6000 Evidence Collection
APS January 2022
APS collects evidence for the following reasons:
- To determine whether abuse, neglect, or financial exploitation happened.
- To determine the nature, extent, and root cause of the abuse, neglect, or financial exploitation.
- To identify problems and factors that put the client’s health or safety at risk.
How APS Collects Evidence
The APS specialist collects evidence in the following ways:
- Interviewing people likely to have current and reliable information about the allegations or the client’s situation.
- Requesting copies of relevant documents or records (such as from law enforcement, banks, or physicians) within 10 calendar days of either a successful initial face-to-face contact with the client or a supervisor consultation if the client has refused to cooperate.
- Taking photos of physical evidence (injuries, environments, and so on).
- Drawing diagrams, such as of the layout of a client’s home.
- Collecting additional evidence when requested by APS State Office, the district director, program administrator, supervisor, or DFPS attorney.
Situations When Others May Use the Tablet PC
The APS specialist may obtain written statements, release forms, and diagrams using a hard copy of the document or electronically using the tablet PC. These documents may be signed electronically on the tablet or printed and signed in the presence of the APS specialist.
The APS specialist stores any hard copy or electronic documents using one of the following methods:
- Uploading the documents to OneCase.
- Listing the documents on the External Documentation page and storing the hard copies in the paper case file.
See:
15220 Maintenance of Paper Case Files
How APS Uses Evidence
The APS specialist thoroughly investigates and uses professional judgment to determine when APS has collected enough evidence to reach an accurate conclusion about the following:
- Validity of the allegations.
- Need for protective services.
- Client’s overall safety (for example, safe, conditionally safe, or unsafe).
- Root cause of abuse, neglect, or financial exploitation.
When necessary, the APS specialist resolves discrepancies in evidence in any of the following ways:
- Re-interviewing principals or collaterals.
- Interviewing new collaterals.
- Gathering new documentary or demonstrative evidence.
The APS specialist consults with the subject matter expert (SME) as necessary when evidence is unavailable or difficult to collect.
See 9800 Subject Matter Expert (SME) Consultations.
Types of Evidence
Evidence APS collects includes, but is not limited to, the types described in the table below.
| Type of Evidence |
Description and Examples |
|---|---|
Verbal and written statements from the following:
|
|
Evidence that can be seen or touched, such as the following:
|
|
Images or recordings that capture physical evidence, such as the following:
|
|
Paper and electronic records, such as the following:
|
6100 Testimonial Evidence
APS January 2022
During the investigation, APS collects testimonial evidence to assess the client’s overall situation and risk. A thorough investigation and assessment through observations and interviews helps APS make the investigative finding and supports the conclusion justification at the end of the investigation, when APS has reached a disposition (finding) for all allegations. See 8000 Investigations and Assessments.
6110 Written Statements
APS March 2024
APS may take written statements from clients, alleged perpetrators, or collaterals, when necessary, to strengthen investigations.
APS case records are available upon written request to certain people, including the client and the client’s guardian, after APS completes the investigation, and DFPS de-identifies the records. The alleged perpetrator and collaterals interviewed during the investigation are only entitled to the portion of the record that relates to that person’s interview.
If a collateral or alleged perpetrator wants a copy of his or her written statement, the APS specialist provides him or her with instructions for requesting a copy of the record from the Records Management Group (RMG).
See 15111 Individuals and Entities Entitled to the Case Record.
Obtaining Written Statements
Before obtaining written statements, the APS specialist may consult with the subject matter expert (SME) to determine whether written statements are necessary for the investigation, and from whom the APS specialist should seek to obtain a written statement.
The APS specialist uses Form 2268a APS Investigations Statement to obtain a written statement. The directions for completing the form are on the form.
See 9800 Subject Matter Expert (SME) Consultations.
6120 Interviews
APS March 2024
Human Resources Code §48.152 requires APS investigations to include interviews with the client, if appropriate, and with people who are thought to have knowledge of the circumstances.
During investigations, APS interviews all appropriate people, including reporters, clients, alleged perpetrators, witnesses, medical staff, and others who have knowledge of the allegations and clients’ situations.
If a client, alleged perpetrator, or collateral tells the APS specialist that he or she has an attorney, the specialist does as follows:
- Requests a letter of representation from the attorney who is representing the client or alleged perpetrator.
- Refrains from any further communication with the client, perpetrator, or collateral. This includes verbal communication, letters, emails, phone calls, or text messages.
- Consults with the regional attorney for further instructions.
Audio/Video Recordings During an Interview
Clients, alleged perpetrators, and collaterals have the right to record an APS specialist who is conducting an interview. If the APS specialist sees or suspects that he or she is being recorded, the specialist does as follows:
- Stops the interview.
- Advises the client, alleged perpetrator, or collateral that his or her recording may be subject to subpoena under a court order.
- Consults with the supervisor regarding how to proceed with the interview.
Documentation for Interviews
The APS specialist does as follows for each interview:
- Makes sure the person’s name and contact information are on the Person List page.
- Enters the entity or agency the person works for (such as law enforcement, a home and community support services agency, or a medical office), if applicable, in the Comment field on the Person Detail page.
- Documents the content of each contact, including narrative information, in a Contact Detail page.
See 9000 Case Contacts.
6121 Interviewing a Client
APS September 2022
During APS investigations, APS specialists interview people age 65 or older and adults with disabilities who are alleged to be in a state of abuse, neglect, or financial exploitation to investigate the case and thoroughly assess clients’ overall situations.
