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3000 Information & Referral (I&R) Reports

SWI Policy and Procedures October 2020

SWI cannot complete an intake when information does not meet the statutory definitions of what Adult Protective Services, Child Protective Investigations, Child Care Investigation, or Provider Investigations can investigate. SWI assesses a report that is not an intake or case-related special request as an information and referral report (I&R).

Depending on the I&R type, SWI may forward it to field staff for review, send it to another agency, or close the I&R.

3100 I&R Types

SWI Policy and Procedures January 2021

SWI uses 19 types of information and referrals (I&R) reports. The following sections explain each type.

3101 CVS Caseworker Notification

SWI Policy and Procedures January 2021

The intake specialist completes an I&R CVS Caseworker Notification anytime a child in DFPS conservatorship is a principal in an intake for any program.

The intake specialist completes separate I&Rs when there are either:

  • Multiple unrelated children.
  • Related children with different CVS workers.

This I&R type is not used when the only report completed is an I&R or a CRSR.

This I&R does not replace but is completed in addition to other required I&R notifications and needed call outs. See 4561.11 Situations That Always Require an I&R to Existing CPS Case.

To complete the I&R, the intake specialist does the following:

  • Uses the current date and duplicates the intake by copying the following:
    • Reporter information
    • Person section
    • Narrative
  • Makes sure the person list is in the Person section. This should happen when duplicating the intake to create the I&R.
  • Makes sure person searches and relates are completed. This should have already been done for the intake, which carries over when duplicating the intake to create the I&R.
  • Documents “Narrative is from intake created for (specific program) program” at the top of the narrative.
  • Does not edit any other part of the narrative.
  • Manually assigns the I&R to the CVS caseworker.

3110 AFC Client Right/Fac Admin Issue

SWI Policy and Procedures October 2020

The intake specialist uses this type of I&R when the following is true:

  • Subject of the report lives in a facility under Provider Investigation jurisdiction.
  • Information does not meet the legal definition of abuse, neglect, or exploitation.

The intake specialist does not screen out potential client rights or facility administrative issues.

The intake specialist does not complete this report if it involves:

  • Misconduct by a provider employed by a home health agency, or the agency itself, that is not abuse, neglect, or exploitation. Instead, he or she completes an I&R Referred to HHSC. See 3173 Referred to HHSC.
  • An open case for Provider Investigations. Instead, he or she completes an I&R to Existing APS PI Case. See 3120 I&R to Existing Case.

Reports from the Office of Inspector General (OIG)

If the Office of the Inspector General (OIG) makes a report about a State Supported Living Center, that is not abuse, neglect or exploitation, the intake specialist:

  • Assesses the report as an I&R-AFC Client Right/Fac Admin Issue.
  • Calls report out to Program Investigations within the 40-minute time as required for an intake for Provider Investigations at facilities. See 2684 Call-Outs.

3120 I&R to Existing Case

SWI Policy and Procedures October 2020

Each DFPS program has its own I&R to existing case designation.

The intake specialist completes this type of report when provided information that does not require a new intake but is relevant to an open case in the same or another program. Examples include:

  • The reporter provides more details about a previously reported allegation.
  • The reporter calls with names of collaterals or additional locating information.

The intake specialist will at times need to send I&Rs to multiple cases. Some examples are open cases:

  • In different counties for the same program.
  • With different case names for the same program.
  • In different programs, if the information is relevant to that program.

If there are multiple open cases for the same program, with the same case name and in the same county, only one I&R to an open case is completed. The I&R is sent to the most recently opened case.

When it is unclear whether the information is relevant to an open case, he or she still completes an I&R to existing case.

If the information is not relevant to the open case, the intake specialist completes a more appropriate I&R type. See CCR Situations Involving a Child in DFPS Conservatorship on the DFPS intranet.

Completing an I&R to Existing Case and an Intake

The intake specialist completes an I&R to existing case in addition to an intake if any of the following are true:

  • At least one open case exists in the same case name but in a different county for the same program.
  • At least one open case exists in a different case name for the same program.
  • At least one open case exists in a different program, if the information is relevant to that program.

For exceptions, see:

CCR Situations Involving a Child in DFPS Conservatorship

3121 Specific Considerations for an I&R to Existing Case.

3121 Specific Considerations for an I&R to Existing Case

SWI Policy and Procedures October 2020

When to Send an I&R to Existing CPS Case

The intake specialist sends this type of information and referral (I&R) to the local office only for open cases in these specific service delivery stages:

  • INT (intake)
  • INV (investigation)
  • A-R (Alternative Response)
  • FPR (family preservation)
  • FBSS (family-based safety services; also documented as FPR or CPS Family Preservation in IMPACT)
  • SUB (substitute care)
  • FSU (family substitute care)
  • FRE (family reunification)

The Case List displays only the most recently opened stage. The intake specialist may need to open the Case Summary to review all stages and determine if any of the above stages are open.

CPS Case-Related Special Requests

An intake specialist may send an I&R to existing CPS case to an open CPS Case-Related Special Request (CRSR) only if it pertains to the CRSR.

When Not to Send and I&R to Existing CPS Case

Cases in the PAL stage

An intake specialist does not send this type of I&R to a case with an open PAL stage unless it also has an open service delivery stage listed above.

