APS Facility Investigations Handbook
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Section 1000
1000 APS Facility Investigation Program Description
1310 Facilities for Persons With Intellectual Disabilities
1340 Home and Community-Based Services Waiver Programs
1350 Independent School Districts
1410 Adult Protective Services
1420 Residential and Child Care Licensing
1500 Investigations by Other Agencies
1510 Texas Department of Aging and Disability Services
1520 Texas Department of State Health Services
1540 Attorney General of Texas
1610 Who May Provide Interpreter Services
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Section 2000
2300 Statewide Intake Procedures
2310 Intake Reports of a Similar Nature
2360 Completing a Facility Information and Referral Report
2370 Procedures for Handling I&R Reports
2372 Other State Agency Investigation
2373 Client Rights or Administrative Issues
2375 Maintaining Copies of I&Rs; in Regional Offices
2400 Allegations That Are Frivolous or Patently Without a Factual Basis
2410 Criteria for Establishing a Pattern
2420 Streamlined Investigation Procedures
2421 Notifying the Interdisciplinary or Service Planning Team
2422 Procedures for DADS/DSHS Facilities, Licensed ICFs/IID, and Community Centers
2423 Procedures for Home and Community-Based Waiver Programs (HCSWs)
2430 Procedures for Tracking Chronic Caller List
2431 Procedures for Removing an Individual From the Chronic Caller List
2500 Examples of Abuse, Neglect, and Exploitation
2520 Client-to-Client Sexual Abuse
2530 Client-to-Client Aggression
2540 Injuries of Unknown Origin
2550 Pregnancy and Sexually Transmitted Disease
2560 Restraint, Seclusion, and Clinical Time-out
2610 Examples of Rights Issues
2620 Role of the Rights Officer
2630 Handling of Rights Issues
2700 Sensitive and High Profile Cases
2710 Procedure for Sensitive and High Profile Cases
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Section 3000
3100 General Documentation Requirements
3210 Notification Requirements
3220 Commencement Requirements in State Supported Living Centers (SSLCs)
3221 Actions Required After Receiving an Intake Related to SSLCs
3221.1 Actions Required Within One Hour After SWI Receives an Intake
3221.2 Actions Required Within 24 Hours After SWI Receives an Intake
3222 Documenting Commencement Activities in IMPACT
3223 IMPACT Documentation for Commencement Activities
3230 Notification to Provider for Allegations Involving a Contractor
3240 Notification to DADS Guardianship
3250 Notification to Law Enforcement and Joint Investigations
3260 Notification to Office of Inspector General (OIG) in State-Operated Facilities
3261 Notifying the OIG About Allegations Believed to Constitute a Crime in State-Operated Facilities
3262 Notification Not Required to OIG When DFPS Is Not Going to Investigate
3263 Notifying OIG of Client Death
3264 Notifying DFPS State Office of Client Death
3270 Notification of Allegations Involving Independent School Districts
3280 Notification of Allegations Involving Alleged Victims in CPS Conservatorship
3290 Notification of Allegations Involving Clients With Guardians
3310 APS Facility 24-Hour Commencement Checklist
3311 Intake Meets the Definition of Abuse, Neglect, or Exploitation
3312 All Allegations Listed From Intake
3314 Determine Whether a Partial or Full Referral Is Appropriate
3315 Develop an Initial Plan for the Investigation
3316 Include the APS Facility 24-Hour Commencement Checklist in the Case Documentation
3320 Initial Face-to-Face Requirements
3321 Rights, Clinical, or Administrative Issues
3322 State Supported Living Centers (SSLCs)
3323 Clinician in SSLC or State Hospital Requests That APS Forgo Interview With Client
3324 Follow-Up Face-to-Face Requirements
3324.1 Documented Efforts to Interview Principals
3331 Additional Allegations in Home and Community-Based Services (HCS) Investigations
3340 Planning the Investigation
3341 Additional Allegations of a Different Incident
3350 Investigations Involving the Office of the Inspector General (OIG)
3351 Planning the AP Interview When OIG Is Involved
3351.1 Interviewing an AP When OIG Is Involved
3351.2 Conducting Joint Interviews of Clients and Witnesses With OIG
3360 Conducting the Prior Case History
3361 Review of Prior Case History
3362 Completing the Prior Case History Review
3363 Procedures for Conducting Prior Case History Reviews
3365 Use of Prior Case History to Identify Additional Collaterals
3366 Using IMPACT to Conduct the Principal Case History Search
