Handbook Revision, January 6, 2022
This revision of the Adult Protective Services Handbook was published on January 6, 2022. Summaries of new or revised items are provided below.
Single Stage of Service (PATS 13508)
APS now has a single stage of service, instead of an Investigation stage and two service delivery stages (Maintenance and Intensive Case Services). An APS case still begins in the Intake stage (handled by Statewide Intake), but APS does all its casework in one stage, which is the Investigation stage in IMPACT.
This policy revision updates the entire APS handbook (except the appendices) to reflect the change to a single stage and also makes various other updates. Specifically, this revision does all of the following:
- Replaces the term alleged victim with the term client throughout the handbook.
- Removes the chapter on Maintenance and Intensive Case Services.
- Clarifies that only APS State Office can request that Statewide Intake create a CRSR.
- Adds procedure for what to do when the safety decision is Unsafe.
- Adds that the contact standard set by the safety decision remains until a Safety Reassessment or Risk of Recidivism Assessment is completed.
- Updates procedure for new allegations and new intakes during an open case.
- Updates that the LE Conclusion form is sent to law enforcement once each allegation has a finding, regardless of the finding.
- Adds that APS does not investigate when a loan is made to a family member who is also a HCSSA employee, except as outlined in policy.
- Adds procedure for tasks after reaching a finding.
- Updates procedure for when and how to capture a self-neglect conclusion summary.
- Updates procedure for when and how to capture a conclusion justification summary.
- Updates procedure for how to proceed after completion of the Risk of Recidivism Assessment.
- Removes discretionary overrides from the Risk of Recidivism Assessment.
- Changes the time frame for completion of the Strengths and Needs Assessment.
- Updates contact standard requirements for safety contacts after completion of the Safety Assessment and after completion of the Risk of Recidivism Assessment.
- Adds Supervisor Case Status Review contact.
- Updates language to align with how family violence is defined in the Texas Family Code.
- Updates procedure and documentation for closing a case.
- Removes service stage closure codes.
- Adds new case closure codes.
- Updates procedure for notification to a designated perpetrator.
- Updates procedure for changing a finding after a desk review.
- Updates procedure for intent to release findings in non-EMR cases.
- Clarifies who sends notification to the designated perpetrator when the finding is Valid-Reportable Conduct.
- Updates procedure for management review of EMR-eligible investigations.
- Incorporates memo PR 20-001 about procedure for using OneCase.
- Adds procedure for when a manual person merge should not be performed.
See:
1000 Program Overview: Adult Protective Services (APS)
1100 APS Purpose and Objectives
1200 APS Clients’ Rights
1210 Cultural Sensitivity
1211 Conducting Culturally Competent Casework
1211.1 Interviews
1211.2 Service Planning
1211.3 Selection of Service Providers
1211.4 Use of Cultural Strengths
1220 Interpreter Services for Principals
1300 Community Resources
2000 Statewide Intake (SWI) and Case Assignment
2100 Allegation Priorities
2200 Case-Related Special Requests
2210 How to Handle CRSRs
2300 Case Assignment
2310 Priority I (P1) Intakes after Hours
2320 On-Call Information in IMPACT for Case Assignment
2330 Intakes with Special Considerations
2331 Recidivistic Cases
2332 High-Profile Cases
2340 Assignment of Secondary APS Specialists
2400 Chronic Callers
2410 Notifying SWI about Chronic Callers
2420 Tracking the Chronic Caller List