Cases in the SUB stage

An intake specialist does not send this type of I&R to an open case in the SUB stage if it contains the type of:

  • “ICPC” (interstate compact on the placement of children);
  • “C-JPC” (juvenile probation); or
  • “C-TYC” (Texas Juvenile Justice Department)

See 3416 Request for an Interstate Compact on the Placement of Children (ICPC).

An intake specialist does not complete an I&R to existing CPS case if the only open stage is one of the following:

  • ADO (adoption)
  • FAD (foster adopt)
  • PAD (post adoption)
  • KIN (kinship)
  • PCA (permanency care assistance)
  • ARI (administrative review)
  • PAL (Preparation for Adult Living)

Instead, the intake specialist completes an I&R that is most appropriate to the situation.

Aging Out of Care (AOC) Stage in APS Cases

Some APS cases may be open in the Aging Out of Care (AOC) stage. DFPS opens this stage for a child in DFPS conservatorship who may need guardianship services past age 17.

The intake specialist does not complete an I&R to existing APS case when the case is open in this stage. Instead, he or she sends an I&R to existing CPS case with the open Substitute Care (SUB) stage.

APS Case-Related Special Request Cases

An intake specialist may send an I&R to existing APS case to an open APS Case-Related Special Request (CRSR) only if it pertains to the CRSR.

Existing APS PI Case and Possible Client’s Rights Issues

An intake specialist completes an I&R to existing APS PI case if both of the following are true:

  • The report is about possible client’s rights or administrative issues.
  • There is an open Provider Investigations case about the individuals involved.

DCR or RCCR Standards Compliance and an Open DCI or RCCI Case

An intake specialist completes only an I&R to existing DCL or RCCL case if the report contains:

  • Information about standards compliance in a DCR or RCCR operation.
  • Information relevant to an open DCI or RCCI case.

See 3160 Standards Compliance.

3130 Call Back

SWI Policy and Procedures October 2020

Support staff completes an I&R Call Back when he or she calls the original requestor to provide results of an out-of-state (OOS) case history check.

An E-unit specialist also completes this type of I&R when he or she calls a re-entry requestor to get clarification and details on requested re-entries sent by mail/fax or internet.

See 3423 Out-of-State Agency Requests for Case History (OOS Requests).

3140 Chronic Caller

SWI Policy and Procedures October 2020

The intake specialist completes an I&R Chronic Caller when directed to by the APS Chronic Caller List. In this I&R type, the reporter is the identified chronic caller, and he or she is calling about his or herself.

See:

2123 Chronic Reporters (Chronic Callers)

5650 Chronic Callers

3150 Clearly Not Reportable

SWI Policy and Procedures October 2020

The intake specialist completes the appropriate Clearly Not Reportable I&R when both of the following are true:

  • The reporter gives information that requires an assessment.
  • The information does not meet the legal definition of abuse, neglect, or exploitation.

There are two types of Clearly Not Reportable I&Rs:

  • Clearly Not Reportable Re: Child
  • Clearly Not Reportable Re: Elder/Disabled Adult

Regarding Reports of Family Violence

The intake specialist completes an I&R, Clearly Not Reportable Re: Child for a report on family violence that involves children in the home, but the concerns do not meet abuse, neglect or exploitation definitions.

The intake specialist completes a Clearly Not Reportable Re: Elder/Disabled Adult I&R for a report on family violence that does not include children in the home or meet abuse, neglect or exploitation definitions.

3160 Standards Compliance

SWI Policy and Procedures October 2020

SWI uses a Standards Compliance I&R when the reporter has concerns about a day or residential child care operation that do not meet the legal definitions of abuse, neglect, or exploitation. SWI does not screen out any standards concerns. The intake specialist always sends these to the local office.

There are two types of Standard Compliance I&Rs:

  • DCL Standards Compliance (regarding child day care operations)
  • RCCL Standards Compliance (regarding residential child care operations)

Examples of DCL Standards Compliance concerns:

  • Day care provider is caring for more children than license allows.
  • Child care center is serving only cold meals to the children.
  • A provider is running an unlicensed day care in a house.

Examples of RCCL Standards Compliance concerns:

  • Foster home is caring for more children than license allows.
  • A residential treatment center (RTC) is serving only cold meals to the children.
  • Foster parent is not allowing a child to participate in afterschool activities.
  • Foster child reports complaint about his or her foster care placement. See 2843 Complaints from a Foster Child about His or Her Foster Care Placement.

If there are new allegations of abuse or neglect and information about standards compliance, the intake specialist completes only an intake. An additional I&R Standards Compliance DCL/RCCL is not completed.

The intake specialist completes an I&R to existing DCL or RCCL case if report is about both of the following:

  • Standards compliance in a DCR or RCCR operation.
  • Information relevant to an open DCI or RCCI case.

3170 I&Rs Referred Elsewhere

3171 Non-FPS Criminal Matter Referred to Law

SWI Policy and Procedures October 2020

The intake specialist completes an I&R Non-FPS Criminal Matter Referred to Law when a report is about a situation in Texas that includes any of the following:

  • Criminal activity that threatens health or safety of a child or adult.
  • Financial exploitation not under DFPS or HHSC investigative jurisdiction.
  • A report (intake or I&R) with the relevant information that is not sent to DFPS, Health and Human Services Commission Child Care Regulation (CCR), or Provider Investigations (PI).

