File No. 36920
This rule was published in the November 1, 2012, issue (Vol. 2012, No. 21) of the Utah State Bulletin.
Human Services, Aging and Adult Services
Adult Protective Services
Notice of Proposed Rule
DAR File No.: 36920
Filed: 10/05/2012 12:46:24 PM
Purpose of the rule or reason for the change:
Recent changes have been made in the way investigations are coordinated between Adult Protective Services and the Long-term Care Ombudsman program. The changes adjust and clarify which program will investigate certain cases when a resident of a long-term care facility is involved. The proposed amendment explains these changes.
Summary of the rule or change:
Previously, with the exception of issues of sexual abuse, the Long-term Care Ombudsman program investigated cases of abuse, neglect, and exploitation involving residents of care facilities, while Adult Protective Services investigated the same cases outside of facilities. Due to authority and other issues, it was determined that Adult Protective Services should investigate all cases of abuse, neglect, and exploitation regardless of the setting.
State statutory or constitutional authorization for this rule:
- Section 62A-3-302
Anticipated cost or savings to:
the state budget:
The change moves responsibility from one program to another within the Division of Aging and will not result in additional costs or savings.
Local Long-term Care Ombudsman programs will continue to work on other issues within the facilities and will not see a savings or new costs as a result.
These programs are not overseen by small business which will see neither a new cost nor a savings as a result.
persons other than small businesses, businesses, or local governmental entities:
The individuals involved have not had costs associated with these reports and will not have them with the change.
Compliance costs for affected persons:
The individuals involved have not had costs associated with these reports and will not have them with the change.
Comments by the department head on the fiscal impact the rule may have on businesses:
The update to this rule do not create a savings or new cost and should be budget neutral for the agency.
Palmer Depaulis, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:Human Services
Aging and Adult Services
195 N 1950 W
SALT LAKE CITY, UT 84116
Direct questions regarding this rule to:
- Nels Holmgren at the above address, by phone at 801-538-3921, by FAX at 801-538-4395, or by Internet E-mail at email@example.com
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
This rule may become effective on:
Nels Holmgren, Director
R510. Human Services, Aging and Adult Services.
R510-302. Adult Protective Services.
This rule clarifies the responsibilities of Adult Protective Services.
This rule is authorized by [
Sections 62A-3-106.5 and] 62A-3-302.
(1) Adult Protective Services shall respect the lifestyle that is knowingly and voluntarily chosen by the vulnerable adult.
A vulnerable adult with capacity to consent has the right to self-determination.
(2)] All services provided are voluntary unless court
(3)] All services provided should be the least restrictive
(4)] All services provided shall be community-based unless
community-based services are unavailable.
(5)] Adult Protective Services shall encourage a vulnerable
adult's family and community to take responsibility for
providing necessary services.
(6)] Adult Protective Services shall coordinate and cooperate
with other agencies to protect vulnerable adults.
(7)] Adult Protective Services shall treat vulnerable adults
and others in a courteous, dignified and professional manner.
(1) All definitions found in Title 62A Chapter 3 are incorporated by reference.
(2) Activities of Daily Living means the
ability to: take a full body bath or shower, including transfer in
and out of the bath or shower; tend to personal hygiene needs,
including care of teeth, dentures, shaving, and hair care; put on,
fasten and take off all clothing, and select appropriate attire;
walk without supervision or cues, including using a walker or cane;
use steps or ramps; use toilet or commode, including transferring
on and off toilet, cleansing self, changing pads, and caring for
colostomy or catheter in appropriate manner; transfer without
supervision or devices in and out of a bed or chair; and the
ability to feed oneself, prepare food[
on a plate], drink[ from a cup and/]or use necessary adaptive
(3)] Instrumental Activities of Daily Living
means the core life activities of independent
living, including using the telephone, managing money, preparing
meals, doing housework, remembering to take medications, providing
for [ ones] necessities, and obtaining services.
(4)] Conservator means an individual or agency appointed by a
court in accordance with Section 75-5-401, et seq.
(5)] Guardian means an individual or agency appointed by a
court in accordance with Section 75-5-303, et seq.
