplishes this through client and collateral contacts made throughout the case. The APS specialist reviews the service plan at least every 30 calendar days to determine if issues have been resolved. If they have not been resolved, the APS specialist determines what revisions, if any, are needed and continues to review and monitor the service plan until an outcome has been reached for all identified problems.

See:

3200 APS Service Plan

3210 Developing the APS Service Plan

3261 Service Contacts

APS IH September 2014

Contact standards are the number of required contacts between the APS specialist and the client or credible collaterals every 30 calendar days following completion of an assessment or progression to a new stage or stage type. Service contacts are conducted in Maintenance and Intensive Case Services (ICS) cases. 

During Maintenance, only one service contact is required every 30 calendar days.

The APS specialist monitors the status of the service plan according to the contact standards to determine:

  •   the client’s status;

  •   the effectiveness of services provided to alleviate current and minimize risk of future abuse, neglect, or financial exploitation;

  •   any new problems have developed and require action; and

  •   any problems identified on the Immediate Interventions Agreement or Service Plan have been resolved or require additional or different protective services.

APS staff, APS Human Services Technicians (HSTs), and college students interning with APS may complete service contacts. APS contractors cannot complete service contacts, but may be used as a collateral contact by APS staff, HSTs, or interns for purposes of completing a service contact.

Only trained APS staff in the position of APS specialist I or higher may complete the final service contact in the month of closure. When possible, this final service contact is completed face-to-face with the client.

See:

3300 Maintenance Cases

3263 Documentation of Service Contacts

3262 Procedures for Service Contacts

APS IH / April 2015

Maintenance Cases

The APS specialist completes one service contact by phone or face-to-face with the client or a credible collateral every 30 calendar days following progression to Maintenance.

If the service plan is unsuccessful for any reason during Maintenance, the APS specialist follows procedures outlined in 3310 Procedure for Maintenance Cases.

Intensive Case Services (ICS) Cases

The contact standard during ICS is determined by the final risk level scored on the RORA as outlined in the chart below. Service contacts must be completed every 30 calendar days following progression to ICS. These contact standards cannot be changed for the first 30 calendar days the case is in ICS. If the contact standards are changed, the new standards must include at least one service contact by phone or face-to-face with the client or a credible collateral every 30 calendar days.

Final Risk Level

Contact Standards for ICS

Moderate Risk

Two contacts with the client or reliable collateral every 30 calendar days following progression to ICS, one of which must be face-to-face with the client

High Risk

Three contacts with the client or reliable collateral every 30 calendar days following progression to ICS are required, two of which must be face-to-face with the client.

Once the original Strengths and Needs Assessment (SNA) is completed and a service plan developed, the APS specialist:

  •  determines if an increase or decrease in the contact standards is appropriate based on the client’s situation and needs; and

  •  consults the supervisor if the new contact standard is less than the contact standard that was based on the final risk level on the RORA. This includes when changes to the contact standards are being made based on the original SNA, Strengths and Needs Re-assessment, or review of the service plan.

In consultation with the supervisor, contact standards may also be changed based on the progress in a service plan, with or without completing an additional SNA.

Any changes made to the contact standards during the current 30 calendar day cycle do not take effect until the following 30 calendar day cycle. For example, the current contact standards cycle is set from January 1st through January 31st. An SNA re-assessment is completed on January 15th, at which time it is determined the contact standards should be increased. The new contact standards would take effect on February 1st.

If a change is made to the contact standards at any time, including changes based on the original SNA, Strengths and Needs Re-assessments or review of the service plan, the APS specialist:

  •  notes the changes in the Contact Standards section of the APS Service Plan;

  •  re-assesses the appropriateness of contact standards if the client’s situation changes; and

  •  documents each service contact as outlined in 3263 Documentation of Service Contacts.

These additional criteria also apply to service contacts during ICS:

  •  The 30 calendar day time frame for completing service contacts does not change during ICS when the APS specialist completes a Strengths and Needs Re-assessment or makes changes to the service plan.

  •  Contact standards cannot be changed based on a Safety Assessment completed during ICS, but any interventions as a result of the Safety Assessment are documented on the service plan, including the need to call in a new intake.

A high caseload, the geographical distance, and the APS specialist’s time constraints are not acceptable reasons for failing to complete required face-to-face service contacts with the client when he or she is determined to be unsafe.