Note: DFPS, CCI, or HHSC will notify law enforcement regarding any criminal activity, as needed, if an intake or I&R is already being sent. In such a case, the intake specialist does not need to send a separate I&R Non-FPS Criminal Matter Referred to Law.

The intake specialist refers the reporter to the appropriate law enforcement agencies and provides the phone numbers for each. He or she sends the report to law enforcement regardless of whether the reporter agrees to contact law enforcement.

Human Trafficking

If the I&R Non-FPS Criminal Matter Referred to Law involves any mention of human trafficking, the intake specialist notifies all of the following:

  • Any law enforcement agencies with jurisdiction.
  • The Texas Department of Public Safety - Joint Crimes Information Center (JCIC).

See 2670 Law Enforcement Notification.

3171.1 When Not to Use the I&R Non-FPS Criminal Matter Referred to Law

SWI Policy and Procedures October 2020

The intake specialist completes a different type of I&R when either of the following occurs:

  • The reporter is the law enforcement agency with jurisdiction. In this case, the intake specialist completes an I&R Clearly Not Reportable Re: Child or I&R Clearly Not Reportable Re: Elder/Disabled Adult. The intake specialist can close these reports without IMPACT automatically sending it back to law enforcement.
  • The intake specialist called the law enforcement agency because the situation required immediate attention. He or she completes an I&R Clearly Not Reportable Re: Child or I&R Clearly Not Reportable Re: Elder/Disabled Adult. The intake specialist can close these reports without IMPACT automatically sending it back to law enforcement. He or she documents the call to law enforcement in the narrative. See 2145 Law Enforcement Welfare Check.

3172 Referred to DSHS

SWI Policy and Procedures October 2020

The intake specialist completes this type of I&R when a report includes:

  • Allegations of abuse, neglect, exploitation.
  • Concerns about client and consumer rights issues in facilities under the jurisdiction of Health Care Quality (HCQ), formerly known as Department of State Health Services (DSHS). These facilities include:
    • Freestanding surgical, birthing, abortion, or medical centers.
    • Comprehensive outpatient rehabilitation, physical therapy, end-stage renal disease, or speech pathology facilities.
    • Crisis stabilization units, laboratories (CLIA), portable X-ray services, and substance abuse (alcohol and drug) treatment facilities.

If a reporter has concerns about a facility regulated by HCQ, the intake specialist refers the reporter to HCQ. The reporter can make a complaint by calling 888-973-0022 or by sending an email to customer.service@dshs.texas.gov.

If the reporter agrees to contact HCQ, the intake specialist closes the I&R. The intake specialist sends the report to HCQ when:

  • He or she determines the information is an HCQ matter after the call ends.
  • The reporter is unwilling or unable to contact the appropriate agency.
  • The reporter sends the information by internet, mail, or fax.

3173 Referred to HHSC

SWI Policy and Procedures October 2020

This type of I&R is used when information includes:

  • Allegations of abuse or neglect in an HHSC Long Term Care (LTC) licensed facility or setting. These include facility-based programs such as:
    • Assisted living facilities
    • Nursing homes and skilled nursing facilities
  • Concerns about misconduct:
    • Involving a provider employed by a home health agency or the agency itself.
    • Not rising to the level of abuse neglect or exploitation.

If a reporter has concerns about any of the above, the intake specialist refers the reporter to HHSC LTC. The reporter can call 800-458-9858 or email ciicomplaints@hhsc.state.tx.us to make a report.

If the reporter agrees to contact LTC, the intake specialist closes the I&R. The intake specialist sends the report to HHSC when:

  • He or she determines the information is an HHSC matter after the call ends.
  • The reporter is unwilling or unable to contact the appropriate agency.
  • The reporter sends information to SWI by internet, mail, or fax.

3174 Matter Referred On

SWI Policy and Procedures October 2020

The intake specialist completes this report type when a reporter shares concerns not under the jurisdiction of DFPS, Child Care Regulation, Provider Investigations, or another agency not already covered by another I&R type. This includes reports of child abuse or criminal activity in another state.

In three specific situations, the I&R is sent to another state’s protective service agency, regardless of whether the information meets Texas’ legal guidelines for an investigation. These situations are:

  • The reporter sends information to SWI by fax, mail, or internet.
  • The reporter is unwilling or unable to make a call to the other.
  • The intake specialist determines the information should be assessed as an I&R Matter Referred On for another agency after the call.

In these situations:

  • The intake specialist assesses an I&R Matter Ref’d On.
  • The report is manually assigned to the Faxing workload.
  • Support staff faxes the report to the other state’s protective service agency.
  • The intake specialist closes the I&R if the reporter agrees to contact the other agency.

The intake specialist also completes this type of I&R when no concerns of abuse, neglect, or exploitation require assessment, but the reporter needs help from a community agency. The intake specialist can find appropriate referrals on the Referrals for Callers webpage.

Examples include:

  • Child abuse in another state, with no protection issues for Texas.
  • Abuse or neglect that needs to be sent to the Mexican child protective services authorities.
  • Financial exploitation in another state.
  • Criminal activity in another state that threatens health or safety.
  • Reporter needs a referral to a local food bank, church, or shelter.
  • Reporter needs legal assistance.
  • Reporter needs housing assistance or food stamps.
  • Reports for other agencies – See Agency Jurisdiction chart.