When interviewing the client, the APS specialist does as follows:
- Requests to interview the client alone during the initial face-to-face contact, and any other time the allegations are being addressed, to ensure the client’s privacy and safety.
- Allows the client to have another person present upon the client’s request. This may include, but is not limited to, an advocate, collateral, or the alleged perpetrator if the client insists.
- Addresses all important factors about the allegations and the client’s overall situation.
- Re-interviews the client, as necessary, to resolve discrepancies.
The APS specialist documents in IMPACT whether he or she interviewed the client alone or whether another person was present at the client’s request. If another person was present for the interview, the APS specialist documents the following:
- The reason why another person was present.
- The person’s relationship to the client.
The APS specialist monitors the client during the interview to see whether he or she appears hesitant, withdrawn, or nervous. Such cues may indicate that the client is not comfortable speaking openly in the presence of the other person.
6121.1 Permission to Enter the Home
APS January 2022
Throughout the case, the APS specialist must obtain specific permission from an adult who lives in the home before entering the home where the interviewee lives. Examples may include a verbal response or a resident opening the door for the APS specialist to enter.
If the person who answers the door is not an adult or does not live there, he or she does not have the authority to consent to entry.
A manager or home owner who does not live in the home does not have the authority to consent to entry.
The APS specialist documents the identity of the person who granted specific permission to enter the home on the Contact Detail page in IMPACT.
6121.11 Denial or Revocation of Permission to Enter
APS September 2024
The APS specialist does not enter the home if permission is denied or remain in the home if permission is revoked after it was initially granted. This applies even if the denial or revocation comes from someone other than the client, such as a caretaker, other resident, or family member.
The APS specialist may attempt to use verbal persuasion to gain permission to enter or remain in the home.
The APS specialist documents the identity of the person who denied or revoked the permission on the Contact Detail page in IMPACT.
Law enforcement may be present as a safety precaution for the APS specialist when the client or other person refuses to grant entry or asks the APS specialist to leave the home. The APS specialist cannot rely on law enforcement to gain entry into the home.
The APS specialist is required to leave the home or to refrain from entering if any adult who lives in the home asks the specialist to do so.
Help with Permission to Enter
Once permission to enter has been denied or revoked, the APS specialist seeks help in getting permission to enter or return to the home from a family member or friend of the client.
If this fails, the APS specialist follows procedures outlined in 12100 Initiating Legal Actions to determine whether it is appropriate to seek an order for court-authorized entry or an order against interference with an investigation.
See:
12120 Consulting with Regional Attorneys
Emergencies Requiring Entry
The APS specialist uses judgment to determine whether an emergency exists that requires contacting law enforcement or other emergency personnel to gain entry or to remain in the home. The APS specialist bases the decision on what he or she observes when being refused entry or asked to leave.
The APS specialist may enter without a court order in an emergency for the purpose of preserving life, when both of the following apply:
- The APS specialist has reason to believe that the client is alone and is in a life-threatening situation.
- There is no one available to give consent.
Before entering in this situation, the APS specialist must do as follows:
- Call 911.
- Notify a supervisor about the actions he or she intends to take.
See:
8210 Client Refuses to Cooperate with APS Investigation
12400 Interference with Investigation or Protective Services
6121.2 Transportation for a Client
APS September 2024
The APS specialist may arrange transportation for a client when he or she has no means of transportation and either of the following applies:
- The client would be more comfortable being interviewed in a different setting.
- The client has an appointment that is necessary to assess or ensure his or her health or well-being, such as a medical appointment.
In these situations, the APS specialist seeks transportation for the client from sources that include, but are not limited to, the following:
- Family and friends of the client.
- Public transportation.
- Medicaid transportation.
- Taxi services.
- Community agencies.
The APS specialist only transports a client in the APS specialist’s vehicle when all of the following apply:
- There are no other means of transportation available.
- There are no safety concerns.
- The client is clearly willing and capable of giving consent. If a client has a legal guardian, the guardian must give consent.
If the client is unwilling, lacks capacity to consent, or has a legal guardian who refuses consent, the APS specialist reconsiders whether the alternate interview site or appointment is necessary. If the APS specialist still believes it is necessary, the APS specialist consults with the supervisor about possible alternatives.
If a guardian or caretaker prevents the client from being transported, APS may seek a court order against interference with an investigation or service provision. Before requesting this legal action, the APS specialist follows procedures outlined in 12100 Initiating Legal Actions.
See:
5340 Transportation of Clients Who Do Not Have Valid Immigration Documents
12400 Interference with Investigation or Protective Services
6121.3 Undue Influence
APS January 2022
Undue influence is the improper use of power or trust in a way that deprives a person of free will and substitutes another’s objective.
Black’s Law Dictionary (Seventh Edition)
APS considers whether undue influence from alleged perpetrators or others is causing a client’s refusal to cooperate with an APS investigation or a client’s refusal of protective services. A client who has the capacity to consent to or refuse protective services can still be unduly influenced.
Behavioral patterns that may indicate someone is experiencing undue influence include, for example, the following:
- Physical or mental dependency on the perpetrator.
- Isolation from social contacts or information.
- Emotional manipulation by the perpetrator.
- Surrender of control of finances or property to the perpetrator.
It is difficult to validate an allegation of financial exploitation when the disposition is only based on undue influence, especially when the alleged perpetrator is a family member of the client.