3380 Five-Day Status Report in ICF/ID Investigations
3390 Documenting Client Deaths
3391 Documenting a Client's Death in IMPACT
3391.1 Entering Contact Detail
3391.3 Entering Allegation Detail
3412 Interviewing Video Surveillance Monitors
3413 Interviewing Wards of the State
3414 Interviewing Persons Who Have Relocated In-State
3415 Interviewing Persons Who Have Relocated Out-of-State
3420 Structure of the Interview
3421 Answering the Investigative Questions
3422 Witness's Opportunity to See or Hear the Incident
3430 Analysis of Evidence During Investigation
3431 Assessing Credibility During Interviews
3432 Influences on Testimony Affecting Credibility
3434 Confronting Discrepancies
3441 Procedures for Obtaining Statements
3441.2 Interviews Conducted in Language Other Than English
3441.3 Obtaining Statements Using Mobile Protective Services (MPS) on the Tablet PC
3441.4 Obtaining Signatures on Electronic Statement Forms in MPS
3441.5 Ensuring Integrity and Security of Electronic Signatures
3441.6 How to Sync Tablet PC in a Mobile Environment
3442 Obtaining Pre-Written Statements From External Sources
3443 Statements From Witnesses on Allegations in a Public Area
3444 Witnesses Who Have Direct Knowledge
3446 Witnesses and Principals Who Request to Record Interviews
3447 Witnesses Who Refuse to Cooperate With the Interview
3448 Witnesses Who May Give Circumstantial Evidence
3460 Clients Requesting Anonymity
3470 Employees Requesting Anonymity
3480 Documenting Anonymous Witness Information
3510 Documentation of Physical Exam: Facilities
3520 Documentation of Physical Exam: Local Authorities (Community Centers)
3530 Duty Roster or Sign-In Sheet
3550 Facility Policy or Training Issues
3560 Documentation of Staff Personnel Records as Evidence: Facilities
3611 Photographing the Scene of an Incident
3612.1 Documentation of Refusal by Client to Be Photographed
3612.2 Documentation of a Client Who Is Unresponsive
3612.3 Sharing Photographs of Injuries with OIG Before Completion of Investigation
3613 Instructions for Digital Photographs
3613.1 Printing and Storing Digital Photographs
3810 Examples of Issues or General Complaints Appropriate for Referral
3811 Client Rights Issues Appropriate for Referral
3814 Theft Issues Appropriate for Referral
3820 Referral of Allegations Not Investigated by APS
3830 Referrals Made During the Investigation
3841 Peer Review in DADS and DSHS Facilities, or a Licensed ICF/ID With a Peer Review Committee
3842 Disagreement With the Facility Regarding Peer Review
3910 Emergency Services for Clients Receiving Home and Community Based Services (HCS)
3920 Emergency Services for Clients in Intermediate Care Facilities (ICFs/MR)
3930 Requesting Assistance Through Statewide Intake for HCS Emergency Situations
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Section 4000
4100 Time Frames for Completing Investigations
4110 Time Frames for Completing an Investigation in Non-SSLC Settings
4131 Reasons for an Extension Request
4132 Documenting the Extension Request Form
4200 Final Analysis of Evidence
4210 Evaluating Different Types of Evidence
4220 Evaluating Testimonial Evidence
4300 Evaluating Documentary Evidence
4400 Evaluating Physical and Demonstrative Evidence
4500 Using the Analysis Headings
4510 Required Documentation for Headings
4511 Restatement of the Allegation
4515 Probable Version of Events
4516 Policy, Program, or Training Issues Relevant to the Findings
4518 Elements of the Definitions of Abuse, Neglect, and Exploitation
4518.1 Elements of the Definitions of Physical Abuse
4518.2 Elements of the Definition of Sexual Abuse
4518.3 Elements of the Definition of Sexual Exploitation
4518.4 Elements of the Definition of Exploitation
4518.5 Elements of the Definition of Verbal or Emotional Abuse
4518.6 Elements of the Definition of Neglect
4610 Dispositions of Confirmed, Unconfirmed, and Inconclusive
4611 Confirmation of Sexual Abuse
4612 Unfounded vs. Unconfirmed
4630 Basis for Designating a Perpetrator as a Systems Issue
4700 Determining the DADS / DSHS Classification
4800 Requirements for Case Closure
4810 IMPACT Documentation for Normal Closure
4813.1 Facility Allegation Detail
4814 Facility Investigation Conclusion
4814.1 Facility or Provider Information: Resource (Facility/Provider) Searches
4814.2 Investigations Involving More Than One Facility or Provider
4814.3 Investigations Involving Multiple Addresses for the Same Provider
4815 Facility Investigation Conclusion: Location of Incident
4815.1 Community-Based Settings - HCS, Licensed ICFs/ID, Community Centers