(6)] Incapacitated Person is as defined in Section
(7)] Intentionally is as defined in Section 76-2-103(1).
(8)] Knowingly is as defined in Section 76-2-103(2).
(9)] Lifestyle Choice means
[ the way of life knowingly and voluntarily preferred or
selected by a person who has capacity to consent.]
(10)] Limited Capacity means that [ a] person's ability to understand [ and] communicate regarding the nature and consequences [ of decisions concerning] the [ adult's] person or property is limited in one or more, but not
all, functional areas, or during identified times of day, due to [ an] mental illness, developmental disability, organic brain
disorder, physical illness or disability, chronic use of drugs,
chronic intoxication, short-term memory loss, or other cause.
(11)] Long-term care facility is as defined in Section
Protective intervention funding means payments made to the vulnerable adult, family or caregiver or other provider that will alleviate or resolve a protective need.
(12) Protective Need means [
a need resulting from or related to the abuse, neglect, or
financial exploitation of a vulnerable adult].
(13)] Protective Supervision means an APS service offered to
reduce or resolve a vulnerable adult's protective need.
(14)] Recklessly is as defined in Section 76-2-103(3).
(15)] Respite Care means a time-limited period of relief from
care giving responsibilities paid to a respite care provider or
individual from Protective Intervention Funds.
(16)] Service Plan means a document created by the
caseworker for an approved [ Short Term] Service Case that includes a goal, objectives,
methods, and progress reviews to resolve the protective needs
identified in an Adult Protective Services investigation, and which
implements recommendations of the case review committee.
(17)] Short-term protective services include but are not
limited to crisis intervention, emergency shelter, protective
supervision, respite care, supported living services,
short-term intervention funding[ , or monitoring the vulnerable adult's
(18)] Short-Term intervention funding means short-term
payments made to the vulnerable adult, family, or caregiver or
other provider, during a short-term service case for goods or
services other than for Respite [ c]are or Supported Living, that will alleviate or resolve a
(19)] Supported Living means short-term payments made to
individuals or providers that enable the vulnerable adult to remain
in his or her own home or in the home of a relative.
R510-302-5. Records. (1) Adult Protection case files shall be securely
(2) An Adult Protection case file shall include all
records relating to an investigation performed by Adult
Protective Services, and may include an adult protection report,
capacity assessment, allegation assessment, risk assessment,
service plan recommendations and service plans, case activity
record, correspondence, agreements, authorizations, medical and
psychological records, financial records, police reports,
photographs, video recordings, audio recordings, court documents,
and legal documents.
(a) Short-term service case files may include in addition
to the above items: client eligibility documents, information
releases, correspondence, Assessments, disbursement requests,
records of Protective Intervention payments, and service plan
(3) An Adult Protection case file shall document services
needed by and provided for each vulnerable adult client.
(4) Case Review Committee recommendations will be
documented in the case record.
(5) If a vulnerable adult dies after a referral is
received, the investigator shall complete a report in compliance
with DHS Policy and Procedures 05-02.
]R510-302-6. Adult Protective Services Intake.
(1) Referrals may be submitted to
APS Intake Office [
via written or telephonic means] from any person who has reason to believe that
a vulnerable adult has been abused, neglected, or exploited in the
State of Utah.
(2) All referrals shall be evaluated by APS Intake to determine whether APS shall investigate the allegation.
(3) APS shall [
allegations of abuse, neglect, or
exploitation of a vulnerable adult in the State of Utah except as
Allegations involving non-serious incidents of abuse,
neglect or exploitation in a long-term care facility shall be
referred to the long-term care ombudsman program in accordance with
Section 62A-3-201, et seq. (i) Non-serious incidents are incidents between residents
over the age of 60 in which there are no injuries that require
medical attention, and in which the facility has taken all
reasonable steps to protect residents from future harm].
(4) APS shall notify the Department of Health and the Local Long-term Care Ombudsman when a referral involves a long-term care facility.