Procedure for Cases That May Involve Undue Influence
To determine whether the client is voluntarily refusing to cooperate with APS, or is refusing because of undue influence from the alleged perpetrator or others, the APS specialist does the following:
- Initiates the case with someone other than the client.
- Does not interview the client by phone during the course of the investigation, because the alleged perpetrator may be in the room during the conversation and become angry with the client for speaking with the APS specialist.
- Makes sure the client has the opportunity to speak with the APS specialist in a safe environment and the alleged perpetrator is not nearby.
- Attempts to develop rapport with the client.
- Attempts to help the client see his or her relationship with the alleged perpetrator in a different way.
- Attempts to involve family or friends in an effort to decrease the client’s isolation.
- Observes the client for indications of fear, nervousness, or any other signs indicating discomfort with the discussion.
- Offers all possible alternatives for protective services.
- Makes sure the client understands his or her situation and the right to refuse to cooperate with the investigation or accept protective services.
- Assesses for indicators that the client may lack the capacity to consent to protective services.
- Notifies law enforcement if the APS specialist, supervisor, or subject matter expert (SME) has cause to believe the abuse, neglect, or financial exploitation is a criminal offense under any law.
See:
8210 Client Refuses to Cooperate With APS Investigation
10310 Possible Lack of Capacity to Consent When a Client Refuses or Withdraws from Services
10320 Seeking Medical or Mental Health Evaluations
6122 Interviewing an Alleged Perpetrator
APS September 2024
The APS specialist interviews the alleged perpetrator as part of the investigation to collect important information and develop a complete understanding of the situation.
The alleged perpetrator has a right to have an attorney present during interviews.
When interviewing the alleged perpetrator, the APS specialist does as follows:
- Tells the alleged perpetrator there are allegations against him or her and what those allegations are, either verbally or in writing.
- Consults with the regional attorney, if the alleged perpetrator requests for his or her attorney to be present during the interview.
- Avoids preconceived ideas about the allegations when interviewing the alleged perpetrator.
- Interacts with the alleged perpetrator in an objective and professional manner.
- Addresses all important factors related to all allegations and the client’s overall situation.
- Re-interviews the alleged perpetrator, as necessary, to resolve any remaining discrepancies.
- Builds a working relationship with the alleged perpetrator.
- Gets the help of a secondary APS specialist, if the alleged perpetrator lives in a different county.
When reasonable attempts to interview the alleged perpetrator are unsuccessful, the APS specialist does as follows:
- Mails the Alleged Perpetrator Request for Interview letter (Form 2255 Alleged Perpetrator Request for Interview), return receipt requested.
- Keeps the case open until one of the following occurs:
- The letter is returned as unable to be delivered.
- Ten calendar days pass from the date that the letter was mailed, and APS receives no contact from the alleged perpetrator during that period.
See:
9400 Initial Face-to-Face Contact with the Client
8210 Client Refuses to Cooperate with APS Investigation
When Interviewing an Alleged Perpetrator Is Not Required
The APS specialist is not required to interview the alleged perpetrator when one or more of the following apply:
- The alleged perpetrator does not respond to the APS specialist’s attempts to arrange an interview.
- The alleged perpetrator refuses to be interviewed.
- Law enforcement or prosecuting attorneys ask APS to delay or refrain from interviewing the alleged perpetrator because of an ongoing criminal investigation or pending prosecution.
- APS cannot locate the alleged perpetrator.
- The alleged perpetrator is a minor, and the parent or guardian refuses to allow an interview.
- The APS specialist has reason to believe that interviewing the alleged perpetrator would place the client in danger of serious physical or emotional harm.
Determining a Disposition without Interviewing the Alleged Perpetrator
When the APS specialist does not complete the alleged perpetrator interview for any of the reasons above, the APS specialist weighs all available evidence to determine whether there is a preponderance of the evidence to support a finding.
See:
8500 Determination of Findings
8210 Client Refuses to Cooperate with APS Investigation
14120 Notifications to the Designated Perpetrator
Law Enforcement or Prosecuting Attorney Asks APS to Delay or Refrain from Interviewing the Alleged Perpetrator
Sometimes law enforcement or prosecuting attorneys ask APS to delay or refrain from interviewing the alleged perpetrator because of an ongoing criminal investigation or pending prosecution. When this happens, the APS specialist documents this request in IMPACT and includes all required information as outlined in 6123.3 Interviewing Law Enforcement.
The APS specialist uses all available evidence to reach a finding, including any discussions with law enforcement about statements that the alleged perpetrator has made. The APS specialist may include these statements in the APS investigation instead of interviewing the alleged perpetrator.
The APS specialist may complete the investigation without interviewing the alleged perpetrator if it appears that the delay will be longer than three months.
See 14110 Designated Perpetrators Ineligible for a Desk Review.
6123 Interviewing a Collateral
APS September 2022
The APS specialist interviews all appropriate people who APS thinks have knowledge of the client’s situation, in order to collect evidence and assess the client’s overall situation and risk.
When interviewing these collaterals, the APS specialist makes sure to protect the client’s privacy and confidentiality. See 15121 Case Information to the Reporter and Collaterals.
The APS specialist thoroughly interviews and, as appropriate, re-interviews all appropriate collaterals for all of the following reasons:
- To determine whether the allegations are valid.
- To understand the client’s overall situation and risk.
- To resolve discrepancies in evidence.
When interviewing a collateral, the APS specialist does as follows:
- Addresses all important factors related to the allegations and the client’s overall situation.