4815.2 Facility Settings: SSLCs, State Hospitals, Rio Grande
4816 Documenting Use of Prior Case History in IMPACT
4820 IMPACT Documentation for Rapid Closure
4824 Facility Investigation Conclusion
4824.1 Closure Reason - Administrative Referral
4824.2 Closure Reason - Clinical Issue Referral
4824.3 Closure Reason - Client Rights Referral
4824.5 Closure Reason - Duplicate Referral / Already Investigated
4824.6 Closure Reason - Does Not Meet the Definition of APS Facility Investigations
4824.7 Closure Reason - Reclassification
4824.8 Closure Reason - Administrative Closure
4830 Closing a Case Without Completing DADS AN-1-A Form
4840 DFPS Policy for Supervisory Approval Process in IMPACT
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Section 5000
5100 Importance of Documentation
5200 Documentation of Techniques
5210 Identifying Sources and Use of Direct Quotes
5300 IMPACT and the Facility Abuse and Neglect Report
5332 Concerns and Recommendations
5333 Use of Prior Case History to Document Concerns and Recommendations
5340 Administrative-Procedural Notes
5410 General Information on Case Merge
5420 When to Merge Facility Investigations Before Stage Completion
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Section 6000
6000 Legal Actions/Involvement
6130 Entitlement and Redaction Specialists
6140 Office of General Counsel
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Section 7000
7100 Confidentiality of Investigative Process and Report
7110 Confidentiality of Reporter and HIV/AIDS Information
7200 Release of the Facility Abuse and Neglect Report
7210 Release of Abuse and Neglect Report to Service Providers and Facilities
7220 Release to Law Enforcement
7230 Release to Office of Inspector General (OIG)
7240 Release to the Office of the Attorney General (OAG)
7250 Release to Professional Boards
7251 Release to Professional Boards in State Operated Facilities
7260 Release to Other Employers
7261 Sending Notice of Intent to Release Findings
7261.1 Timely Request for an Administrative Review
7261.11 Request for Records for an Administrative Review
7263 Procedure for Administrative Review
7264 Conducting Release Hearings
7264.1 Receipt or Non-Receipt of Request for a Release Hearing
7264.2 Release Hearing and Subsequent Activities
7265 Notification and Release of Findings
7265.1 Notification of Decision
7265.3 Emergency Release of Findings
7265.31 Notice of Emergency Release of Findings to the Designated Perpetrator
7270 Release of In-Home Investigations to Facility or Provider Agencies
7320 Notifying Person Served and Alleged or Designated Perpetrator
7400 Request for Review of Finding or Review of Methodology
7420 Disagreement With the Finding
7421 Commissioner to Commisioner Review
7430 Request for a Comparison Review Based on OIG Findings
7610 Person Served or Representative
7620 Alleged/Designated Perpetrator
7630 Disability Rights Texas (Formerly Advocacy, Inc.)
7640 Grievance Hearing Officers
7700 Central Registry Searches for the Child Care Licensing Division
7710 Central Registry Match Procedures
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Section 8000
8000 The Employee Misconduct Registry
8100 Determining EMR Eligibility
8110 The EMR-Eligible Employee
8111 Definition of Reportable Conduct
8120 Required Information for EMR-Eligible Investigations
8130 Entering the Finding of Confirmed – Reportable Conduct in IMPACT
8140 Managerial Review of EMR-Eligible Investigations
8210 Responsibilities of the EMR Coordinator
8300 Notice of Findings to Facility or Provider Agency
8320 Administrator's or Contractor's CEO Requests a Review of the Methodology
8330 Administrator's or Contractor's CEO Requests a Review of the Findings
8400 Notifying Subsequent Employers About the Findings Before the EMR Hearing
8500 Notice of Hearing to an Employee Designated as a Perpetrator
8510 Request for an EMR Hearing by the Employee
8520 Late Request for an EMR Hearing
8610 Rescheduling an EMR Hearing
8620 Withdrawing a Request for an EMR Hearing
8630 Failure to Appear for an EMR Hearing
8640 The Decision of the Administrative Law Judge
8650 Request by an Employee for a Judicial Review
8660 Providing Notice if a Finding Is Modified or Reversed After Judicial Review
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Appendices
Appendix I: Actions That Constitute a Crime
Appendix II: Facilities and Jurisdictions
Appendix III: Using the Tablet PC for Obtaining and Storing Statements and Diagrams
Appendix IV: Instructions for Release of School Investigations