The APS specialist is not required to complete service contacts while the case is pending approval on the supervisor’s workload, unless the supervisor rejects the case. If the case is rejected for progression or closure, the APS specialist completes service contacts as required by policy before resubmitting the case to the supervisor.

See:

2350 Photographic Evidence

2811 Risk-Based Contact Standards

3200 APS Service Plan

3300 Maintenance Cases

3262.1 Service Contacts When the Client Withdraws From Services by Failing to Respond

APS IH / April 2015

If the APS specialist is unable to contact the client and there are required service contacts to be made with the client, the APS specialist considers whether the client has possibly relocated or is still living at the known address, but is withdrawing from services by failing to respond to the APS specialist’s attempted contacts.

If the APS specialist believes the client may have relocated and is no longer available at the known address, the APS specialist follows the procedures in 2551 Procedure for When an Alleged Victim Cannot Be Located.

If the APS specialist believes the client still resides at his or her known address, the specialist:

  •  follows the required procedure outlined in 3270 Client Withdraws From Services;

  •  documents all attempted service contacts as outlined in 3263 Documentation of Service Contacts;

  •  consults the supervisor; and

  •  documents this consultation as the service contact by:

  •  selecting Service Contact as the Contact/Summary Type,

  •  entering the date and time in the Contact Detail page that the APS specialist and supervisor discuss the APS specialist’s attempts to complete a successful safety contact,

  •  selecting the alleged victim under Persons Contacted on the Contact Detail page,

  •  selecting Staffing as the method of contact, and

  •  documenting the discussion with the supervisor regarding the APS specialist’s attempts to complete a successful service contact, including any additional actions to be taken to gain the alleged victim’s cooperation.

Once the APS specialist has made good faith efforts to encourage the alleged victim to continue with the service plan, and the alleged victim still withdraws from services, the APS specialist no longer attempts to make face-to-face contact with the alleged victim even if more than one face-to-face service contact is required within a 30-day period.

If the APS specialist receives new information about the client’s location, the APS specialist resumes attempting to contact the alleged victim.

The APS specialist does not complete two or more consecutive service contacts using the procedures above.

3262.2 Service Contacts When the Client Cannot Be Located During Service Delivery

APS IH / April 2015

If the APS specialist is unable to contact the client after attempting at least two face-to-face service contacts on different days, preferably at different times of the day and making all reasonable efforts to reach the client, the specialist considers whether the client may have relocated or is still living at the known address but failing to respond to the specialist’s attempted contacts.

If the specialist believes that the client may have relocated or is no longer available at the known address, the specialist:

  •  follows the procedures in 2551 Procedure for When an Alleged Victim Cannot Be Located; and

  •  documents the unsuccessful attempt for a service contact by:

  •  entering the date and time that the APS specialist attempted to make a service contact on the Contact Detail page for the Service Contact;

  •  marking the Attempted checkbox;

  •  selecting the client’s name in the Principals/Collaterals Contacted section of the Contact Detail page;

  •  selecting Other as the method of contact; and

  •  documenting relevant narrative information in the Narrative section of the Contact Detail page.

Once the APS specialist has made good faith efforts to locate the alleged victim and determines the alleged victim cannot be located, the APS specialist no longer attempts to make face-to-face contact with the alleged victim even if more than one face-to-face service contact is required within a 30-day period.

If the APS specialist receives new information about the client’s location, the APS specialist resumes attempting to contact the alleged victim.

The APS specialist does not complete two or more consecutive service contacts using the procedures above.

3262.3 Service Contact when Client Dies During Service Delivery

APS-IH / November 2016

During service delivery, if the APS specialist is informed of a client’s death, the APS specialist:

  •  enters the date and time they were informed of the client’s death as the service contact in the Contact/Summaries Tab; and

  •  enters the date of the alleged victim’s death on the Person Detail page in IMPACT.

See:

2511.3 Safety Contacts When the Alleged Victim Dies During the Investigation

3570 Client Dies During Service Delivery

3215 Documentation of Contacts During Service Delivery

3263 Documentation of Service Contacts

APS IH September 2014

The APS specialist creates a new Contact Detail page in IMPACT for each attempted and successful service contact completed.

