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pdfSUPPORTING STATEMENT
OMB Control Number: 0985-New
Inventory of State Adult Protective Services Practices and Service Innovations:
APS Practice Survey
PART A: JUSTIFICATION
A1. CIRCUMSTANCES THAT MAKE THE COLLECTION OF INFORMATION NECESSARY
The Elder Justice Act of 2009, which amends Title XX of the Social Security Act (42.U.S.C.
13976 et seq.), requires that the Secretary of the U.S. Department of Health and Human
Services “collect and disseminate data annually relating to the abuse, exploitation, and neglect
of elders in coordination with the Department of Justice” (Sec. 2041 (a) (1) (B)) and “conduct
research related to the provision of adult protective services” (Sec. 2041 (a) (1) (D)). The Elder
Justice Act specifically authorizes the U.S. Department of Health and Human Services to
develop and disseminate information on best practices in adult protective services, provide
training for adult protective services, and provide technical assistance to states and others that
provide or fund the provision of adult protective services. The Inventory of State Adult
Protective Services Practices and Service Innovations: APS Practice Survey is a new data
collection that will address these requirements by collecting data from APS agencies in the 50
states, the District of Columbia, and U.S. Territories about the practice variations in APS
programs for older adults and adults, obstacles to meeting policy mandates, and practice
innovations and model programs that address such barriers and community-identified needs.
A2. PURPOSE AND USE OF THE INFORMATION
This is a one-time, voluntary data collection sponsored by ACL as part of a program
evaluation and technical assistance efforts of APS programs by the Adult Protective Services
Technical Assistance Resource Center (APS TARC), an ACL contractor. This survey will provide a
more thorough understanding of APS practices and service innovations of APS programs. The
APS Practice Survey will survey all 50 States, the District of Columbia and territories to collect
comparable information about APS practices.
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OMB Number 0985-New APS TARC Practice Survey
The APS Practice Survey specifically seeks to identify practice innovations and model
programs that address community-identified needs and facilitate meeting policy mandates. It
also seeks to identify practice variations in the way APS programs serve older adults and adults
with disabilities.
The results of the survey will serve to advance the field of APS and will be useful to
many audiences. It will provide baseline information regarding the status of APS programs and
services and the resulting information will help states compare their program characteristics
with those of other states. The survey will provide a context and data for other researchers
examining APS programs, including the current APS evaluation being conducted by the APS
TARC. It will inform ACL’s efforts to support improvement of APS programs through activities
such as innovation grants and the ongoing revision process for the National Voluntary
Consensus Guidelines for APS Systems. Finally, it will inform the APS TARC team’s efforts to
develop resources to enhance APS programs around the country.
A3. USE OF INFORMATION TECHNOLOGY AND BURDEN REDUCTION
ACL is committed to complying with the E-Government Act, 2002 to promote the use of
technology. Survey respondents will complete a web-based survey (see Appendix A) that will be
programmed using Survey Monkey™ or similar online web-based software.1 This data collection
method will reduce the time burden for respondents and allow them to complete the survey at
their convenience, to save their responses, and complete the survey later. The web-based
survey will be delivered to all respondents, regardless of location, on the same day and may be
easily submitted immediately after completion, a distinct advantage for a survey of 50 States,
the District of Columbia and territories. Respondents can return their completed survey
electronically, which eliminates the need for them to mail a hard-copy survey. This web-based
survey features skip patterns, which reduce the burden on respondents because they do not
have to read through questions they are not appropriate for them to answer.
1
Survey Monkey™ is a commercial survey-programming tool used to program survey instruments for online
administration and is approved by the Federal Government for use by agencies.
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OMB Number 0985-New APS TARC Practice Survey
This method is the most cost-effective for surveying the population for this study, who are
professionals with access to the Internet and computers in their offices. For these reasons, the
APS TARC will send survey invitations via e-mail with a link for respondents to access the
survey.
A4. EFFORTS TO IDENTIFY DUPLICATION. DESCRIBE EFFORTS TO IDENTIFY DUPLICATION
This survey does not duplicate any other efforts. It is part of the first-ever national APS
program evaluation. We have reviewed the literature of research on APS practices and have
identified a significant gap in information about specific APS intake, investigation, service
delivery, and quality assurance practices. The National Adult Protective Services Association
(NAPSA) conducted a survey of State APS practices in 2012. (Advancing States, a national trade
association, recently updated the survey by surveying its members but not all APS programs.)