(5) APS may submit a referral that
involves a Division employee or other potential conflict of
interest to the DHS Office of Services Review for [
(6) APS shall not accept a referral that does not involve
an allegation that a vulnerable adult may have been or is being
abused, neglected, or exploited. (7) APS shall not accept or investigate a referral that
involves the abuse, neglect, or exploitation of a vulnerable
adult on an Indian Reservation unless a written agreement between
APS and tribal authorities is in effect and grants APS authority
(a) APS may refer a case that involves the abuse,
neglect, or exploitation of a vulnerable adult on an Indian
Reservation to federal or tribal authorities.
(8) APS shall not accept or investigate a referral that
identifies no current abuse, neglect, or exploitation but
anticipates that abuse, neglect, or exploitation may occur in the
(1) The assigned investigator shall [
review the referral received from APS Intake] and determine whether:
(a) there is an allegation of abuse, neglect or exploitation;
(b) the alleged victim is a vulnerable adult;
(c) the alleged victim has the capacity to consent;
(d) the alleged victim has a legal
guardian or conservator;[
(e) an emergency exists[
(2) The investigator shall [
initiate the investigation and] make a
face-to-face visit with the alleged victim.
(a) The investigator shall seek the consent of the vulnerable adult to provide services if the vulnerable adult has the capacity to consent.
(b) The investigator shall seek the consent of the vulnerable adult's legal guardian to provide services if the vulnerable adult does not have the capacity to consent.
(c) The investigator may seek a court order to provide
services in the absence of consent from the vulnerable adult or the
vulnerable adult's legal guardian.
] (3) The investigator may not enter the
home of a vulnerable adult unless the vulnerable adult, legal
guardian, or caretaker consents, except [
as described in subsection (a) below. (a) The investigator may enter the home of a vulnerable
adult if] exigent
circumstances exist to protect the vulnerable adult from imminent
(b) The Investigator may contact persons who may have
information regarding the vulnerable adult's circumstances and
to obtain information necessary to investigate allegations of
abuse, neglect, or exploitation. (4) The investigator shall evaluate the extent of the
alleged victim's mental and/or physical impairment, whether
the alleged victim is a vulnerable adult, and whether any
impairment substantially impacts activities of daily
(5)] The investigator shall interview the alleged perpetrator
(a) specifically requested not to do so by law enforcement officers in order to avoid impeding an ongoing criminal investigation or proceeding;
(b) interviewing the alleged perpetrator would likely endanger any person;
(c) prior to interviewing the alleged perpetrator, the allegation is found to be without merit;
(d) an alleged victim with capacity terminates the APS
(e)] APS is unable to locate the victim;
(f)] the alleged victim died before the investigation
(g)] the alleged perpetrator is unknown; or
(h)] the alleged perpetrator has [ declined] the interview.
(6) The Investigator shall, based on all information
obtained during the investigation, determine: (a) whether each allegation of abuse, neglect, and
exploitation identified by the referent is supported,
inconclusive, or without merit; and
(b) whether each allegation of abuse, neglect, and
exploitation identified during the investigation is supported,
inconclusive, or without merit.
(7)] When the investigator has reason to believe [ a] [ drug lab] may be located at an investigative site,
the investigator will contact law enforcement agencies and not
enter the site until the local health department determines it is
safe to do so.[ (a)]
[ L]aw enforcement agencies may be asked
to assess and secure a vulnerable adult's immediate safety,
facilitate the vulnerable adult's exit from the lab site,
and arrange for emergency transportation to the hospital for decontamination.
(8)] The investigator may obtain an administrative subpoena
when the following circumstances apply:
(a) the vulnerable adult lacks the capacity to consent;
(b) the vulnerable adult's legal guardian refuses to consent;
(c) the custodian of the records or items
pertinent to an investigation refuses to allow access to those
records or items without a subpoena; [
(d) the information sought is necessary to investigate allegations of abuse, neglect or exploitation or to protect the alleged victim.
(9)] An administrative subpoena form
shall include a list that specifically identifies the
documents or objects being subpoenaed[
(a) An administrative subpoena] is not valid until signed by the Director or Regional
(b)] The investigator shall document all items received as a
result of the subpoena.
(10)] [ The Investigator shall determine whether the vulnerable
adult has an unmet protective need.]