3180 Refused to Report

SWI Policy and Procedures October 2020

The intake specialist completes an I&R Refused to Report when the reporter does the following:

  • Describes a situation that meets the legal definitions of abuse, neglect, or exploitation.
  • Has the information necessary to make the report.
  • Refuses to provide sufficient identifying or locating information for intake.

This type of I&R is not appropriate when the reporter simply does not have enough information necessary to generate an intake. In this case, the intake specialist completes a more appropriate I&R type.

3190 Other Business Call

SWI Policy and Procedures October 2020

The intake specialist completes an I&R Other Business Call when no other type is appropriate.

Examples include:

  • Requests for a report ID or status of a report.
  • Requests for case history.
  • Re-entry requests.
  • Wrong numbers or hang-ups.
  • General questions about the Texas Abuse Hotline or DFPS operations.
  • Calls about weather-related office closures.
  • Requests for an interstate compact.
  • Requests for foster care or adoption information.
  • Requests for child care information.
  • Requests for central registry checks for applicant screening.
  • Requests for an individual’s case record.

3200 I&R Person List

SWI Policy and Procedures January 2021

The following types of information and referral (I&R) reports require a person list:

  • AFC Client Right/Fac Admin Issue
  • CVS Caseworker Notification
  • DCL Standards Compliance
  • Matter Referred On when it is sent to another agency
  • Non-FPS Criminal Matter Referred To Law
  • RCL Standards Compliance
  • Referred to DSHS when it is sent to the agency
  • Referred to HHSC when it is sent to the agency

For all other I&R types, a person list is optional.

When an intake specialist creates a person list, he or she may document it in the Person section or the narrative in IMPACT. When documenting the information person list in the narrative, he or she follows these Narrative Instructions.

Exception: For I&R CVS Caseworker Notification, the intake specialist must document the person list in the Person section.

3210 Person Types: Principal or Collateral

SWI Policy and Procedures October 2020

IMPACT requires the intake specialist to select a person type when he or she documents the person list in the Person section. The intake specialist can select either principal (PRN) or collateral (COL).

The intake specialist does not have to document a person type when documenting the person list in the narrative.

3220 Roles

SWI Policy and Procedures October 2020

IMPACT requires the intake specialist to select a role when documenting the person list in the Person section. The intake specialist selects the role of No Role (NO).

The intake specialist does not have to document a role when documenting the person list in the narrative.

3230 Relationship or Interest

SWI Policy and Procedures October 2020

The intake specialist identifies relationships of people (Rel/Int) in a report by doing the following:

  • Identifies the person of interest with the Rel/Int of Self (SL).
  • Identifies all other people involved with a designation that best describes his or her relationship to the person of interest.
  • Identifies a relationship or interest no matter where he or she documents the person list.
  • Documents an explanation of the relationship in person notes or narrative when using a vague Rel/Int such as Family Member (FM) or Unrelated Household Member (UH).

3240 Identifying and Locating Information

SWI Policy and Procedures October 2020

The intake specialist obtains and documents identifying and locating information depending on the I&R type.

This table describes which identifying and locating information the intake specialist obtains and documents based on the I&R type.

I&R Type

Identifying Information

Locating Information

AFC Client Right/Fac Admin Issue

DCL Standards Compliance

RCL Standards Compliance

Non-FPS Criminal Matter Referred to Law

Obtains the following for all individuals involved:

  • First and last name
  • Relationship/interest
  • Date of birth (or age, if the date of birth is unknown)

Documents all the identifying information obtained.

Obtains the following for all individuals involved:

  • Address
  • Phone number (adults only)
  • Other locating information if there is no address and phone number

Documents all the identifying information obtained.

Matter Referred On

Referred to DSHS

Referred to HHSC

Obtains the following for all individuals involved:

  • First and last name
  • Relationship/interest
  • Date of birth (or age, if the date of birth is unknown)
  • Documents all the identifying information obtained.

If not sent outside SWI, no documentation required.

Obtains the following for all individuals involved:

  • Address
  • Phone number (adults only)
  • Other locating information if there is no address and phone number
  • Documents all the identifying information obtained.

If not sent outside SWI, no documentation required.

Chronic Caller

I&R to Existing APS Case

I&R to Existing APS PI Case

I&R to Existing CPS Case

I&R to Existing DCL Case

I&R to Existing RCL Case

  • Obtains enough identifying information to find the existing case or determine whether reporter is a chronic caller.
  • Obtains  any new or different identifying information from the reporter (or client for chronic caller I&Rs).
  • Documents any new identifying information obtained.
  • Obtains enough locating information to find the existing case or determine the reporter is a chronic caller.
  • Obtains any new or different identifying information from the reporter (or client for chronic caller I&Rs).
  • Documents any new locating information obtained.

Clearly Not Reportable Re: Child

Clearly Not Reportable Re: Elder/Disabled Adult

Obtains the following for the adult of concern; or the oldest child of interest and the caregiver with whom the child resides:

  • First and last name
  • Date of birth (or age, if the date of birth is unknown)

No documentation required.

Obtains an address for the adult of concern; or the oldest child of interest and the caregiver with whom the child resides:

No documentation required.

Refused to Report

If unable to obtain enough identifying information to generate an intake, no documentation is required.

If unable to obtain enough locating information to generate an intake, no documentation is required.