While the NAPSA survey contained a few questions on similar topics, it was focused on a
broader understanding of APS programs rather than on in-depth casework practice issues. APS
practice has evolved considerably during the last nine years so the practice information in the
survey is out of date. No other national survey related to APS practice has been undertaken.
ACL is sponsoring a data collection to study outcomes of APS programs. The study, by
New Editions Consulting, is focused on client outcomes and not APS program practice. The
purpose of the studies and data collection questions are different.
The National Adult Maltreatment Reporting System (NAMRS), sponsored by ACL,
collects descriptive data on state agency policies through the Agency Component. No
information collected through NAMRS is included in the APS Practice Survey. ACL, as part of
the APS TARC program evaluation, has also reviewed in depth state APS policies through the
examination of written extant information. No data collection burden was involved in that
effort and this survey will not duplicate any of that work. NAMRS collects administrative data,
including a few policy questions, but does not include any questions about APS practice or
innovations.
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OMB Number 0985-New APS TARC Practice Survey
While several national surveys or studies have examined issues and concerns of older
Americans and adults with disabilities, none of these has addressed state and local APS
agencies practices for investigating adult maltreatment. For example:
The National Survey of Older Americans Act Participants (NSOAAP) (OMB No. 0950023) is a representative sample of older Americans who are receiving OAA
services, including case management, congregate meals, home delivered meals,
homemaker, transportation, and family caregiver. It collects detailed information
on the services received. (See https://aoasurvey.org/default.asp)
The Health and Retirement Study (HRS) (NIA U01 AG009740) is a longitudinal panel
study of a representative sample of 20,000 Americans over the age of 50 and is
conducted every 2 years. The study focuses on labor force participation and health
transitions. (See: http://hrsonline.isr.umich.edu/)
The National Study of Caregiving is a nationally representative sample of persons
age 65 or older who receive assistance with daily activities. (OMB No.: 0920-0780)
Telephone interviews are conducted with individuals who have friends or relatives
participating in the National Health and Aging Trends Study (NHATS). (See
http://www.nhats.org/scripts/participant/nsocoverview.htm)
The National Survey of Residential Care Facilities was conducted in 2010 and
collected data on service providers, their staffs and services, and their residents.
(OMB No.: 0985-0052) (See http://www.cdc.gov/nchs/nsrcf.htm)
The National Core Indicators (http://www.hsri.org/project/national-coreindicators/overview/) was developed by HSRI and the National Association of State
Directors of Developmental Disabilities Services is used for quality management of
state agencies. Forty states participate in one or more of the standardized surveys
including a consumer survey, family survey, and a provider survey. The family
survey includes a question about knowing how to report abuse or neglect, but does
not collect information on maltreatment.
A5. IMPACTS ON SMALL BUSINESSES OR OTHER SMALL ENTITIES
No small businesses will be involved in this study.
A6. CONSEQUENCES OF COLLECTING THE INFORMATION LESS FREQUENTLY
This is a one-time only data collection and is a necessary component of meeting the
requirements of the Elder Justice Act, passed in 2009.
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OMB Number 0985-New APS TARC Practice Survey
The information is critical to assist ACL in making programmatic decisions in terms of priorities,
areas of focus, and funding of improvements in the field. The information is also critical to
provide effective and efficient technical assistance to APS programs; without the survey, the
APS TARC relies on incomplete or ad hoc information to answer program technical assistance
questions. The burden to respondents has been reduced to the minimum using technology and
the pretesting of questions. If this data collection is not conducted, we will lose valuable
information about the scope of practice and the evolving barriers and promising practices in the
field.
A7. SPECIAL CIRCUMSTANCES RELATING TO THE GUIDELINES OF 5 CFR 1320.5
This information collection fully complies with 5CFR 1320.5 and does not require any
special circumstances.
Respondents complete the survey only once.
Respondents are being asked to return their surveys within 45 days.
Respondents will complete an electronic survey; no paper documents will be required.
Respondents will not be asked to retain any records.