2430 Removing a Person from the Chronic Caller List
3000 Scope and Eligibility
3100 Alleged Victim Client Eligibility
3110 Automatic Eligibility
3120 Substantial Impairment
3200 Allegations
3210 Neglect Allegations
3220 Abuse Allegations
3230 Financial Exploitation (EXPL) Allegations
3300 Perpetrators
3310 Perpetrators of Abuse and Financial Exploitation
3320 Perpetrators of Neglect
3330 Minors as Perpetrators
3340 Home and Community-Based Services and Consumer Directed Services
3400 Complaints That Do Not Allege Abuse, Neglect, or Financial Exploitation
3410 Death Allegations When There Is Not an Open APS Case
3420 Consent to Medical Procedures or Treatment
4000 Cases Involving Health and Human Services Commission (HHSC) or Other Settings
4100 Allegations Involving HHSC Health Care Facilities
4110 Allegations in Hospitals
4200 Allegations Involving HHSC Long-Term Care Regulatory Services
4210 HHSC Facility-Based Programs
4211 Allegations in Nursing Homes
4211.1 Financial Exploitation of a Resident of a Nursing Home
4211.2 Nursing Home Discharge Planning
4212 Allegations in Assisted Living Facilities
4212.1 Allegations in Facilities Requiring an Assisted Living Facility License
4220 HHSC Community-Based Programs
4221 Home and Community Support Services Agencies (HCSSAs)
4222 Adult Foster Care
4230 HHSC Protective Service Providers
4231 HHSC Provider Investigations (PI)
4231.1 Allegations in Settings Investigated by HHSC Provider Investigations
4231.11 Allegations Involving the Home and Community-based Services (HCS) and Texas Home Living (TxHmL) Programs
4231.2 Allegations in Settings Regulated by HHSC Child Care Licensing (CCL) Regulation (CCR)
4300 Allegations in Other Settings
4310 Allegations in Boarding Home Facilities
4320 Allegations Involving Schools
5000 Complex Cases
5100 Supports for Complex Cases
5110 Community Support
5120 Supports for Service Delivery
5200 Cases Involving Family Violence
5210 Texas Address Confidentiality Program (ACP)
5220 Investigations Involving Family Violence
5230 Family Violence Materials
5240 Services for Victims of Family Violence
5250 Family Violence Safety Plan
5300 Cases Involving Noncitizens
5310 Noncitizens and Use of PCS Funds
5311 Noncitizen Who Has Immigration Documents
5312 Noncitizen Without Appropriate Immigration Documents
5320 Change of Immigration Status
5330 Consulates and Other Foreign Entities When Working With Noncitizens
5340 Transportation of Clients Who Do Not Have Valid Immigration Documents
5350 International Borders
5400 Cases Involving Native American Reservations
6000 Evidence Collection
6100 Testimonial Evidence
6110 Written Statements
6120 Interviews
6121 Interviewing an Alleged Victim or a Client
6121.1 Permission to Enter the Home
6121.11 Denial or Revocation of Permission to Enter
6121.2 Transportation for an Alleged Victim or a Client
6121.3 Undue Influence
6122 Interviewing an Alleged Perpetrator
6123 Interviewing a Collateral
6123.1 Interviewing the Reporter
6123.2 Interviewing Medical or Mental Health Staff
6123.3 Interviewing Law Enforcement
6124 Interviewing a Minor
6124.1 Requesting Consent to Interview a Minor
6124.2 Interviewing a Minor Without Requesting Consent
6124.3 Interviewing a Minor at School
6200 Physical Evidence
6300 Demonstrative Evidence
6310 Photos, Audio, and Video as Evidence
6311 Obtaining Permission to Take Photos
6312 Taking Photos of a Person
6313 Taking Photos of a Living Environment
6320 Diagrams and Drawings as Evidence
6400 Documentary Evidence
6410 Records Checks
6411 IMPACT Records Checks
6412 Criminal History Records Checks
6412.1 Required Criminal History Records Checks
6412.2 Optional Criminal History Records Checks
6412.3 Criminal History Records Checks From Sources Other Than DPS
6412.4 Insufficient Information for Criminal History Records Checks