Call Back

None required

None required

Other Business Call

None required unless it is an  Out-of-State Request for case history

 

None required unless it is an Out-of-State Request for case history

 

3300 Processing I&Rs

SWI Policy and Procedures October 2020

The following sections describe information and actions needed for a report to be assigned, submitted, or closed. This information may include:

  • In Regards To
  • County
  • Law Enforcement Notification
  • Call-Out and Routing

3310 Person Search

SWI Policy and Procedures January 2021

The intake specialist performs a person search for some information and referral (I&R) reports to initiate case history searches. He or she does not need to relate if a match is found. This table explains whether the intake specialist performs a person search based on the I&R type he or she is completing.

If the I&R Type is:

Then the intake specialist:

CVS Caseworker Notification

Person searches and relates are required. However, these will have been performed when the intake specialist duplicates the intake. This allows the person list to remain intact.

AFC Client Right/Fac Admin Issue

Chronic Caller

Clearly Not Reportable Re: Child

Clearly Not Reportable Re: Elder/Disabled Adult

DCL Standards Compliance

RCL Standards Compliance

Matter Referred On

Non-FPS Criminal Matter Referred to Law

Refused to Report

Referred to HHSC

Referred to DSHS

Performs person searches on the person(s) information he or she obtained.

I&R to Existing APS Case

I&R to Existing APS PI Case

I&R to Existing CPS Case

I&R to Existing DCL Case

I&R to Existing RCL Case

Performs person searches on any new or different individuals involved.

Call Back

Is not required to perform person searches.

Other Business Call

Is not required to perform person searches unless it is an Out-of-State Request for case history

 

3320 Narrative

Different I&R types have different requirements. Refer to the Narrative Instructions and Narrative Templates.

3330 In Regards To

SWI Policy and Procedures January 2021

The intake specialist completes the In Regards To field for I&Rs whenever possible. This information is helpful to anyone searching for an I&R through the Report Log.

If the I&R type is:

Then the In Regards To is:

CVS Caseworker Notification

The same as the case name for the open subcare case.

I&R to Existing APS Case

I&R to Existing APS PI Case

I&R to Existing CPS Case

I&R to Existing DCL Case

I&R to Existing RCL Case

The same as the case name of the open case to which the intake specialist is sending the I&R.

DCL Standards Compliance

RCL Standards Compliance

The name of the facility, in-home day care provider or child placing agency (for foster home).

AFC Client Right/Fac Admin Issue

Matter Referred On

Non-FPS Criminal Matter Referred to Law

Referred to DSHS

Referred to HHSC

The name of the person of concern.

Clearly Not Reportable Re: Children

The name of managing conservator.

If the managing conservator name is unknown, use the name of the child.

Chronic Caller

Clearly Not Reportable Re: Elder/Disabled Adult

The name of the adult.

Call Back

The name of the person called.

Refused to Report

The name of the person of concern, when available. If not available, leave it blank.

Other Business Call

Left blank unless it is an Out-of-State Request for case history

3340 County Location

SWI Policy and Procedures January 2021

The intake specialist chooses a county for an I&R report only when he or she is sending it to the local office. He or she sends the report to a specific county depending on the I&R type.

If the I&R type is:

Then the intake specialist:

AFC Client Right/Fac Admin Issue

Chooses the county in which the facility is located.

Chronic Caller

Chooses the same county as the chronic caller’s address.

CVS Caseworker Notification

Chooses the county to which the subcare case is assigned.

I&R to Existing APS Case

I&R to Existing APS PI Case

I&R to Existing CPS Case

I&R to Existing DCL Case

I&R to Existing RCL Case

Chooses the county in which the existing case is open.

Exception: If there is a CSCAL match reported by law enforcement, chooses the county where the principals are currently located. See 4612 The CSCAL Program (Child Safety Check Alert List).

DCL Standards Compliance

RCL Standards Compliance

Chooses the county in which the operation is located.

3350 Law Enforcement Notification

SWI Policy and Procedures October 2020

The intake specialist completes the Law Jurisdiction section only for an I&R Non-FPS Criminal Matter Referred to Law. This I&R type is the only one that can send these notifications to designated law enforcement agencies.

See 2670 Law Enforcement Notification.

3360 Call-Out and Routing

SWI Policy and Procedures October 2020

If SWI receives critical information about an open case outside normal business hours, the intake specialist:

  • Makes a call-out to the on-call worker; or
  • Assigns the I&R to the Immediate Call-Out workload.

Uses Assignment Charts to determine how to route I&Rs.

See 2680 Call-Outs and Routing.

3400 I&R Special Topics

3410 Reporter Requests

SWI Policy and Procedures October 2020

Sometimes, a reporter may call SWI only to request information. These requests may be for:

  • A report ID or status of a report.
  • Information about an interstate compact.
  • Foster care or adoption information.
  • Child care information.
  • Central registry checks for applicant screening.
  • An individual’s case record.

The intake specialist completes an I&R Other Business Call for these types of requests, because there is no report of abuse, neglect or exploitation.

3411 Request for a Status of a Report or Report ID

SWI Policy and Procedures October 2020

The intake specialist verifies that the requester is the original reporter. If the reporter has the report ID, the intake specialist verifies:

  • The reporter’s first and last name.
  • The reporter’s address or phone number.