- Explores risk to the client’s health and safety.
- Questions the collateral further to clear up discrepancies.
- Re-interviews the collateral, as necessary, to resolve any remaining discrepancies.
See 9000 Case Contacts.
6123.1 Interviewing the Reporter
APS September 2024
Before case closure, the APS specialist interviews the person who reported the abuse, neglect, or financial exploitation for the following reasons:
- To clarify information given at intake.
- To collect additional information about allegations and the client’s overall situation and risks of harm.
Interviewing the reporter as one of the first interviews during the investigation may help to do the following:
- Determine whether the intake report adequately captures the reporter’s concerns.
- Prevent the need to re-interview principals and collaterals to address concerns that were not initially included in the intake.
APS case-related information is confidential. Unless otherwise entitled to case records, reporters are only given case information that is necessary for the following purposes:
- To confirm whether APS will accept the allegations for investigation.
- To collect evidence and relevant information related to allegations and the client’s overall situation and risk.
- To arrange for protective services to reduce risk of harm or alleviate abuse, neglect, or financial exploitation.
All files, reports, records, communications, and working papers used or developed in an investigation or in providing services as a result of an investigation are confidential, except as provided by Texas Government Code, Chapter 552 (Public Information). This confidential case information includes the following:
- A report of abuse, neglect, or financial exploitation.
- The identity of the person making the report.
Texas Human Resources Code §48.101
The APS specialist consults with the supervisor and regional attorney, as appropriate, when the specialist is uncertain about what information APS can release to the reporter.
See:
15000 Confidentiality and Integrity of Records
15100 Disclosure and Release of Case Information
15121 Case Information to the Reporter and Collaterals
Reporter with Firsthand Knowledge
If the reporter witnessed the alleged abuse, neglect, or financial exploitation, the APS specialist does as follows:
- Contacts the reporter to obtain more information, unless the reporter is anonymous.
- Attempts a second contact to interview the reporter, if the first attempted contact is unsuccessful, unless the reporter is anonymous.
- Asks about all aspects of the allegations and the client’s overall situation.
- Explores risk to the client’s health and safety.
- Re-interviews the reporter, as necessary, to resolve any remaining discrepancies.
Reporter without Firsthand Knowledge
In some cases, the reporter may be a person who was not a direct witness and has no firsthand knowledge of the alleged incident of abuse, neglect, or financial exploitation.
If the APS specialist has identified a person with firsthand knowledge, the specialist may use discretion in determining whether it is necessary to interview the reporter. The APS specialist considers what other relevant information about the client’s situation the reporter may be able to provide. If the APS specialist does not interview the reporter, the APS specialist documents, without identifying the reporter, that the reporter was not interviewed because he or she had no firsthand knowledge or other relevant information.
If the APS specialist determines interviewing the reporter is not necessary, the APS specialist still interviews or attempts to interview the person with firsthand knowledge as outlined above in Reporter with Firsthand Knowledge.
See 6100 Testimonial Evidence.
Documentation for Reporter Interviews
Texas law requires that the identity of the person reporting abuse, neglect, or financial exploitation be kept confidential. Clients, perpetrators, and guardians can obtain copies of case files, so APS specialists must be careful about how they document information related to the reporter.
Texas Human Resources Code §48.101
When documenting interviews with the reporter, the APS specialist does as follows:
- Makes sure to document all case information in a way that does not give any indication of who reported the abuse, neglect, or financial exploitation. The APS specialist does not use terms such as “reporter” or phrases such as “made the report.”
- Documents in IMPACT all attempts to contact the reporter.
See 9000 Case Contacts.
6123.2 Interviewing Medical or Mental Health Staff
APS September 2022
Medical and mental health staff members include, but are not limited to, the following:
- Physicians
- Psychiatrists
- Psychologists
- Emergency medical technicians
- Emergency room staff
- Medical social workers
The APS specialist interviews all appropriate medical or mental health staff who have current and reliable information related to the allegations that indicate the client has any of the following:
- Significant medical conditions.
- Significant mental health conditions.
- Need for medical or mental health treatment or medications.
- Continued medical or mental health needs despite recent medical or mental health intervention.
The APS specialist also interviews medical professionals for the following reasons, as appropriate:
- To assess the client’s condition to help determine the degree of safety.
- To assess the client’s capacity to consent to services, if needed.
- To explain to the client the implications of his or her condition and the advisability of medical treatment.
- To determine the need for medical or mental health diagnosis or treatment.
- To determine the need for protective services.
Conducting Interviews of Medical or Mental Health Staff
When interviewing staff members in medical or mental health occupations, the APS specialist does as follows:
- Addresses the allegations and the client’s overall medical or mental health situation, including risk to the client’s health and safety.
- Attempts a second contact to interview with appropriate medical or mental health staff, after the first attempted contact is unsuccessful.
- Documents all attempted and successful contacts with medical or mental health staff as outlined in policy.
- Re-interviews medical or mental health staff later, as necessary to resolve any remaining discrepancies.
- Interviews additional medical or mental health staff members, as necessary, to determine the client’s overall medical condition and safety.
See 9000 Case Contacts.
6123.3 Interviewing Law Enforcement
APS September 2022
Law enforcement entities include, but are not limited to, the following:
- Police department
- Sheriff’s office
- Department of Public Safety (DPS)
- Office of Inspector General (OIG)
- Texas State Securities Board (TSSB), Enforcement Division
- District attorney’s office
- Local code enforcement
The APS specialist interviews law enforcement personnel, as necessary, to do as follows:
- Investigate allegations of abuse, neglect, or financial exploitation.
