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3300 Maintenance Cases

APS April 2019

At the end of the Investigation stage, cases that score High Risk on the Risk of Recidivism Assessment (RORA) progress to the Intensive Case Services (ICS) stage.

Cases that score Low Risk or Moderate Risk do not require ICS, but some of them may need to remain open for services. These cases may remain in the Investigation stage or progress to the Maintenance stage. Some Moderate Risk cases may move to the Intensive Case Services (ICS) stage.

The Maintenance stage is appropriate for a case only if at least one of the following applies:

  •   The case must remain open until a guardianship can be finalized.

  •   APS has agreed to pay for services, and service delivery will likely take longer than two months. (These services may include, for example, medical services, dental services, home repairs or modifications, and so on.)

  •   APS has placed the client in a nursing home, using a purchase order for placement services (POPS), and must wait for Medicaid approval.

The following requirements apply to Maintenance cases:

  •   They do not require a Strengths and Needs Assessment.

  •   They only require one service contact every 30 calendar days.

  •   They require the APS specialist to consider completing a Safety Reassessment if the client’s condition or situation worsens.


2410 Safety Assessment

3262 Procedures for Service Contacts

3311 Service Contacts in Cases Involving HHSC Office of Guardianship Services

3310 Procedure for Maintenance Cases

APS IH / April 2015

APS monitors the status of the service plan during the Maintenance stage to determine:

  •  the client’s status;

  •  the effectiveness of services provided to alleviate the client’s state of abuse, neglect, or financial exploitation; and

  •  whether any new problems have developed and require action.

The APS specialist monitors the service plan through contacts with the client and collaterals as outlined in 3262 Procedures for Service Contacts.

Services Are Unsuccessful

If during the Maintenance stage, the service plan is unsuccessful for any reason, the APS specialist completes a Safety Re-assessment (Sections 2-5) with the client face-to-face. If the Safety Re-assessment indicates:

  •  the client is safe, the APS specialist attempts to resolve the situation in Maintenance, including finding other services to address the need that led to the case being in Maintenance (such as locating another guardian, another vendor, and so on); or

  •  the client is conditionally safe or unsafe, the APS specialist progresses the case to ICS.

Once the case is progressed to ICS, the APS specialist:

  •  completes a Strengths and Needs Assessment (SNA) within 14 calendar days of progression;

  •  develops a service plan;

  •  completes service contacts every 30 calendar days following progression to ICS based on the final risk level from the RORA;

  •  if the final risk level was moderate, completes two service contacts with the client or credible collateral, one of which must be face-to-face with the client; or

  •  if the final risk level was low, completes at least one face-to-face service contact with the client;

  •  follows policy for increasing or decreasing service contact standards during ICS;

  •  documents all ICS case actions and outcomes as outlined in policy; and

  •  completes and closes the case in Intensive Case Services.


2350 Photographic Evidence

3214 Documenting the APS Service Plan

3215 Documentation of Contacts During Service Delivery

3250 Service Plan Outcomes

3262 Procedure for Service Contacts

3263 Documentation of Service Contacts

3283 Service Delivery Closure Reason Codes

Appendix XVII: Assessments Policy and Procedures Overview

3311 Service Contacts in Cases Involving HHSC Office of Guardianship Services

APS IH September 2014

The APS specialist is not required to conduct service contacts or any other case actions beyond documenting service authorizations and other procurement methods to supplement the client’s cost of care if:

  •   HHSC has been granted guardianship; and

  •   the case is being kept open only to supplement a client’s cost of care until HHSC can resolve the Medicaid eligibility.

When HHSC has temporary guardianship of the client, service contacts are required as outlined in 3300 Maintenance Cases.


4783.4 Procedure for Case Management After Emergency Referral Form Is Submitted to HHSC Office of Guardianship Services

4785 General Issues Regarding HHSC Office of Guardianship Services Referrals

3320 Additional Allegations Discovered and New Reports Received Involving a Maintenance Case

APS IH September 2014

If new allegations are reported to DFPS staff other than SWI or discovered during an open maintenance case, the APS specialist determines if a new intake is necessary.

Self-Neglect Allegations

Changes in the client’s situation after the completion of the investigation do not require a new intake report when:

  •   a change in actions is necessary; but

  •   the change does not constitute new allegations of self-neglect.

If the action to be taken relates to an existing problem already in the Service Plan in IMPACT, the APS specialist adds another action to the existing problem.

If the action taken is not related to an existing problem, the APS specialist reports the new allegation to SWI and completes a new investigation.

Allegations Involving Alleged Perpetrators

If the APS specialist learns of new allegations or a new incident involving an alleged perpetrator that is a separate incident from what was investigated during the investigation of the current maintenance case, regardless of the allegation type, the APS specialist reports the new allegation to SWI and completes a new investigation.

For example, an intake alleges a client is struck by her son and an investigation determines this did not happen, but a self-neglect allegation is validated and the case is kept open in Maintenance for home modifications. During this time, the APS specialist is informed by a neighbor the client’s son pushed the client down. Although these are both physical abuse allegations, they are separate incidents and a new intake would be required.

3321 Procedure for New Intake Reports Received During Maintenance Cases

APS IH September 2014

When a new intake report is received during an open Maintenance case involving the same alleged victim, including one reported by APS staff, the APS specialist completes a case initiation, a face-to-face contact, and a new Safety Assessment. One or both of these contacts may be the contact in which the APS specialist discovered the new allegations. These contacts are completed in accordance with:

1600 Allegation Priorities,

2200 Case Initiation,

2240 Initial Face-to-Face Contact With the Alleged Victim, and

2410 Safety Assessment.

The APS specialist then:

  •   completes the investigation;

  •   completes a Risk of Recidivism Assessment, if there are valid findings;

  •   progresses the case for service delivery, if appropriate; and

  •   merges the case with the existing one (both now in Maintenance stage); or

  •   completes a new Strengths and Needs Assessment, if the case is progressed to Intensive Case Services.

If the new intake report is determined to be a duplicate referral, the APS specialist:

  •   completes a new case initiation contact with the alleged victim or a person with reliable information; 

  •   completes Section 1 of the Safety Assessment. The full Safety Assessment is not required; and

  •   closes the case using rapid closure procedures.


2541 Procedure for New Reports Received During the Investigation Stage

2540 Additional Allegations Discovered and New Reports Received During the Investigation Stage

3240 Additional Allegations Discovered and New Reports Received During Intensive Case Services

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