If the reporter does not have the report ID, the intake specialist asks for:

  • The reporter’s first and last name.
  • The reporter’s address or phone number from the initial report.
  • The date (or approximate date) that the reporter made the original report.
  • The name report’s subject (client or family).
  • General information about the report’s content.

If the information provided matches the original report, the intake specialist:

  • Gives the report ID to the reporter; or
  • Explains whether the report was sent to a local office or was closed at SWI.
  • Does not discuss whether a report referred to a local office is open or closed.

If the information provided does not match or the reporter is anonymous, the intake specialist explains he or she cannot give the report ID number or give the status of a report.

The intake specialist completes an I&R Other Business Call for these requests.

3412 Request for an Individual’s Case Record

SWI Policy and Procedures October 2020

The intake specialist:

  • Refers the reporter to call the Records Management Group (RMG) at 512-929-6764; or
  • Directs reporter to Requesting a Copy of a Case Record on the DFPS public website; and
  • Completes an I&R Other Business Call for this type of request.

3413 Request for Child Care Information

SWI Policy and Procedures October 2020

The intake specialist:

3414 Request for Foster Care or Adoption Information

SWI Policy and Procedures October 2020

The intake specialist does the following:

3415 Request for Central Registry Checks for Applicant Screening

SWI Policy and Procedures October 2020

This is a request by a private entity, such as a social service or volunteer agency, for abuse or neglect information on individuals applying to be employees, volunteers, foster or adoptive parents, and so on.

The intake specialist:

3416 Request for an Interstate Compact on the Placement of Children (ICPC)

SWI Policy and Procedures October 2020

Interstate Compact on the Placement of Children (ICPC) is an agreement enacted as law in all 50 states, the District of Columbia, and the Virgin Islands. The compact establishes uniform procedures for placing children in private or substitute care in other states. An ICPC request is necessary when:

  • A child protective agency in one state has custody and needs to place a child in a home in another state; or
  • A parent in one state wants to place a child in a residential treatment center in another state.

If a reporter asks about placement or requests a home study for a child across state borders, the intake specialist:

  • Refers the reporter to his or her local state headquarters to make a formal ICPC request. Statewide Intake does not handle ICPC requests.
  • Completes an I&R Other Business Call for this type of request.

For non-ICPC requests from other state protective service agencies regarding home visits, see 4711 Request for Home Visits or Courtesy Interviews from Out-of-State Caseworker.

3420 Requests for Case History

SWI Policy and Procedures October 2020

The following reporters may request case history information from SWI:

  • Field staff
  • Texas law enforcement
  • Out-of-state and foreign protective services agencies

3421 Field Staff Requests Case History

SWI Policy and Procedures October 2020

Field staff typically has access to complete case history searches. However, sometimes field staff must request assistance from SWI. In such situations, the intake specialist:

  • Transfers him or her to SWI support staff.
  • Completes an I&R Other Business Call.

If field staff requests a records check on someone in another state, the intake specialist:

  • Refers him or her to the other state.
  • Completes an I&R Other Business Call.

3422 Texas Law Enforcement Requests Case History

SWI Policy and Procedures October 2020

Texas law enforcement may request case history information. SWI provides case history information to Texas law enforcement in limited circumstances, including:

  • In the performance of official duties relating to the investigation of abuse, neglect, or exploitation.
  • To determine if there is a previous or current case on a family that would keep law enforcement from releasing a child to the prospective caretaker.

Common examples of Texas law enforcement officials include:

  • Law Enforcement: police officers, deputies, sheriffs, constables, school resource officers, state troopers, Texas Rangers, and so on.
  • Officers of the Court: probation officers, parole officers, district attorneys, district attorney’s office investigators, judges, and so on.
  • Investigators from the Medical Examiner’s Office: Medical examiners, investigators with the medical examiner’s office, and so on.

For a complete list of Texas law enforcement officials (peace officers), see the Code of Criminal Procedure §2.12.

DFPS and the Austin Police Department (APD) have a memorandum of understanding that allows SWI to give limited case history information to the APD Victim Services division. This is the only victim services division to which SWI can release this information. APD Victim Services may request this information only to help identify potential placement options for children.

Verify the Requester’s Employment

When Texas law enforcement or APD Victim Services requests case history information, the intake specialist verifies the requester’s employment while the requestor is on hold by:

  • Asking the requester for a main business phone number or dispatch.
  • Calling the phone number on another line.
  • Verifying that the requester is employed with the department in the stated capacity.
  • Returns to the requester for information about the people he or she wants searched.

Alternatively, the intake specialist may get the requester’s direct phone number and call him or her back after verifying employment and completing the requested searches.

If the intake specialist can’t verify the requester’s employment, he or she does not:

  • Perform the requested searches.
  • Provide any case history information.

Perform the Requested Search

After the intake specialist verifies the requestor’s employment, he or she performs the requested search.

Provide the Case History Information

The intake specialist verbally provides requester any case history information pertinent to the request. Though the intake specialist can give the reporter’s information to Texas law enforcement, he or she cannot give it to APD Victim Services.

Texas law enforcement or APD Victim Services may request a history check to help them identify potential placement options for children. Intake specialists cannot recommend or authorize a placement.

If the requestor requests to speak with CPS, the intake specialist contacts the local office or on-call staff and asks them to contact the requester. The intake specialist should not offer to contact the local office unless there is a need or law enforcement requests it.