6412.5 Process of Obtaining Criminal History Information
7000 Guardianship Cases
7100 Investigations Involving a Ward
7110 APS Access to a Ward
7120 Neglect of a Ward
7130 Financial Exploitation Allegations Against a Guardian of the Estate
7200 Guardianship Process
7210 Background Checks and Guardianship
7211 Criminal History Checks
7212 IMPACT Background Checks
7220 Initiation of Guardianships
7221 Relative or Other Person as Guardian
7222 Attendance at Guardianship Hearings
7300 Referrals to HHSC Office of Guardianship Services (OGS)
7310 Criminal History Records Checks and Referrals to HHSC OGS
7320 Minimum Information for HHSC OGS Referrals
7330 Standard Referrals to HHSC OGS
7331 Completion of a Standard Referral
7332 Case Management After Standard Referral
7340 Emergency Referrals to HHSC OGS
7341 Emergency Referral With Emergency Order for Protective Services (EOPS)
7341.1 Completion of an Emergency Referral After an EOPS
7342 Emergency Referral to Protect Client Assets
7343 Case Management After Emergency Referral
7350 Joint Staffing of Referrals to HHSC OGS
7360 Guardianship Review Committee (GRC)
7370 General Issues About HHSC OGS Referrals
7371 Incomplete or Missing Information in the Referral
7372 Medicaid and the Guardianship Process
7373 Certificate of Medical Examination (CME)
7374 Determination of Intellectual Disability
7375 Communication of Status
7376 Request for Extension on Filing Guardianship Application
7377 Less Restrictive Alternative and Another Referral Within Six Months
8000 APS Investigations and Assessments
8100 Safety Assessment
8110 Changes in Alleged Victim’s Client’s Location
8120 Documentation of the Safety Assessment
8130 Changes in Allegation Priorities
8140 Current Danger Factors and Immediate Interventions
8200 Barriers to Making Contact With Alleged Victim Client
8210 Alleged Victim Client Refuses to Cooperate With APS Investigation
8220 Alleged Victim Client Moves or Cannot Be Located During the Investigation
8300 New Allegations and New Intakes During the Investigation an Open Case
8310 New Allegations During the Investigation
8320 New Intakes During the Investigation
8400 Referrals to Law Enforcement
8500 Allegations Involving Paid Caretakers
8510 Loans to a Paid Caretaker
8600 Determination of Findings in an Investigation
8610 Allegation Disposition (Finding)
8620 Determination of the Validity of the Allegation
8621 Neglect Allegations
8622 Abuse Allegations
8623 Financial Exploitation Allegations
8630 Evaluation of Credibility of Evidence
8640 Tasks After Reaching a Finding
8650 8640 Conclusion Summaries and Conclusion Justifications
8651 8641 Self-Neglect Conclusion Summary
8642 Service Stage Conclusion Summary
8652 8643 Conclusion Justification
8700 Risk of Recidivism Assessment (RORA)
8710 Risk-Based Contact Standards
8800 Strengths and Needs Assessment
9000 Case Contacts
9100 Requirements for Contacts
9110 Time Frame for Entry of Contacts
9200 Case Initiation
9210 Completing a Case Initiation
9300 Self-Neglect Resolved Before Initial Face-to-Face
9400 Initial Face-to-Face Contact With the Alleged Victim Client
9410 Alleged Victim Client Cannot Be Seen for Initial Face-to-Face Contact
9420 Alleged Victim Client Is Inaccessible for Initial Face-to-Face Contact
9500 Safety and Service Contacts
9510 Safety Contacts After Completion of the Safety Assessment
9520 9511 Safety Contacts When the Alleged Victim Client Refuses to Cooperate
9520 Service Contacts
9521 Service Contacts in the Month of Progression
9521.1 Progression to Maintenance
9521.2 Progression from Maintenance to Intensive Case Services (ICS)
9521.3 Progression to Intensive Case Services (ICS)
9522 Changes to Contact Standards during ICS
9523 Service Contacts When the Client Fails to Respond
9524 Service Contacts in Cases Involving HHSC Office of Guardianship Services