- Explore the client’s overall situation and safety.
When interviewing law enforcement personnel during an investigation, the APS specialist does as follows:
- Requests the name and contact information of any law enforcement personnel contacted.
- Addresses all important factors related to the allegations and the client’s overall situation.
- Attempts a second contact to interview with appropriate law enforcement personnel, after the first attempted contact is unsuccessful.
- Documents all attempted and successful contacts with law enforcement personnel as outlined in policy.
- Re-interviews law enforcement personnel later, as necessary to resolve any remaining discrepancies.
- Requests help as necessary to deliver protective services.
See:
9100 Requirements for Contacts
6124 Interviewing a Minor
APS September 2024
APS interviews minors who are either of the following:
- Alleged perpetrators, as outlined in 3330 Minors as Perpetrators.
- Collaterals.
APS is authorized to interview a minor during an investigation with or without first requesting consent from his or her parents or responsible adults. If APS requests consent before the interview, the parents or responsible adults can do any of the following:
- Give consent.
- Refuse consent.
- Insist on being present during the interview.
- Delay the interview.
If one parent refuses to give consent, the APS specialist does not interview the minor, even if the other parent has given consent.
See 6122 Interviewing an Alleged Perpetrator
6124.1 Requesting Consent to Interview a Minor
APS January 2022
The APS specialist may seek consent from the parent or responsible adult before interviewing a minor.
If the parent or responsible adult consents to the APS interview, the APS specialist is not required to complete Form 2262 Notification to Parent or Responsible Adult.
The parent or responsible adult may refuse to allow the APS specialist to interview the minor. When this happens, the APS specialist must respect the decision of the parent or responsible adult, even if the minor meets one or more of the following conditions:
- Wants to give evidence.
- Is the alleged perpetrator.
- Has critical knowledge about the case.
6124.2 Interviewing a Minor Without Requesting Consent
APS January 2022
When the APS specialist interviews a minor without the prior consent of the parent or the responsible adult whom the minor primarily lives with, the APS specialist completes Form 2262 Notification to Parent or Responsible Adult and sends it to one of the following, as appropriate:
- The parent.
- The responsible adult of the minor, if APS does not know where the parent is located.
- Both the responsible adult and the parent, if APS knows where the parent is located, and parental rights have not been terminated.
The APS specialist stores a copy of the form using one of the following methods:
- Uploading the form to OneCase.
- Listing the form on the External Documentation page and storing the hard copy in the paper case file.
6124.3 Interviewing a Minor at School
APS January 2022
The APS specialist refers to the table below before interviewing a minor at school:
| Actions by School: |
Actions by APS Specialist: |
|---|---|
School consents to APS interview of minor. |
APS specialist interviews the minor on school premises if the parent or responsible adult has not refused consent. |
School does not consent to APS interview of minor. |
APS specialist does not interview the minor on school premises. APS specialist interviews the minor at another location if the parent or responsible adult has not refused consent. |
When the APS specialist interviews a minor at school without the prior consent of his or her parent or responsible adult, the APS specialist completes Form 2262 Notification to Parent or Responsible Adult and sends it to one of the following, as appropriate:
- The parent.
- The responsible adult of the minor, if APS does not know where the parent is located.
- Both the responsible adult and the parent, if APS knows where the parent is located, and parental rights have not been terminated.
The APS specialist stores a copy of the form using one of the following methods:
- Uploading the form to OneCase.
- Listing the form on the External Documentation page and storing the hard copy in the paper case file.
When the APS specialist interviews a minor at school without the prior consent of his or her parent or responsible adult, the APS specialist follows policy in 6124.2 Interviewing a Minor Without Requesting Consent.
6200 Physical Evidence
APS January 2022
Physical evidence is any item or substance that can be seen or touched, related to an allegation.
Examples of physical evidence include the following:
- Weapons.
- Soiled linens.
- Torn clothing.
- Large holes in the client’s floor.
The APS specialist does not handle or remove physical evidence found at an incident scene. APS does not have a way to collect and store physical evidence.
Instead, the APS specialist documents physical evidence by taking photos of it and describing it in a contact narrative.
The APS specialist takes photos of the evidence, when possible, without disturbing it. Each piece of physical evidence needs at least one photo to establish where and what it is, and at least one close-up. In some situations, a diagram or drawing may be appropriate.
The APS specialist also does as follows:
- Calls or re-calls law enforcement, if the allegation is a criminal offense, to notify them of the allegation and the existence of the physical evidence.
- Offers to guard the evidence, if safe and appropriate, to prevent anyone from touching it until law enforcement arrives.
See:
6310 Photos, Audio, and Video as Evidence
6320 Diagrams and Drawings as Evidence
6300 Demonstrative Evidence
APS January 2022
Demonstrative evidence includes visual representations of other objects or places, as well as audio. This type of evidence is useful in showing how facts relate to each other. It must be as accurate as possible and represent the actual object or place at the relevant time.
Examples of demonstrative evidence include the following:
- Diagrams
- Photos
- X-rays
- Maps
- Drawings
- Graphs
- Models
- Video and audio
The APS specialist does the following:
- Uses demonstrative evidence as necessary to clarify the facts of the case.
- Makes sure demonstrative evidence represents the actual object or place as accurately as possible.
- Documents all demonstrative evidence using one of the following methods:
- Uploading the evidence to OneCase.