This is not a statistical survey and does not require a statistical data classification.
This survey does not contain any questions requiring confidentiality.
This survey does not contain any questions regarding trade secrets or confidential
information.
A8. COMMENTS TO THE FEDERAL REGISTER NOTICE AND EFFORTS FOR CONSULTATION
This survey previously ran a 60-day FRN in 83 FR 66276 on 12/26/2018. As required
under the PRA we are providing the public an opportunity to comment on any changes or
updates applied to this IC since the 2018 publication.
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OMB Number 0985-New APS TARC Practice Survey
ACL published an abbreviated public comment period for an additional 30-days prior to
publication of a 30-day FRN and submittal to OMB in FR 85 77218 on 12/1/2020. A 30-day FRN
published in FR 86 11543 on 2/25/2021, there were no public comments received during either
comment period.
Any changes to the survey from the initial 60-day FRN publication are incorporated into
this version for submittal to OMB.
The APS TARC Evaluation team requested voluntary participation from nine States to
pilot test the survey. Members of the pilot test group were asked to provide recommendations
on data collection procedures, to provide their views on the availability of data being
requested, and to pre-test the survey instrument between July 13, 2017 and July 26, 2017. The
Pilot Test Group participated in one focus group via teleconference to provide feedback on the
survey on July 26, 2017. An additional phone interview was conducted on September 27, 2017
with one state who was unable to participate in July. Table A8 below lists the State agency
representatives who participated in these focus groups as subject matter experts for the
instrument design.
Table A8. Subject Matter Experts and Consultants
Invited State
Arizona
Participated
/Provided Feedback
X
Georgia
X
Iowa
Illinois
Missouri
Declined
/Unavailable
Name and Contact Information
Amy McKlindon
Program Improvement Manager
Department of Economic Security
[email protected]
David Hay
Senior Field Operations Manager
GA Division of Aging Services
[email protected]
X
X
X
Lois Moorman
APS Program Administrator
Department on Aging
[email protected]
Kathryn Sapp
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OMB Number 0985-New APS TARC Practice Survey
Bureau Chief, Div. Senior & Disability
Srvs.,
Department of Health & Senior
Services
[email protected]
Minnesota
New Hampshire
X
X
New York
X
Ohio
X
Oregon
X
Pennsylvania
Tennessee
X
Texas
X
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Rachel Lakin
APS Program Operations
Administrator
Department of Health and Human
Services
[email protected]
Lisl Maloney
Adult Services Program
Representative
Office of Children & Family Services
[email protected]
Amy Welling
Program Developer
Department of Job & Family Services
[email protected]
Marie Cervantes
Senior APS Program Manager
Office of Investigations & Training
[email protected]
X
Renee Bouchillon
APS Program Supervisor
Department of Human Services
[email protected]
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9
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OMB Number 0985-New APS TARC Practice Survey
A9. EXPLAIN ANY DECISIONS TO PROVIDE ANY PAYMENT OR GIFT TO RESPONDENTS
No payment or gift will be provided to respondents.
A10. ASSURANCES OF CONFIDENTIALITY PROVIDED TO RESPONDENTS
There are no assurances of confidentiality. The survey instrument does not contain any
sensitive data or any personally identified information linked to individual APS clients.
The survey respondents are State employees, responding on behalf of their agencies, and
their names are collected for contact purposes but will be removed from all data sets. Data will
be identified only by the name of the state agency that responded.
A11. JUSTIFICATION FOR ANY QUESTIONS OF A SENSITIVE NATURE
The survey does not include questions of a sensitive nature.
A12. ESTIMATES OF THE HOUR BURDEN OF THE COLLECTION OF INFORMATION
A.
The study sample will include 56 state, the District of Columbia, and territory APS
Program Managers. Study participation will involve completing a one-time web-based survey.
Details are provided in Table A12.A. Non-respondents are those states that discuss participation
in the survey but decide not to participate.
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Table A12.A. Estimates of Hour Burden to Respondents and Non-Respondents
B.