For each attempted and successful service contact, the APS specialist:

  •   selects Service Contact as the Contact/Summary Type;

  •   fills in all fields on the Contact Detail page;

  •   clicks the Save button;

  •   clicks the Narrative button on the Contact Detail page and enters the narrative for the contact. If the person is not listed on the Person Detail page, the APS specialist includes the person’s name and relationship to the alleged victim (brother, friend, home health care provider, and so on).

For successful service contacts, the contact narrative must include a summary of the contact and address:

  •   all actions taken;

  •   the client’s current status;

  •   the status of any unresolved problems; and

  •   any delivered protective services and the effectiveness of the services.

See:

3215 Documentation of Contacts During Service Delivery

3261 Service Contacts

3280 Case Closure During Service Delivery

3264 Supervisor Consultations

3264.1 Procedure for Supervisor Consults

APS IH September 2014

The APS specialist consults with the supervisor for all case actions in which policy requires supervisor consults. The APS specialist may also consult the supervisor as necessary for guidance on other case actions, including when policy does not require a supervisor consult.

3264.11 Documentation for Supervisor Consults

APS IH September 2014

The APS specialist or supervisor enters:

  •   a contact in the Supervisor Consult Contact Detail page for each supervisor consultation completed; and

  •   a narrative of the case related issues and required actions discussed. If the supervisor consulted is not the APS specialist’s direct supervisor, the APS specialist includes the name of the supervisor consulted in the narrative.

3270 Client Withdraws From Services

APS IH September 2014

If a client withdraws from services that he or she originally accepted after an allegation is found to be valid, then the APS specialist:

  •   attempts multiple home visits to gain the client’s cooperation, which includes, at a minimum, one completed initial face-to-face (FTF) visit and a second completed or attempted follow-up FTF visit;

  •   may consult with the subject matter expert (SME); and

  •   consults with the supervisor to determine whether a professional evaluation of the client’s capacity to consent is warranted.

The supervisor has discretion to waive the requirement for multiple home visits, especially if the client has indicated that he or she does not want APS services and the supervisor believes, based on the APS specialist’s observations, that the client may feel harassed by continued APS visits.

3271 Documenting the Client’s Withdrawal From Services

APS IH September 2014

Any services originally accepted by a client with capacity to consent and then later declined are documented in the APS Service Plan in IMPACT. The APS specialist consults with the supervisor to discuss the client’s capacity to consent to services and what additional steps, if any, need to be taken. Documentation of a supervisory consultation is required whenever a client withdraws from services.

If the client with capacity to consent withdraws from APS services after initially accepting services, the APS specialist documents on the APS Service Plan:

  •   the services offered (Action Description section); and

  •   the client’s withdrawal from services (Action Results and Problem Resolved sections).

The APS specialist then selects Withdrew from Services in the Stage Closure page.

See also:

3215 Documentation of Contacts During Service Delivery

3263 Documentation of Service Contacts

3264.11 Documentation for Supervisor Consults

3280 Case Closure During Service Delivery

APS IH September 2014

Deciding when to close a case is a matter of judgment.

Before closing a case in Maintenance or Intensive Case Services, the APS specialist makes all reasonable efforts to:

  •   resolve the problems that led to the state of abuse, neglect, or financial exploitation; and

  •   stabilize the client’s condition.

The APS specialist applies the standards of reasonable effort, resolution, and stability on a case-by-case basis.

While a case in Maintenance can be moved to Intensive Case Services for a higher level of service delivery, a case in Intensive Case Services cannot be moved to Maintenance.

See:

3230 Case Outcomes

3284 Supervisor Review of Case Closure

3281 Procedure for Case Closure During Service Delivery

APS-IH / November 2016

Before closing a case during the Maintenance stage or Intensive Case Services stage, the APS specialist ensures that:

  •  all efforts have been made to resolve the client’s problems;

  •  the client’s situation is stable;

  •  all required service contacts have been completed;

  •  all of the problems identified in the APS Service Plan have been addressed, including the root cause(s), actions, action results, and outcomes;

  •  all documentation is complete;

  •  a Service Authorization form was completed in IMPACT and approved by the supervisor for any purchased client services (PCS), as required by policy;

  •  the client was informed that the case is being closed:

  •  in person,

  •  by letter,

  •  by phone, including voicemail, if a designated perpetrator does not reside in the home, or

  •  if the client lacks the capacity to consent to closure or is not available when contacted, another adult involved in the client’s care who is not a designated perpetrator may be informed on the client’s behalf;

  •  a case closure summary is entered by selecting Contact under the Contact/Summaries tab and selecting Other as the method. The contact narrative must include:

  •  the efforts made to resolve the root cause(s); and

  •  the justification for case closure.