- Listing the evidence on the External Documentation page and storing the hard copy in the paper case file.
See 15220 Maintenance of Paper Case Files.
6310 Photos, Audio, and Video as Evidence
APS January 2022
The APS specialist takes photos with the person’s permission, to clarify and illustrate the facts of a case. Clients and alleged perpetrators have the right to refuse to be photographed or to have their homes photographed. See 6311 Obtaining Permission to Take Photos.
When a person refuses to allow photos, the APS specialist documents the refusal in a contact narrative.
The APS specialist uses the camera on his or her DFPS-issued cell phone to take case-related photos.
The APS specialist takes photos to document the following:
- The existence or nonexistence of injuries, when an injury is alleged in the intake report or when alleged or discovered during the investigation.
- The living environment, when it is or is alleged to be a health or safety hazard, especially when court action is possible.
- The use of purchased client services (PCS) funds for cleaning, repairing, or modifying the client’s home or yard. (This requires before and after photos.)
Documentation for Evidence from External Sources
DFPS sometimes receives photos, audio, or videos from people or entities outside DFPS. When this occurs, the APS specialist documents the evidence using one of the following methods, as appropriate (see sections below for details):
- Documenting the type of evidence on the External Documentation page and filing the hard copy, if any, in the paper case file.
- Uploading the information to OneCase.
Documentation for Audio or Video
If the APS specialist receives a video recording on a DVD from a person or entity outside DFPS, such as law enforcement, the Children’s Advocacy Center, or a family member of the client, the APS specialist sends the DVD to DFPS Records and Imaging Operations (RIO) through the CaseTrack system.
When documenting all other audio or video, the APS specialist does one of the following:
- Uploads the audio or video evidence to OneCase (after the evidence is converted to a compatible file type, such as MP3, MPG, or OGV, as appropriate).
- Lists the audio or video evidence on the External Documentation page and stores any hard copies in the paper case file.
For more information about using OneCase, refer to the How to Use OneCase document on the DFPS intranet.
Documentation for Photos
DFPS staff members are only allowed to alter photos in the following ways:
- Inserting a photo into a document and resizing the image to fit the space without altering the original image file. (This does not involve use of an outside photo service.)
- Rotating a photo before uploading it into IMPACT, so that it gives an accurate view of the photographed person, object, or place.
When documenting photos, the APS specialist does one of the following:
- Uploads each digital photo to OneCase.
- Uploads each digital photo on the External Documentation page and stores hard copies (if any) in the paper case file.
APS does not use non-digital photography equipment. If APS receives non-digital photos from people or entities outside DFPS, see Documentation for Evidence from External Sources, above.
Printing Digital Photos
If digital photos need to be printed, the APS specialist does as follows:
- Makes sure the printed date stamp is correct.
- Keeps the original digital image as read only and protects it from alteration.
- Uses a photo service outside DFPS if alterations are needed, such as enlarging, cropping, or brightening.
- Orders prints of digital photos from DFPS online photo processing only as needed (for example, for case staffings or meetings, criminal investigations, or court proceedings).
- Places a label on the back of each printed photo with the IMPACT case name and case number and a brief description of the photo.
For information about online photo processing, see DFPS Online Photo Ordering .
See Electronic Case File in 15210 Content of Case Records.
6311 Obtaining Permission to Take Photos
APS September 2024
The requirements for permission to take photos also apply to audio and video.
Client Has Capacity to Consent
If there is no indication that a client lacks the capacity to consent to protective services, the APS specialist requests the client’s permission to photograph the client or the client’s living environment. The APS specialist documents the client’s permission or refusal for photos in a contact narrative in IMPACT. The table below describes what the APS specialist does, depending on the client’s choice about photos.
| Client’s Choice |
APS Specialist’s Actions |
|---|---|
Client consents to photos. |
APS specialist takes the necessary photos. |
Client consents to photos, but someone else prevents or interferes. |
APS specialist does the following:
|
Client refuses photos or withdraws consent. |
APS specialist does the following:
|
See:
Client Possibly Lacks Capacity to Consent
If there are indications that a client lacks the capacity to consent to photos, the APS specialist still requests the client’s permission to photograph the client or the client’s living environment. The APS specialist is not required to obtain permission from the client’s caretaker, family member, or guardian.
The APS specialist uses his or her judgment to determine whether a client who is not able to verbally communicate has given consent by using affirmative gestures. A nonresponsive client (such as a client who is sleeping or unconscious) cannot give consent.
The APS specialist documents the client’s permission or refusal for photos in a contact narrative in IMPACT.
The table below describes what the APS specialist does when there are indications the client lacks the capacity to consent to photos.
| Client’s Choice |
APS Specialist’s Actions |
|---|---|
Client consents to photos, and there is no caretaker, family member, or guardian present. |
APS specialist takes the necessary photos. |
Client refuses photos or withdraws consent, and there is no caretaker, family member, or guardian present. |
APS specialist takes photos only if they are critical to the investigation and can be taken without causing the client distress. |
Client consents to or refuses photos, but someone else prevents or interferes. |
APS specialist does the following:
|
See:
12100 Initiating Legal Actions
12400 Interference with Investigation or Protective Services
6312 Taking Photos of a Person
APS September 2024
When documenting the existence or absence of injuries, the APS specialist does the following:
- Takes all photos as soon as possible.
- Takes at least one photo with the client’s face and the injury or absence of alleged injury in the same image, to show who is being photographed.