(a) If an unmet protective need exists,] the investigator [ shall] refer the vulnerable adult and the vulnerable
adult's legal guardian to available community resources and
services to resolve the protective need[ .]
(b) If an unmet protective need exists,] the investigator or Supervisor may request a review by
the Case Review Committee to determine if Short-Term Services may
help to resolve the protective need[ .]
(c) APS shall not facilitate the placement of a vulnerable
adult who lacks capacity to consent with an unlicensed
(d)] [ APS] may contact the family of a vulnerable
and inform the family that the vulnerable
adult requires alternate living arrangements in an environment that
is safe and meets the vulnerable adult's protective needs[ .]
(e) APS may, but is not required to, seek or facilitate the
placement of a vulnerable adult with a licensed
Protective Intervention Funds [ may, in] the sole discretion of APS[ ,]
be made available to the vulnerable adult,
family caregiver or other provider to alleviate or resolve a
protective need, and must directly benefit the vulnerable adult[ .]
[ O]ne-time payments [ may be made] for medications, medical treatment,
or medical equipment or supplies not covered by insurance or other
medical coverage; transportation; minor repairs or modifications;
rent; food; or clothing, or other needs that directly benefit the
vulnerable adult to alleviate or resolve a protective need[ .]
[ may be made to] a service provider or individual
for approved Short-term services for Respite care, Supported
living, or for short-term intervention funds.
R510-302-8]. [ Income] Eligibility.
(1) There are no income eligibility requirements for an APS investigation of allegations of abuse, neglect, or exploitation.
(2) There are no [
income] eligibility requirements in order to
receive short-term protective supervision services.
(3) There are no [
income] eligibility requirements in order to
receive Protective Intervention Funds to resolve a situational
crisis or an immediate protective need.
(4) Short-term protective services may only be provided to
a vulnerable adult who is the victim of abuse, neglect, or
exploitation. (5) Short-term protective services may only be provided
in accordance with the terms of a service plan consented to and
signed by the vulnerable adult or the vulnerable adult's
legal guardian, or pursuant to court order. An updated service
plan will be signed at each case review.
(6)] A vulnerable adult shall meet income eligibility
requirements in order to receive short-term protective services
other than protective supervision services, including respite care,
supported living, short-term intervention funding, [ protective payee services,] and other services
approved by the APS Director or regional director.
(a) For purposes of eligibility for short-term protective services, "family" includes an adult, the adult's spouse, and their natural children under age 18, who are residing in the same household.
A person living under the care of someone other than their spouse is considered a one-person family.
(b)] In determining whether a vulnerable adult meets income
eligibility requirements for short-term protective services, family
assets shall be disclosed and evaluated.
(i) Family assets include the fair market value of stocks, bonds, certificates of deposit, notes, savings and checking accounts, inheritance, capital gains, or gifts, which can be readily converted to cash.
(ii) A client's income and deductions will be used to determine the client's adjusted gross income to determine the client's eligibility status.
(iii) Monthly gross income includes the total monthly income received by an individual from earnings, military pay, commissions, tips, piece-rate payments, and cash bonuses; net income from self-employment; Social Security Pensions, SSI, Survivor's Benefits, and Permanent Disability Insurance payments; dividends, interest, income from estates or trusts, net rental income or royalties, net income from rental of property, receipts from boarders or lodgers; pensions, annuities; unemployment compensation; strike benefits; worker's compensation; alimony, child support, money received as specified in a divorce or support decree; Veterans' pensions or subsistence allowances; and other regular (three out of six months) financial assistance.
(iv) Monthly gross income does not include per capita payments to or funds held in trust for any individual in satisfaction of a judgment of the Indian Claims Commission or the Court of Claims; net proceeds received from the sale of a primary residence or an automobile; money borrowed; insurance payments in excess of incurred costs that must be paid from the settlement; the value of the coupon allotment under the Food Stamp Act; the value of USDA donated foods; the value of supplemental food assistance under the Child Nutrition Act of 1966 and the special food service program for children under the National School Lunch Act; any payment received under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970; earnings of a child (under 18 years of age) residing in the home; payments for energy assistance and weatherization HEAT program; housing subsidies paid by the Federal government; payments or grants received due to natural disaster; educational loans, grants, or scholarships to any undergraduate student for educational purposes that is made or insured by the U.S. Commissioner of Education (BEOG; SEOG; NDSL; Guaranteed Student Loans; SSIG; and PELL Grants); payments to participate in a service learning program, such as College Work-Study or University Year for Action; and that portion of any other loan, grant, or scholarship which is conditioned upon school attendance, actually used for tuition, books, fees, equipment, special clothing needs, transportation to and from the school, and the child care services necessary for school attendance.