9530 Safety Contacts After Completion of the Risk of Recidivism Assessment (RORA)
9540 Safety Contacts When the Client Fails to Respond After Completion of the RORA
9550 9530 Safety and Service Contacts When APS Cannot Find the Client
9560 9540 Safety and Service Contacts When the Client Dies
9570 Safety Contacts in Cases Involving HHSC Office of Guardianship Services
9600 Supervisor Consultations
9700 Supervisor Case Status Review
9800 9700 Subject Matter Expert (SME) Consultations
10000 Providing and Arranging for Services
10100 Service Delivery Goals
10200 APS Service Plan
10210 Offering the Least Restrictive Alternative
10220 Using Legal Alternatives (Court Actions)
10230 Making a Reasonable Effort
10240 Entering Action Categories, Action Results, and Outcomes in the Service Plan
10241 Action Categories
10242 Action Results
10243 Outcomes
10250 Monitoring the Service Plan
10300 Possible Lack of Capacity to Consent When a Client Refuses or Withdraws from Services
10310 Assessing Indicators (Signs) of a Lack of Capacity to Consent
10320 Client Refusing or Withdrawing from Services
10330 Seeking Medical or Mental Health Evaluations
10400 Community-Based Long-Term Care
10410 Service Planning and Community-Based Long-Term Care
10420 Access to HHSC Long-Term Care Services
10430 HHSC Long-Term Care Services Not Available
10500 Clients with Intellectual Disabilities or Mental Health Diagnoses Receiving Services from HHSC
10600 Financial Exploitation and Service Delivery
10610 Financial Exploitation by a Fiduciary
10620 Medicaid Eligibility and Financial Exploitation of Income or Resources
10700 Hospital and Nursing Home Admissions
10710 Voluntary Admission to Hospital or Nursing Home
10720 Involuntary Admission to Hospital or Nursing Home
10730 APS Role in Completing Hospital and Nursing Home Admission Forms
10800 Management of Clients’ Affairs and Assets
10900 Purchased Client Services (PCS)
10910 Assessing the Need for Purchased Client Services
10911 Client’s Budget and Financial Resources
10920 Obtaining Approval for Purchased Client Services
10921 Cost and Required Approval
10922 Additional Requirements for PCS
11000 Maintenance and Intensive Case Services
11100 Maintenance Cases
11200 Intensive Case Services
11210 Strengths and Needs Assessment
11300 New Allegations During a Service Delivery Stage
11400 New Intakes During a Service Delivery Stage
11000 12000 Death of an Alleged Victim or Client
12100 Alleged Victim Dies During the Investigation
12110 Alleged Victim Dies Before the Initial Face-to-Face Is Completed
11100 12120 Alleged Victim’s Client’s Death Is Related to Natural Causes, Accident, or Self-Neglect
11110 12121 Rapid Closure When Alleged Victim’s Client’s Death Is Related to Natural Causes, Accident, or Self-Neglect
12130 Alleged Perpetrator’s Actions Did Not Contribute to Alleged Victim’s Death
12131 Rapid Closure When the Alleged Perpetrator’s Actions Did Not Contribute to the Alleged Victim’s Death
12140 Alleged Perpetrator’s Actions May Have Contributed to the Alleged Victim’s Death
11200 12200 Client Dies During a Service Delivery Stage Client’s Death May Involve a Perpetrator
12210 New Intake Is Received Before Client’s Death During a Service Delivery Stage
11210 Perpetrator’s Actions Did Not Contribute to Client’s Death
11211 Rapid Closure When the Perpetrator’s Actions Did Not Contribute to the Client’s Death
11220 Perpetrator’s Actions May Have Contributed to the Client’s Death
12220 Death Is Related to Natural Causes, an Accident, or Self-Neglect During a Service Delivery
11221 12230 Client’s Death May Involve Allegations Validated in the Investigation Stage Valid Allegations Against a Perpetrator
12231 Corrections to the Allegation Detail When Investigated Allegations Contribute to a Client’s Death During a Service Delivery Stage