- Takes at least one close-up of every injury or alleged injury.
If possible, the APS specialist holds, or requests that the client hold, a ruler or another object of known size (such as a dollar bill) against the injury as a point of reference to show the size of the injury.
If injuries are alleged but not present, photos showing that the alleged injuries do not exist are required unless both of the following apply:
- The client denies the abuse allegations.
- The client’s behavior does not indicate the client is experiencing undue influence and may be denying the allegations out of fear or to protect the alleged perpetrator.
Sensitive Photos of a Client
When taking photos of body areas considered private, the APS specialist does the following:
- Photographs only a client who is the same gender as the specialist.
- Requests help from a secondary APS specialist if the client is of a different gender.
- Has a witness present.
- Does not touch the client any more than is necessary to take the photo.
- Uses universal precautions for guarding against infections if touching the client is necessary.
When collecting and handling sensitive images, the APS specialist refers to OP-2118 Sensitive Images on the DFPS intranet.
Deviation from this procedure is allowed only in rare cases when photos are critical and the procedure prevents photos from being taken at the initial face-to-face contact or within an appropriate time afterward.
See 9600 Supervisor Consultations.
Sensitive Photos of an Alleged Perpetrator
The APS specialist never requests to take photos of the alleged perpetrator in a semi-nude or nude state.
If such a photo seems necessary, the APS specialist may refer the case to law enforcement for investigation. If law enforcement cannot help, then the APS specialist may do either of the following:
- Refer the alleged perpetrator to a physician to take the photos.
- Make a determination based on the available evidence (without the photos).
See 12400 Interference with Investigation or Protective Services.
6313 Taking Photos of a Living Environment
APS January 2022
The APS specialist begins by taking a photo of the entryway to the home or room, to establish a reference point. The APS specialist then takes a series of photos in a clockwise sequence, beginning in the center of the area or in a corner.
6320 Diagrams and Drawings as Evidence
APS January 2022
Diagrams represent incident scenes and living environments. Diagrams are also useful to help people visualize the setting when a photo cannot accurately depict the scene.
Diagrams and drawings do not need to be expert or drawn to scale, but they must demonstrate the following:
- Locations of people and objects when the events occurred.
- Dimensions of rooms, halls, doorways, and so on, if the information is significant.
When documenting drawings and diagrams collected for an investigation, the APS specialist does one of the following:
- Enters each drawing or diagram in the External Documentation page in IMPACT and files the hard copy in the paper case file.
- Uploads each electronic drawing or diagram to OneCase.
See 15220 Maintenance of Paper Case Files.
6400 Documentary Evidence
APS September 2024
Documentary evidence helps establish a preponderance of the evidence and supports the finding of the investigation. It strengthens the credibility of the case if there is potential for legal action.
Types of Documentary Evidence
Documentary evidence includes any evidence in the form of a document (paper or electronic). See 6300 Demonstrative Evidence.
The APS specialist examines documentary evidence relevant to the allegation. Documentary evidence includes, but is not limited to, the following:
- Physician’s or nurse’s notes
- Business records
- Legal papers
- Canceled checks
- Letters
- Hospital charts or records
- Bank records
- Police reports
- Time sheets
- Home health service plans
- Guardianship orders
- Power of attorney agreements
- Emails
See:
6412 Criminal History Records Checks
15220 Maintenance of Paper Case Files
Documentation for Documentary Evidence
The APS specialist documents all documentary evidence by doing the following:
- Summarizing the information relevant to the case in a contact narrative. This includes when a document is viewed but not collected or copied.
- Uploading the evidence to OneCase.
The APS specialist may use the External Documentation page and file the hard copy in the paper case file instead of OneCase to list evidence when there is a large number of external records (for example, 50 pages of bank statements or 30 pages of medical records).
Examples of Summarizing Evidence
Example 1: When summarizing financial records, the APS specialist does as follows:
- Includes the name of the entity and last four digits of the account number.
- Includes names of the account holders.
- Includes the date range of the financial document.
- Identifies patterns and discrepancies of transactions.
- Includes any other information that is relevant to the allegation.
Example 2: When summarizing email correspondence, the APS specialist does as follows:
- Identifies the date, time, and person who sent the email.
- Includes the reason for the email (for example, if the email is a response to a request from APS).
- Includes information that is relevant to the case.
See:
9100 Requirements for Contacts
12140 Required Documentation of Legal Actions
15220 Maintenance of External Case Files
6410 Records Checks
APS January 2022
APS researches background information about principals in APS cases to develop a thorough knowledge and understanding of the following:
- Potential risk of harm.
- Principal’s behaviors, including the likelihood that they will happen again.
- Current and recurrent problems.
- Prior interventions.
See 15100 Disclosure and Release of Case Information.
6411 IMPACT Records Checks
APS January 2022
Although information in IMPACT is confidential, DFPS may use that information for authorized purposes and may release it externally when authorized by, and in accordance with, law and policy.
APS specialists perform IMPACT records checks on people related to a case only for the purposes of investigating reports and providing protective services.
Only the person’s immediate supervisor and human resources staff are authorized to perform IMPACT records checks on a person who is not related to a case.
See 15100 Disclosure and Release of Case Information.
DFPS Case History of Principals
APS reviews DFPS histories of clients and alleged perpetrators to develop a thorough knowledge and understanding of the following:
- Risk of harm.
- Behaviors, including the likelihood that they will happen again.
- Current and recurrent problems.
- Prior interventions.