(v) The expenses that shall be deducted in determining adjusted gross income are limited to medical expenses (including Medicaid spend-down and insurance); storage expenses; child support paid, including money paid for house payments, rent, etc. as specified in a divorce or support decree; the dollar amount of first mortgage/rental payment over 25% of monthly countable income (not counted for Foster Care); and fees paid for other programs and protective services.
(vi) The sum of all family assets shall be divided by the number of family members, and if that amount exceeds $4,000 per family member, then the value over $4,000 shall be prorated over twelve months, and the resulting amount shall be added to the monthly countable income.
(vii) Eligibility status must be verified annually and within 30 days of any family member's increase in assets.
(viii) A client's adjusted gross income for income tax purposes is not the same as the adjusted gross income for service eligibility purposes.
(ix) All family assets and expenses shall be supported with current bank records, check stubs, and other verifiable records. Documentation must clearly indicate the name of the applicable family member.
R510-302-9]. Protective Need Intervention.
If protective services are needed and the vulnerable adult
has the capacity to consent, the Investigator will work with the
vulnerable adult to identify options to alleviate the protective
need. If a vulnerable adult lacks the capacity to consent to
protective services and has no legal guardian, the Investigator
may: (a) request a multi-disciplinary case staffing;
(b) contact the vulnerable adult's family;
(c) contact mental health professionals or
(d) contact agencies, organizations or services available
to meet the vulnerable adult's protective need; or
(e) contact the Office of the Public Guardian.
(2) The Investigator may provide short-term counseling or
crisis intervention to assist the vulnerable adult in obtaining
services or benefits relating to the abuse, neglect, or
(3) The] Investigator may request Protective Intervention Funding
to alleviate the
vulnerable adult's protective need.[ (a)] Emergency shelter placements may be made for
up to 30 days within a twelve-month period for a vulnerable adult
who has been abused, neglected, or exploited only if:
(i)] the vulnerable adult's circumstances require
immediate alternate living arrangements in a safe environment;
(ii)] the vulnerable adult or legal guardian consents to the
emergency shelter placement or a court order authorizes the
(iii)] the vulnerable adult does not meet the eligibility
requirements for shelter under the Family Violence program; and
(iv)] the emergency shelter has all required current licenses
R510-302-10]. [ Short Term] Intervention.
A short-term services Case Review Committee shall monitor and review short-term services.[
(a)] The Case Review Committee[
consist of the primary worker, supervisor or designee, and two other region workers. The Committee may include other APS and community or agency individuals when determined necessary by the Case Review Committee.
The Case Review Committee] shall oversee the
progress made towards resolution of the protective need.
The Case Review Committee] may recommend that
short-term services are initiated, extended, or terminated.
The Case Review Committee] may recommend community
referrals or alternative actions.
(e)] The Case Supervisor may approve or deny Short-Term
Services recommended by the Case Review Committee.
(2)] Short-Term Services may only be provided under the
(a) Short-term services are voluntary and shall not be implemented without the written consent of the vulnerable adult or the vulnerable adult's legal representative.
(b) Every short-term service case shall include a protective supervision service.
(c) Protective Intervention funds for Short-term services shall not be disbursed without the approval of the APS supervisor or regional director.
(d) Respite Care funds may not be used for caring for other members of the family, performing extensive household tasks, or transportation.
(e) Respite Care may be provided in the vulnerable adult's home, a caregiver's home, or in a licensed facility.
(f) Supported Living Payments may be made to providers to enable the vulnerable adult to remain in his own home or in the home of a relative, and may include short-term supervision, transportation, assistance with shopping, training or assistance with activities of daily living.
