Planning and Preparing for Investigations

Begins with receipt and review of the APS report and consists of the following steps:

1. Review the report after supervisory screening.
2. Analyze prior case file.
3. Analyze allegation and response need.
4. Obtain additional information.
5. Prepare for the initial face to face interview.

Initial Screening

1. First opportunity to make judgments and decisions related to risk
   • Determine if the report indicates a situation that may result in death or serious physical injury to the client. Does it warrant an urgent response?
   • Determine indicators of danger to worker at the home visit
2. Review report for accuracy and completeness
   • Name and identifying factors (DOB, race, sex, vulnerability, etc.)
   • Address and finding directions to home
   • Details of allegations
   • Specific instructions
   • Name of reporter (if not anonymous) and relationship to victim
   • Other reported information sources

Obtain and analyze prior case file

1. Complete computer search of APS Computer System
   • Client
   • Alleged Perpetrator
   • Check for:
     • Aliases, if any are known
     • Spelling variations
     • Misspelled or inverted names
2. Identify established patterns and prior observations if previous APS referrals have been received.
   • May indicate pattern of self-neglect or maltreatment by an alleged perpetrator
     • How were previous reports handled?
     • Were services provided?
     • Why were subsequent reports made (new circumstances, situation deteriorated, services discontinued)?
     • Are there others in the home reported to have been abused or neglected?
   • Look for cycles or patterns of family violence or self-neglect.
   • Note any drug/alcohol problems.
   • Note sources of previous referrals.
   • Be aware that previous investigations may prejudice current investigation, so it is important to remain objective.
3. The APS supervisor or designee must be notified immediately when it is discovered an employee of the Department is the APS client, alleged perpetrator, or relative of either.
4. Review financial status.
   • Determine if client receives public assistance and, if so, the amount.
   • Determine financial status of alleged perpetrator if possible.
   • Be alert to signs that large sums of money or property may be at stake.

Review allegations and information.

1. Careful review will prepare the specialist for making important decisions regarding the investigation.
2. The type of report and response needed helps to determine:
   • the types of interviews to be conducted
   • the physical evidence to be gathered
   • the observations to be made
   • the individuals to be consulted
   • the decisions to be made as a result of the report and allegations

Obtain additional information.

1. Contact major sources of information (collaterals).
   • Law enforcement — if alleged victim or perpetrator has or is alleged to have a criminal record
   • Medical professionals — if there is prior or current history of treatment for abuse, neglect, or medical problems
   • Other agencies — if services are being or have been provided
     Note: It is advantageous to cultivate key individuals as professional contacts within any public or private organizations that can provide information. It is helpful at this stage for information to be obtained quickly and reliably.
2. Contact law enforcement if it appears:
3. Emergency entry is needed.
4. Emergency removal is indicated.
5. Caregiver refuses to allow investigation.
6. A second party is believed to be the perpetrator and a criminal investigation is required.
7. Report indicates a serious crime may have been committed.
8. There is reason to believe alleged perpetrator may flee if law enforcement is not present.
9. Necessary to preserve the peace
10. Information suggests law enforcement may have been involved with client and/or the family.
11. Information suggests potential threat to APS specialist.
12. Note: It is recommended that workers establish and maintain a cooperative and collaborative relationship with law enforcement.

Prepare for the initial face to face interview.

1. To best prepare for an APS investigation, specialist must consider and resolve any residual feelings or doubt about:
   • Legal authority to conduct investigation
   • Own expertise to conduct the investigation
2. Remember:
   • The goals of APS and their relevance to this situation
   • The importance of first protecting the victim while ensuring one’s own safety
   • The necessity to identify alleged perpetrator in cases other than self-neglect
   • The specialist’s state of mind will influence approach and degree to which goals are accomplished
3. Attitudes of specialist may vary depending on:
   • Type and degree of maltreatment
   • Characteristics of client (age, mental or physical impairment)
   • The client’s perceived degree of cooperation
4. Devise interview strategy.
   • Evaluate own reactions to allegations
     • In order to prevent feelings from clouding investigation, these must be recognized and resolved.
   • Prepare emotionally to interact with alleged abuser
   • Consider:
     • How will entry be gained?
     • Who will be interviewed first?
     • What questions will be asked and in what sequence?
     • What facts are needed?
     • What crucial observations must be made?
     • How will interviews be terminated?
     • What you already know and what needs to be known.
   • Planned scenario may be changed by various contingencies which can interrupt routine strategy:
     • Victim lacks capacity
     • Unable to locate
     • Medical emergency
     • Violence requiring law enforcement
     • Forced entry is required
     • Emergency removal and placement
     • Specialist is physically or verbally threatened
     • Client is mentally ill
5. Other considerations
   • Double check directions to home
   • Names of persons involved
   • Are photographs needed
   • Forms
   • Telephone numbers for assistance