The APS specialist views cases listed on the Principal Case History page in IMPACT to research previous DFPS history for the client and alleged perpetrator.
See 8700 Risk of Recidivism Assessment (RORA).
6412 Criminal History Records Checks
APS September 2024
Texas Government Code §411.114 authorizes APS to conduct criminal history checks for the following reasons:
- To fully investigate allegations of abuse, neglect, and financial exploitation of people age 65 or older and adults with disabilities.
- To obtain information relevant to the safety of clients and APS specialists.
- To obtain historical information about alleged perpetrators’ actions.
Criminal history includes information that the Texas Department of Public Safety (DPS) or the Federal Bureau of Investigation (FBI) collects about a person. This information consists of criminal charges, arrests, and dispositions. DPS has criminal history for Texas only, while the FBI has history for the entire United States.
Release of Criminal History Information
APS may only release criminal history information obtained from DPS to an entity outside DFPS (including the Health and Human Services Commission) under one of the following circumstances:
- With the consent of the person who is the subject of the criminal record.
- Upon court order.
- For purposes of an administrative hearing held by DFPS concerning the person who is the subject of the criminal history record information.
- When the alleged perpetrator is the subject of the criminal record information, and DFPS determines that the release of information is necessary to ensure the safety or welfare of the client. In this situation, the information can be released to the following:
- An adult who resides with the client and alleged perpetrator.
- The client.
The APS specialist consults with his or her supervisor and regional attorney, as appropriate, before releasing criminal history obtained from the FBI.
See also 15125.3 Disclosure of Criminal History Information.
6412.1 Required Criminal History Records Checks
APS September 2022
APS obtains criminal history information from DPS or the FBI that relates to an alleged perpetrator in a report DFPS receives alleging that the person has abused, neglected, or exploited a person age 65 or older or a person with a disability, provided that both of the following apply:
- The report alleges the person has engaged in conduct that meets the applicable definition of abuse, neglect, or financial exploitation under Texas Family Code, Chapter 261 (Investigation of Report of Child Abuse or Neglect) or Texas Human Resources Code, Chapter 48 (Investigations and Protective Services for Elderly Persons and Persons with Disabilities).
- The person is not also the victim of the alleged conduct (for example, self-neglect).
Texas Government Code §411.114
See also 15125.3 Disclosure of Criminal History Information.
6412.2 Optional Criminal History Records Checks
APS January 2022
Texas Government Code §411.114 entitles, but does not require, DFPS to obtain criminal history records from the Department of Public Safety for either of the following people:
- A person living in the same home as the client.
- A volunteer or applicant to volunteer with DFPS (other than a registered volunteer).
See also:
6412.1 Required Criminal History Records Checks
15125.3 Disclosure of Criminal History Information
6412.3 Criminal History Records Checks From Sources Other Than DPS
APS January 2022
According to Texas Government Code §411.114(a)(4), DFPS is allowed to seek criminal record information from the Federal Bureau of Investigation or any Texas criminal justice agency if the information relates to people described in 6412.1 Required Criminal History Records Checks.
Law enforcement entities must expedite the delivery of such information to DFPS to ensure prompt criminal background checks for the safety of clients and APS specialists.
6412.4 Insufficient Information for Criminal History Records Checks
APS January 2022
If the APS specialist has insufficient information to conduct a criminal history records check, he or she documents in the narrative of a Contact Detail page the following information:
- The attempts to obtain the information from the alleged perpetrator.
- The reason why the information was not obtained.
6412.5 Process of Obtaining Criminal History Information
APS September 2022
The APS specialist obtains DPS criminal history checks on household members other than the alleged perpetrator, as appropriate and necessary, to protect the client.
Criminal History in IMPACT
To obtain criminal history information about alleged perpetrators, the APS specialist completes the following:
- Reviews criminal history information previously captured in the Records Check Detail page in IMPACT.
- Attempts to verify and enter as much information as possible on the Person Detail page in IMPACT to ensure a correct data match with DPS.
- Documents attempts to gather information for the Person Detail page and, if applicable, the reason that information cannot be obtained.
- Conducts a new DPS criminal history check from the Records Check Detail page in IMPACT, unless the Records Check Detail page shows that APS conducted a DPS criminal history check in the previous 12 months.
- Requests additional criminal history checks from the Federal Bureau of Investigations and other Texas criminal justice agencies, as appropriate and necessary.
After receiving the results of a DPS criminal history check, the APS specialist does as follows:
- Reviews the results and does one of the following:
- Accepts records that belong to the subject of the check.
- Rejects records that do not belong to the subject of the check.
- Summarizes the results on the comments section of the Records Check Detail page in IMPACT. The summary includes any information that is relevant to the current case.
- Selects the Save and Complete button.
The APS specialist does not print the results of the DPS criminal history.
Criminal History from External Sources
If the APS specialist obtains criminal history information from an external source such as law enforcement, the APS specialist does as follows:
- Chooses Contact as the Contact/Summary Type.
- Fills in all required fields on the Contact Detail page and uses the time and date the information was received for the Contact Date and Time.
- Clicks the Save button.
- Clicks the Narrative button of the Contact Detail page.
- Enters a summary of the information that is relevant to the case.
The APS specialist does not upload the criminal history documents into OneCase or store them in a paper case file. The APS specialist destroys the documents in a manner that maintains confidentiality, such as shredding.
See:
Using Criminal History Information to Reach a Finding in 8520 Determination of the Validity of the Allegation