(g) Payments for Short-Term Services may not be made until a case has been approved by the Case Review Committee and Services voluntarily agreed to in writing by the vulnerable adult, his or her guardian, or approved by court order.
R510-302-11]. Protective Payee Services.
Protective Payee Services are available only to a
vulnerable adult who has been approved for this service prior to
May 5, 2008. (2) Protective Payee Services include money management
skills for individuals without a legal guardian.
(a) The protective payee will review the vulnerable
adult's financial account and allocate, with the vulnerable
adult (if able to participate) funds for the vulnerable
adult's basic needs, such as food, clothing, shelter, medical
care, and other costs of care or special needs.
(b) If the vulnerable adult has income remaining after
all basic costs are paid, it shall be placed in the vulnerable
adult's trust account.
(c) The protective payee will provide the vulnerable
adult with a monthly copy of the account ledger.
(3) Protective Payee Services shall be documented in
accordance with standard accounting practices.
(4) Protective Payee Services shall cease if the
vulnerable adult withdraws consent unless otherwise required by
(5) Protective Payee Services shall cease if another
person provides protective payee services.
(6) Protective Payee Services shall cease if the
vulnerable adult has minor children residing in the home for whom
he has legal responsibility and for whom any type of financial
assistance is received.
(7) When Protective Payee Services are terminated due to
the death of the vulnerable adult, the vulnerable adult's
remaining expenses, including burial expenses, shall be paid from
the account and the funding agencies shall be notified of the
vulnerable adult's death. Any remaining funds shall be
distributed in accordance with State law].
R510-302-12]. Termination of Short-Term Protective Services.
(1) A vulnerable adult has no entitlement or right to short-term protective services.
(2) Protective Services may be terminated by the vulnerable adult or APS at any time.
(3) Protective Services shall be terminated when:
(a) the vulnerable adult is no longer in immediate danger of abuse, neglect or exploitation;
(b) a vulnerable adult who voluntarily accepted services requests that those services be terminated;
(c) recommended by the Case Review Committee;
(d) the court terminates an order requiring APS to provide services;
(e) the vulnerable adult is receiving protective services from other persons or agencies;
(f) the vulnerable adult's behavior is abusive or violent and constitutes a threat;
(g) the vulnerable adult no longer meets the eligibility requirements for services;
(h) the vulnerable adult refuses to comply with the service plan;
(i) there is insufficient funding to pay for the service;
(j) the vulnerable adult moves out of State; or
(k) the vulnerable adult dies.
(4) When APS terminates Short-Term
protective services, a letter [
will] be sent to the vulnerable adult stating the case is
going to be terminated and the reason for termination.
(a) The letter shall state that termination becomes effective 10 days from the date the letter was sent unless the vulnerable adult requests an administrative review of the reason for the termination and to decide if the services should be reinstated or alternative services may be available.
(b) In Protective Payee Short-Term Service cases, the
letter to the vulnerable adult shall be copied to the agency
providing funding (income) for the vulnerable adult. (5) Upon the death of a vulnerable adult, the following
procedures should be followed:
(a) The family of the vulnerable adult will be contacted
to arrange for the burial.
(b) If the family is unable to pay for the burial, APS
may suggest a list of other resources to pay burial expenses,
such as relatives, religious organizations, insurance, and the
(c) If no one accepts responsibility, APS will make
contacts to arrange burial, however APS shall not pay for the
(d) APS shall notify SSA, VA, or other sources, of
entitlement benefits if APS is acting as the vulnerable
adult's protective payee.
(e) APS shall complete a Deceased Client Report form in
accordance with DHS policy 05-02.
KEY: vulnerable adults, [
domestic violence], shelter care facilities, short-term services
Date of Enactment or Last Substantive Amendment: [
May 27, 2009]
Notice of Continuation: July 1, 2012
Authorizing, and Implemented or Interpreted Law: 62A-3-301 et seq.
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For questions regarding the content or application of this rule, please contact Nels Holmgren at the above address, by phone at 801-538-3921, by FAX at 801-538-4395, or by Internet E-mail at firstname.lastname@example.org.