11222 12240 Client’s Death May Involve New Incidents Related to Allegations Investigated or Validated During the Investigation Stage Case
11222.1 Corrections to the Allegation Detail When Investigated Allegations Contribute to a Client’s Death
11223 12250 Client’s Death Involves May Involve New Allegations of Abuse or Neglect by Against an Alleged Perpetrator
11300 Notifying the Office of the Inspector General
11400 12300 Adult Fatality Review Team
12000 13000 Legal Actions, Legal Documents, and Other Non-Legal Remedies
12100 13100 Initiating Legal Actions
12110 13110 Legal Representation
12120 13120 Consulting With Regional Attorneys
12130 13130 Court Costs and Filing Fees
12131 13131 Filing Fees for Eviction of Alleged Perpetrator
12140 13140 Required Documentation of Legal Actions
12150 13150 Legal Forms Completed by the APS Specialist
12160 13160 Requesting a Transaction Hold from a Financial Institution
12200 13200 Court-Authorized Entry
12300 13300 Access to Records
12400 13400 Interference With Investigation or Protective Services
12500 13500 Original Petition for Emergency Order for Protective Services (EOPS)
12510 13510 Completing a Motion for EOPS
12520 13520 Pre-Removal Medical Report
12530 13530 Post-EOPS Physician’s Report
12540 13540 Court Proceedings for EOPS
12550 13550 Authorization for EOPS Before Obtaining a Court Order
12551 13551 Emergency Removals Without a Court Order
12552 13552 Notifying the Regional Attorney of the Client’s Death
12560 13560 Termination or Expiration of a Court Order for Emergency Protective Services
12570 13570 Extension of a Court Order for Emergency Protective Services
12600 13600 Types of Legal Documents an APS Specialist May Encounter
12610 13610 Financial Documents
12620 13620 Health Care Directives
12621 13621 Directive to Physicians (Living Will)
12622 13622 Medical Power of Attorney
12630 13630 Surrogate Decisions in Hospitals or Nursing Homes
12640 13640 Surrogate Decisions in Licensed ICF-IID Facilities
12700 13700 Guardianship
12710 13710 Guardian of the Person, Estate, or Both
12800 13800 Mental Health Commitment
12810 13810 Emergency Detention
12811 13811 Use of Emergency Detention for an APS Client
12820 13820 Temporary Court-Ordered Mental Health Services
12830 13830 Voluntary Admission to a Mental Health Facility
12900 13900 Family Violence Protective Orders Against a Perpetrator
12910 13910 APS Specialist’s Role in Assisting a Client With a Protective Order
12920 13920 Protective Order Application Filed by DFPS
13000 14000 Case and Stage Closure
14100 Investigation Stage Closure
13100 14110 Case Investigation Stage Closure Codes
13110 14111 Rapid Closure Codes and Disposition of Other
13200 14120 Supervisory Review of Case Investigation Stage Closure
14200 Service Stage Closure
14210 Service Stage Closure Codes
14220 Supervisory Review of Service Stage Closure
13300 14300 Case Outcomes
14000 15000 Due Process and Release of Information
14100 15100 Desk Review
14110 15110 Designated Perpetrators Ineligible for a Desk Review
14120 15120 Notifications to the Designated Perpetrator
14130 15130 Timely Request for a Desk Review
14140 15140 Desk Review Process
15150 Closure of a Case in Service Delivery After a Desk Review
14150 15160 Notification of Results of the Desk Review
14160 15170 Release of Findings Outside DFPS After a Desk Review
14200 15200 Expedited Desk Review for DFPS Employees
14210 15210 Notification of Findings to a DFPS Employee
14220 15220 Timely Request for an Expedited Desk Review
14230 15230 Consequences of Expedited Desk Review Dispositions
14300 15300 Due Process for Non-EMR (Employee Misconduct Registry) Cases
14310 15310 Emergency Release of Findings in Non-EMR Cases
14320 15320 Notification of Intent to Release Findings in Non-EMR Cases
