Handbook Revision, November 2017

This revision of the APS Provider Investigations Handbook was published on November 6, 2017. Summaries of new or revised items are provided below.

FY16 Release 2 for APS Provider Investigation program (PATS 10472)

APS Provider Investigation program is releasing policy revisions two times a year and this will be the first release for FY 2018. The release contains edits to the APS Provider Investigation’s handbook. The changes are designed to provide clarification in each of these areas in order to address requests from external stakeholders, district staff, and incorporate rule changes effective November 5, 2017.

Summary of Changes

This revision:

  •   updates sections impacted by rules effective November 5, 2017, including:

  •   definitions;

  •   notification requirements to law enforcement;

  •   priorities;

  •   face-to-face contact requirements;

  •   investigation timeframes; and

  •   investigation extensions.

  •   updates certain sections related to APS PI transition to HHSC;

  •   clarifies what qualifies as a general complaint and is eligible for referral to the provider;

  •   clarifies what evidence should be collected when conducting a full investigation as it relates to a preponderance of the evidence;

  •   clarifies policy related to streamlined investigations;

  •   adds physical abuse as an allegation type eligible for an abbreviated investigation;

  •   clarifies documentation policy related to abbreviated investigations;

  •   removes certain charts and moves certain sections to streamline policy;

  •   adds a chart to assist investigators with establishing jurisdiction when the individual receiving services is also a provider employee; and

  •   clarifies examples of exploitation specifically related to community provider types.

Affected items:

1200 Definitions

_________________________

1400 When DFPS Does Not Have Non-DFPS Jurisdiction to Investigate

_________________________

1460 Allegations of Abuse, Neglect, or Exploitation on Indian Reservations

_________________________

2100 Priorities

_________________________

2300 Examples of Abuse, Neglect, and Exploitation

_________________________

2500 Forensic Assessment Center Network

_________________________

2810 Procedure for Sensitive or and High Profile Cases

2811 Procedure for Sensitive or High Profile and Death Case Form

2811.1 3123.1 Documenting the Death of Individual Receiving Services in IMPACT

2811.11 3123.11 Entering Contact Detail

2811.12 3123.12 Entering Person Detail

2811.13 3123.13 Entering Allegation Detail

_________________________

3120 Notifications to State Agencies and Law Enforcement

3121 Notification to Law Enforcement

3122 Notification to HHSC Office of Inspector General (OIG)

3122.1 Death of an Individual Receiving Services

_________________________

3123 Notifying DFPS State Office of the Death of an Individual Receiving Services

3123.1 Documenting the Death of Individual Receiving Services in IMPACT

3123.11 Entering Contact Detail

3123.12 Entering Person Detail

3123.13 Entering Allegation Detail

_________________________

3214 Develop an Initial Plan for the Full Investigation

3220 Planning the Full Investigation

_________________________

3222.1 Initial Face-to-Face Requirements

3222.2 Exceptions to Initial Face-to-Face Requirements

3222.3 3222.2 Follow-Up Face-to-Face Requirements

3222.4 3222.3 Face-to-Face Requirements for Referrals or Streamlined or Abbreviated Investigations

3222.5 3222.4 Documented Efforts to Interview Principals

_________________________

3227 Investigative Procedures for Community Provider Investigations

3227.1 Establish the Link Between Victim and Direct Provider

3227.2 3227.1 Permission to Enter a Private Residence

3227.3 3227.2 Allegations of Abuse, Neglect, or Exploitation Committed Outside Regularly Scheduled Provider Hours

3227.4 3227.3 Allegations of Exploitation

_________________________

3335.2 Answering the Investigative Questions

_________________________

3340 Analysis of Evidence During Investigation

_________________________

3342 Obtaining Statements

3342.1 Procedures for Obtaining Electronic Statements

_________________________

3342.2 Witness Statements on Allegations in a Public Area

3342.2 3342.3 Witnesses Who Have Direct Knowledge

3342.3 3342.4 Witnesses and Principals Who Request to Record Interviews

3342.4 3342.5 Witnesses Who Refuse to Cooperate With the Interview

3342.5 3342.6 Witnesses Who May Give Circumstantial Evidence

3342.6 3342.7 Witness Statement of Confession

3342.7 3342.8 Investigator’s Notes

3342.8 3342.9 Use of Polygraph

_________________________

3400 Collecting Documentary Evidence

_________________________

3440 Criminal History Records

_________________________

3700 Referrals

3710 Examples of Issues or General Complaints Appropriate for Referral

3711 General Complaints

3711.1 3711 Client Rights Complaints Issues

3711.2 3712 Administrative Complaints Issues

3711.3 Does Not Meet the Definition of Abuse, Neglect, or Exploitation

3712 3713 Clinical Issues

3714 Theft Issues in SSLC, State Hospital, HCS, TxHmL, LIDDA, LMHA, and Community Center Settings

_________________________

3900 Abbreviated Investigations

3910 Abbreviated Investigation Procedure

3920 Documenting an Abbreviated Investigation

3930 Injuries of Unknown Origin

3940 Emotional or Verbal Abuse

3950 Neglect

3960 Exploitation

3930 3970 Peer Review

3931 3971 Referral to the Professional Board

_________________________

4120 Time Frames for Investigation Completion and Supervisory Approval Completing Investigations

_________________________

4321.3 To Confirm Physical Abuse (Option 3)

4322 Elements of the Definition of Sexual Abuse

4322.1 To Confirm Sexual Abuse (Option 1)

4322.1 4322.2 To Confirm Sexual Abuse (Option 1) (Option 2)

4322.2 4322.3 To Confirm Sexual Abuse (Option 2) (Option 3)

4322.3 4322.4 To Confirm Sexual Abuse (Option 3) (Option 4)

4322.4 4322.5 To Confirm Sexual Abuse (Option 4) (Option 5)

4322.5 4322.6 To Confirm Sexual Abuse: Sexual Exploitation (Option 5) (Option 6)

4322.6 4322.7 To Confirm Sexual Abuse (Option 6) (Option 7)

4322.7 4322.8 To Confirm Sexual Abuse (Option 7) (Option 8)

4322.9 To Confirm Sexual Abuse (Sexual Exploitation) (Option 9)

4323 Elements of the Definition of Exploitation

4323.1 To Confirm Exploitation in Any Setting (Option 1)

4323.2 To Confirm Exploitation in Community Providers (Excluding HCS and TxHmL) (Option 2)

4323.3 To Confirm Exploitation by Theft in Community Providers (Excluding HCS and TxHmL) (Option 3)

_________________________

4411 Confirmation of Sexual Abuse

4411 4412 The Difference Between Unfounded and Unconfirmed

4412 4413 Unknown Perpetrators

4413 4414 Basis for Designating a Perpetrator as a Systems Issue

_________________________

4420 Concerns and Recommendations

_________________________

4640 DFPS Policy for Supervisory Approval Process in IMPACT

_________________________

6000 Legal Actions and Legal Involvement

6100 General Procedures

6110 Grievance Hearings

6120 HHSC APS Regional Attorneys

_________________________

6140 Office of General Counsel

_________________________

6300 Staff Receiving Funds That Accompany a Subpoena

_________________________

7264.2 Release Hearing and Subsequent Activities

7265 Notification and Release of Findings

7265.1 Notification of Decision

7265.2 Release of Findings

7265.3 Emergency Release of Findings

_________________________

7310 Notifying the Reporter

7320 Notifying the Victim and Perpetrator

_________________________

Appendix II: Jurisdictions