If the requester asks for documentation of the case history information, the intake specialist refers them to the DFPS Records Management Group (RMG) at 512-929-6764 or records.management@dfps.texas.gov. The requester can also go to Requesting a Copy of a Case Record. An intake specialist cannot mail, fax, or electronically transmit copies of IMPACT reports to anyone outside DFPS, Child Care Regulation, or Provider Investigations.

Complete Necessary Reports

If the name of a person that was searched is a principal (PRN) in an open case, the intake specialist does the following:

  • Sends an I&R to an existing case to the open case.
  • Documents information about the request and any other relevant information.
  • Completes an I&R Other Business Call if there is not an open case.

3423 Out-of-State Agency Requests for Case History (OOS Requests)

Law enforcement agencies or protective services agencies in another state or foreign countries may request basic case history information from Texas about people now outside Texas. Basic case history information consists of the following:

  • Dates related to the intake and investigation.
  • Names and roles of victims, perpetrators, and other family or household members in the investigation.
  • Addresses of people whose case history the agency is requesting.
  • Allegations and dispositions.
  • Services that DFPS provided after the investigation.
3423.1 Intake Specialist Receives the Request

When an intake specialist receives this request, he or she instructs the requestor to:

  • Make the request on his or her agency letterhead and fax it to SWI. The request must include:
    • Work-related reason for the search; it must be related to the agency’s case activities or investigation.
    • Demographic information for each person for whom a search is requested. The agency should provide as much information as possible, such as the name, date of birth and, Social Security number (SSN).
    • Previous Texas addresses, if available.
    • Date by which the agency needs the results.
    • Whether the request is urgent.
    • Call back number for the requestor.
  • Fax the request to SWI at: 512-339-5900

The intake specialist documents this request in an I&R Other Business Call and closes the report.

3423.2 Completing the Request

E-unit specialists complete the faxed requests according to procedures in OOS Procedures.

3423.3 When the Requester Calls Back

Requesters typically receive the search results once the request is completed, however if he or she cannot be contacted a voice mail is left stating that the search is complete and to call SWI for the requests. The associated report ID number of the request is included in the voice mail.

Any intake specialist verbally relays the search results to the requester by doing the following in order:

  • Asks the requester for the report ID that he or she received in the voicemail. If the requester cannot supply the report ID, the intake specialist uses the requester’s name to find the report.
  • Verifies the requester’s identity by having him or her supply the information that the requester previously included in the fax to SWI.
  • Opens the report that contains the search results.
  • Checks to see if there is a note in the narrative saying that a work-related reason for the request must be obtained before the results may be verbally relayed to the requester. If needed the intake specialist requests the work-related reason. A proper work-related reason is one where the request is related to the agency’s case activities or investigation.
    • If the requester is unable to provide a work-related reason, then results of the IMPACT history search cannot be shared. The requester is informed of this and documents it in the narrative.
    • If a work-related reason is needed and obtained, the intake specialist documents the reason in the narrative.
  • Provides the history search results, if appropriate, that were documented in the History section of the original OOS I&R to the requester.
  • Completes an I&R Other Business Call.

3430 Request for Call Recording

SWI Policy and Procedures October 2020

SWI receives requests for recorded calls that may come from:

  • Field staff
  • Law enforcement agencies
  • Records Management Group (RMG)
  • Office of Inspector General (OIG)
  • Attorneys representing DFPS

The request may also include a request for a copy of the report documentation. These requests may be fulfilled using the procedures in the following sections.

Requests from people other than those listed above are referred to the DFPS Records Management Group (RMG) at 512-929-6764 or records.management@dfps.texas.gov. The requestor can also go to Requesting a Copy of a Case Record

Subpoenas

SWI employees follow the procedures in the DFPS Handbook Subpoena Policy when they receive a subpoena requesting a copy of a recorded call. They also use the Subpoena Tips for specific circumstances that occur at SWI.

3431 Request from Field Staff

SWI Policy and Procedures October 2020

If field staff requests a recorded call or report documentation, the intake specialist tells them that the request must:

  • Be made by field staff of supervisory level or above.
  • Include the report ID, case number, or enough details to locate the call.
  • Include the reason for the request.
  • Be emailed to SWI Program Improvement at QAUNIT@dfps.texas.gov.

SWI cannot fulfill the request if the sole purpose is to identify an anonymous reporter. When the concern is about false or malicious reporting, an attorney representing DFPS or local law enforcement must submit the request for recorded calls.

The intake specialist completes an I&R Other Business Call to document the requestor’s call.

3432 Request from Law Enforcement

SWI Policy and Procedures October 2020

If law enforcement requests a recorded call, the intake specialist tells them that the request must:

  • Include the report ID, case number, or enough details to locate the call.
  • Include the reason for the request.

The request can either be:

  • Faxed to SWI at 512-339-5900 or 800-647-7410 on official agency letterhead; or
  • Emailed to SWI Program Improvement at QAUNIT@dfps.texas.gov from an official law enforcement email address.

SWI releases copies of recorded calls to law enforcement only for a criminal investigation. If a request is received by email, SWI may call the agency to verify the employment of the requestor before providing the recording.

The intake specialist completes an I&R Other Business Call to document the requestor’s call.