14330 15330 Administrative Review in Non-EMR Cases
14331 15331 Requesting an Administrative Review in Non-EMR Cases
14332 15332 Conducting an Administrative Review in Non-EMR Cases
14340 15340 Release Hearings for Non-EMR Cases
14341 15341 Notification of Judge’s Decision
14350 15350 Release of Findings in Non-EMR Cases
14351 15351 Release of Findings to HCSSAs and Adult Foster Care Homes
14352 15352 Release of Findings to Professional Licensing Boards, Commissions, and Other Agencies
14400 15400 Employee Misconduct Registry (EMR)
14410 15410 EMR Eligibility
14411 15411 EMR-Eligible Employee
14412 15412 Reportable Conduct
14420 15420 Required Information for EMR-Eligible Investigations
14421 15421 Entering the EMR Information in IMPACT
14430 15430 Management Review of EMR-Eligible Investigations
14440 15440 Role of the EMR Coordinator
14450 15450 Notifications of Findings in EMR-Eligible Cases
14451 15451 Notice of Findings to Employer
14452 15452 Notice of Findings to Employee (Designated Perpetrator)
14460 15460 Request for EMR Hearing
14470 15470 EMR Hearing Process
14471 15471 Schedule Changes for a Hearing
14472 15472 Withdrawal of Request for a Hearing
14473 15473 Failure to Appear for a Hearing
14474 15474 Decision of Administrative Law Judge (ALJ)
14475 15475 Rehearing
14476 15476 Judicial Review
14477 15477 Placement of Sustained Perpetrators on the EMR
14500 15500 Cases Involving School Personnel
14510 15510 Request for Administrative Review by School Personnel (Designated Perpetrator)
14520 15520 Administrative Review in School Cases
14530 15530 Notification of Final Findings for School Personnel
15000 16000 Confidentiality and Integrity of Records
15100 16100 Disclosure and Release of Case Information
15110 16110 Release of the Case Record
15111 16111 Individuals and Entities Entitled to the Case Record
15111.1 16111.1 Release of Case Records to Reporters, Alleged Perpetrators, Collaterals, and Attorneys Ad Litem
15111.2 16111.2 Release of Case Records to HHSC Provider Investigations
15111.3 16111.3 Release of Case Records to Law Enforcement Agencies and Prosecuting Attorneys
15120 16120 Disclosure of Case Information
15121 16121 Case Information to the Reporter and Collaterals
15122 16122 Case Information to Others to Help Clients Get Services
15123 16123 Case Information to Prospective Guardians
15124 16124 Case Information in Connection With a Court Action
15124.1 16124.1 Court Notification About an Investigation Involving Guardianship
15124.2 16124.2 Court Notification About HHSC OGS Guardianship
15124.3 16124.3 Court Notification When the Alleged Perpetrator Has a Guardian
15124.4 16124.4 Court Notification of Alleged Financial Exploitation by a Guardian of the Estate
15124.5 16124.5 Court Notification About Cases Involving a Desk Review
15125 16125 Disclosure of Protected Case Information
15125.1 16125.1 Disclosure of Reporter Information
15125.2 16125.2 Disclosure of HIV or AIDS Information
15125.3 16125.3 Disclosure of Criminal History Information
15126 16126 Case Information to HHSC on AFC Provider Applicants or HCSSA Staff
15126.1 16126.1 Release of Information on Applicants to Become AFC Providers
15127 16127 Release of Case Information to Entities Responsible for Protecting Clients
15127.1 16127.1 Release of Information to State Supported Living Centers (SSLC)
15200 16200 Management of Case Records
15210 16210 Content of Case Records
15211 External Case File
15220 16220 Maintenance of External Paper Case Files
15230 16230 Records Retention and Destruction
15231 16231 Destruction of Case Records
15240 16240 Person Information
15250 16250 Merging Persons and Cases
15251 16251 Merging and Relating Persons
15252 16252 Merging Cases
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Definitions of Terms