GRAND
TOTAL
Estimated Number of NonRespondents
Frequency of Response
Total Annual Responses
Average Time per Response
(Hours)
51
1
51
0.5
25.5
5
1
5
0.5
2.5
28
56
51
1
51
3
153
5
1
5
0
0
153
56
51
1
51
5
1
5
0.5
2.5
181
3.5 178.5
Grand Total Annual Burden
Estimates (Hours)
Subtotal Estimated Annual
Burden (Hours)
56
Subtotal Estimated Annual
Burden (Hours)
Average Hours per Response
NON-RESPONDENTS
Estimated Number of
Respondents
Frequency of Response
(Annually)
Total Annual Responses
State
Review and
APS
respond to
Program
communications
Manager
State
APS
Complete online
Program
survey
Manager
TOTAL
Sample Size
Type of Data Collection
Respondent Description
RESPONDENTS
Table A12.B below illustrates the estimated annualized cost to respondents for the hours of
burden for this data collection. For State APS program managers, with a median hourly wage rate
of $34.07,2 the total cost burden would be $6,167.
2
The Bureau of Labor Statistics (BLS) mean annual wage for Social and Community Services Managers (occupation code
is 11-9151) is $70,870; $34.07 /hour.
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Table A12.B. Annualized Cost to Respondents
Respondents
Data Collection
Total
Burden
Hours
Hourly
Wage
Rate
Respondent
Cost
Non
Respondent
Cost
Total
Cost
State APS
Program
Managers
State APS
Program
Managers
Review and
Respond to
Communications
28
$34
$869
$85
$954
Online Survey
153
$34
$5,213
0
$5,213
$6,081
$85
$6,167
Total
181
A13. ESTIMATES OF OTHER TOTAL ANNUAL COST BURDEN
There is no other cost to respondents.
A14. PROVIDE ESTIMATES OF ANNUALIZED COST TO THE FEDERAL GOVERNMENT
AGENCY
ACL
Contractor Staff
Total
Annualized
Cost
$ 20,000
$123,000
$143,000
A15. EXPLANATION OF PROGRAM CHANGES OR ADJUSTMENTS
This is a new information collection request there is a program change increase of 181
annual burden hours.
A16. PLANS FOR TABULATION, AND PUBLICATION AND PROJECT TIME SCHEDULE
The APS TARC Evaluation team will collect data via the web-based survey during
approximately a one-month period. After the data collection, the APS TARC Evaluation team
will convert accepted survey results into analysis-ready formats.
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OMB Number 0985-New APS TARC Practice Survey
During the analysis phase the Evaluation team will generate a description of practices
within each of the main functional areas of APS identified in the logic model, including
administration, intake, investigation, post-investigation services, and quality assurance.
The Evaluation team will summarize quantitative data using a statistical package such as
SPSS and calculate descriptive statistics to describe the variation in data across the States and
percentage of States that have implemented a certain policy, procedure, practice, or initiative.
For qualitative analyses of open-ended survey items, the Evaluation team will use qualitative
analysis techniques, including potential use of software such as ATLAS.ti, to examine common
themes in the data.
After analyzing the data, the Evaluation team will submit a final report to ACL. The
report will include an executive summary, an overview of the study and study methods, a
discussion of study findings, limitations, qualification and remaining issues. The Evaluation team
will also present findings in a briefing to ACL staff. The schedule for data collection, analysis,
and reporting shown in Table A16 below.
Table A16. Project Time Schedule
Subtasks / Deliverables
Finalize Programming of Web-Based Survey
Recruit APS Agencies
Collect Data
Conduct Data Analysis
Final Data Analysis Tables
Final Outline of Final Report
First Draft of Final Report
Final Report
Briefing
Target Start Date
3/9/21
3/1/21
4/30/21
5/17/21
6/17/21
5/14/21
7/1/21
8/1/21
9/1/21
Target Delivery
Date
3/15/21
3/5/21
5/14/21
6/16/21
6/30/21
5/14/21
7/31/21
8/31/21
9/28/21
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A17. DISPLAYING THE OMB APPROVAL EXPIRATION DATE
The OMB number and expiration date will be displayed on the survey.
A18. EXCEPTIONS TO THE CERTIFICATION STATEMENT IDENTIFIED IN ITEM 19
There are no exceptions to the certification.
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| File Type | application/pdf |
| File Modified | 2021-03-11 |
| File Created | 2021-03-11 |