3433 Request from Records Management Group or Attorneys Representing DFPS

SWI Policy and Procedures October 2020

If the Records Management Group (RMG), attorneys representing DFPS, or the Office of Inspector General (OIG) requests a recorded call and associated report documentation, the intake specialist:

  • Tells requestor to email the request to SWI Program Improvement at QAUNIT@dfps.texas.gov.
  • Completes an I&R Other Business Call to document the call.

3434 Completing a Call Recording Request

SWI Policy and Procedures October 2020

SWI Quality Assurance and Policy Development (QAPD) typically completes requests for recorded calls and associated information. A supervisor, worker V, or program administrator may handle this request when:

  • Someone from SWI QAPD is not available.
  • There is an urgent need for a copy of the call.

The requests must meet certain requirements. See:

3431 Request from Field Staff

3432 Request from Law Enforcement

3433 Request from Records Management Group or Attorneys Representing DFPS

After the requirements in sections listed above are met, the supervisor, worker V, or program administrator:

  • Sends the recorded call to the requestor by a DFPS email, which is automatically encrypted.
  • Burns the recorded call to CD if the file is too large for email.

The requester can have the CD mailed (two-day delivery service) or held for in-person pick up by an authorized representative.

3440 Field Staff Requests a Criminal History Check

SWI Policy and Procedures October 2020

CPI and CPS use the Texas Department of Public Safety (DPS) criminal history checks to help place a child or when directed to do so by the courts. These checks are also referred to as expedited background checks (EBC)

If CPI or CPS requests a Texas DPS criminal history check, the intake specialist transfers the call to the EBC queue. A team of dedicated intake specialists monitors this queue and has the authorization to perform these checks. SWI completes these checks for CPI and CPS only when both of the following are true:

  • The requester cannot access IMPACT.
  • No other CPI or CPS staff are available.

The intake specialist completes an I&R Other Business Call for to document the requester’s call.

3450 Field Staff Requests to Speak with Other Field Staff

SWI Policy and Procedures October 2020

If field staff calls to request to speak immediately with other field staff or a field supervisor about a case or work-related matter, the intake specialist:

  • Verifies employment by asking for his or her:
    • Name
    • Date of birth
    • Region and unit number
    • Supervisor’s name
  • Verifies this information using a staff search in IMPACT.
  • Provides home or cell phone numbers for the field staff requested.
  • Provides office number for offices that are open 24 hours a day.
  • Completes an I&R Other Business Call to document requester’s call.

3460 Field Staff Requests Help from Other Field Staff

SWI Policy and Procedures October 2020

If field staff requests help from other field staff for a courtesy interview or services to a client or family in an open case, the intake specialist:

  • Tells the requester to contact the relevant local office.
  • Provides the necessary business phone numbers and information to assist in the communication between field staff.
  • Completes an I&R Other Business Call.

3500 Special Program or Agency Jurisdictional Issues

3510 Reports for Other Agencies

SWI Policy and Procedures October 2020

The Agency Jurisdiction chart contains information about many agencies within and outside Texas and specifies which DFPS or HHSC program has jurisdiction or which I&R type is appropriate for a particular agency.

See:

3172 Referred to DSHS

3173 Referred to HHSC

3174 Matter Referred On

See Agency Jurisdiction.

Emergencies

The intake specialist refers the reporter to local law enforcement if:

  • SWI receives a call for another agency when that agency is closed.
  • Information provided appears to require immediate attention.

If the reporter refuses or cannot contact law enforcement, the intake specialist:

  • Gathers the necessary information.
  • Calls law enforcement because of the urgency of the situation.
  • Documents the law enforcement notification in the I&R narrative, and
  • Completes the I&R for the appropriate state or community agency.

3520 Reports Solely for an Out-of-State Protective Services Agency

SWI Policy and Procedures October 2020

When a report meets Texas standards for abuse, neglect, or exploitation, but falls under the jurisdiction of another state’s protective agency, the intake specialist refers the reporter to that agency and provides the contact information, when available

If the reporter is unwilling or is unable to contact the appropriate agency in the other state, the intake specialist:

  • Completes an I&R Matter Referred On including:
    • All contact and locating information for the individuals in the other state.
    • Name of the out of state agency at the top of the narrative (for example, Oklahoma Child Protective Services).
  • Assigns the I&R according to the Assignment Charts.

3530 Reports for DFPS, CCR, or PI and Another State’s Protective Service Agency

SWI Policy and Procedures October 2020

If a report for a program under the jurisdiction of DFPS, Child Care Regulation (CCR), or Provider Investigations (PI) also contains information relevant to a protective service agency in another state, the intake specialist:

  • Completes a report for the program with jurisdiction (DFPS, CCR or PI).
  • Refers the reporter to the appropriate protective service agency in the other state.
  • Provides the contact information, when available.
  • Documents that the reporter agreed to call the other state’s protective service agency in the intake narrative.
  • Completes an additional I&R Matter Referred On to send to the other state’s protective agency if the reporter is unwilling or unable to contact that agency.

See:

4713.1 CPS Out-of-State Table

4714.1 Texas CPS Intake and Additional Children at Risk in Another State

3540 Reports for DFPS, CCR, or PI and Another Texas State Agency

SWI Policy and Procedures October 2020

If a report for DFPS, Child Care Licensing, or Provider Investigation also contains information relevant to another Texas state agency, an additional I&R is not necessary. It is the responsibility of the agency receiving the report to share relevant information with other agencies.

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