  •  the case is saved and submitted to the supervisor before the case is closed in the service delivery stage. Supervisors must review all submitted cases within 10 calendar days.

If a new intake report is received while the original case is in Maintenance or Intensive Case Services (ICS), and the subsequent investigation will not be progressed to the same stage as the original case, the APS specialist closes both cases separately, without merging them. The APS specialist informs the client of case closure only when the last of the two separate cases is closed.

See:

3240 Additional Allegations Discovered and New Reports Received During the Intensive Case Services Stage

5241 When to Merge Cases

3282 Documentation When Closing a Case During Service Delivery

APS IH September 2014

At the conclusion of the Maintenance stage or Intensive Case Services (ICS) stage, the APS specialist does as follows in IMPACT:

  •   Selects the appropriate reason for closing the service delivery stage from the options on the Close Service Delivery page.

  •   Selects all appropriate checkboxes on the Stage Closure checklist that appears on the APS Close Service Delivery page, including the items that indicate:

  •   whether the client was advised of case closure;

  •   whether alternate resources were explored before Purchased Client Services (PCS) funds were used; and

  •   whether the APS specialist verified that the client received the services purchased using PCS funds.

3283 Service Delivery Closure Reason Codes

APS IH September 2014

It is important for APS specialists to use the appropriate closure reason when closing the Maintenance stage or Intensive Case Services (ICS) stage.

Condition Stabilized

This disposition is used when the abuse, neglect, or financial exploitation has been addressed and it is believed the client will be safe for the foreseeable future.

Unable to Locate

This disposition is used when the APS specialist does not know the client’s whereabouts and is therefore unable to make further contact with the client.

Client Withdrew

This disposition is used when a client who is able to consent and for whom a service plan was developed withdraws from protective services.

See 3270 Client Withdraws From Services.

Efforts Exhausted

All reasonable efforts to resolve the client’s problems have been exhausted and no other alternative action is known. The APS specialist, supervisor, and, as needed, subject matter expert have consulted about the client’s situation, discussed all actions taken, and all agree that no further reasonable action exists that APS can provide that would benefit the client.

Services No Longer Available

This disposition is used when abuse, neglect, or financial exploitation was validated and services initiated, but the resources (community, state, PCS, and so on) to remedy the problem are not currently available.

Client Died

When the client passes away during an open Maintenance stage or ICS stage, the APS specialist completes the open case as outlined in 3570 Client Dies During Service Delivery and its subitems before closing the case using a closure code of Client Died.

See 3575 Client’s Death Involves New Allegations of Abuse or Neglect by an Alleged Perpetrator.

Progress to ICS

This disposition is used to progress a case from Maintenance to Intensive Case Services if during the Maintenance stage, the service plan is unsuccessful for any reason and as a result the client is believed to be unsafe or the situation is not stable.

See also 3262 Procedures for Service Contacts.

3284 Supervisor Review of Case Closure

APS IH September 2014

When an APS specialist seeks approval to close a case that is in the Maintenance stage or Intensive Case Services stage, the APS supervisor completes the following actions within 10 calendar days of the Save and Submit date recorded in IMPACT:

  •   Review the submitted case in IMPACT, including the APS Service Plan and, if applicable, the completed Strengths and Needs Assessment, any Safety Re-assessments completed during service delivery.

  •   Verify that all reasonable efforts were made to ensure that the client is not in a state of abuse, neglect, or financial exploitation. And:

  •   Approve the case for closure. Or:

  •   Reject the case, if all reasonable efforts were not made to ensure that the client was not left in a state of abuse, neglect, or financial exploitation.

Supervisors may reject cases for other reasons.

Before approving a case for closure, the APS supervisor is not required to:

  •   review the investigation stage again, if he or she has previously read it; or

  •   assess the case for compliance with performance management standards.

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