Previous Page Next Page

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 March 2023

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 conservatorship (CVS) caseworkers.

The intake specialist does not use this I&R type when the only report completed is an I&R or a CRSR.

The intake specialist completes this I&R 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 as follows:

  • Duplicates the intake using the current date and copies 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. The intake specialist completes person searches and relates for the intake, which then carry over when duplicating the intake to create the I&R.
  • Documents “Narrative is from intake completed 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. This includes the stage type C-IC (interstate compact on the placement of children).

3110 AFC Client Right/Fac Admn 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 3172 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 Admn 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 March 2023

Each DFPS program has its own I&R to Existing Case designation.

The intake specialist completes this type of report when a reporter provides 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 incident.
  • The reporter calls with names of collaterals or additional locating information.

The intake specialist at times needs to send I&Rs to multiple cases. Some examples are open cases that meet any of the following criteria:

  • 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, the intake specialist completes only one I&R to Existing Case.

When it is unclear whether the information is relevant to an open case, the intake specialist 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.

For additional information specific to open  cases, see 3121 Specific Considerations for an I&R to Existing Case and CCR Situations Involving a Child in DFPS Conservatorship on the DFPS intranet.

When the I&R involves human trafficking, the intake specialist sends an additional I&R to the Texas Department of Public Safety – Joint Crimes Information Center (JCIC). See 3171 Non-FPS Criminal Matter Referred to Law.

Completing an I&R to Existing Case and an Intake or a Case-Related Special Request (CRSR)

The intake specialist completes an I&R to Existing Case in addition to an intake or CRSR, 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, and the information is pertinent to the case.
  • At least one open case exists in a different program, and the information is relevant to that program.

For exceptions, see:

CCR Situations Involving a Child in DFPS Conservatorship on the DFPS intranet.

3121 Specific Considerations for an I&R to Existing Case

3121 Specific Considerations for an I&R to Existing Case

SWI Policy and Procedures March 2023

CPI and CPS cases have many stages, and multiple stages can be open at once.

3121.1 When to Send an I&R to Existing CPS Case

SWI Policy and Procedures March 2023

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). This includes the stage type C-IC (interstate compact on the placement of children) only in those situations described in 4713.1 CPS Out-of-State Table and 4713.23 Child in an ICPC Placement Alleges Abuse or Neglect.
  • 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.

I&Rs that pertain to open CPS cases are routed to the county with jurisdiction for the open case.

3121.2 CPS Case-Related Special Requests

SWI Policy and Procedures March 2023

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.

3121.3 When Not to Send an I&R to Existing CPS Case

SWI Policy and Procedures March 2023

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 any of the following stage types:

  • C-IC (interstate compact on the placement of children), except as stated above in When to Send an I&R to Existing CPS Case.
  • C-JPC (juvenile probation).
  • C-TYC (Texas Juvenile Justice Department).

See:

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

Child Protective Services Handbook, 1410 Definition of Case and Stage

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.

3121.4 Aging Out of Care (AOC) Stage in APS Cases

SWI Policy and Procedures March 2023

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.

3121.5 APS Case-Related Special Request Cases

SWI Policy and Procedures March 2023

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.

3121.6 Existing Provider Investigation (PI) Case and Possible Client’s Rights Issues

SWI Policy and Procedures March 2023

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

  • The report is about possible client’s rights or administrative issues.
  • There is an open PI case about the individuals involved.
3121.7 DCR or RCCR Standards Compliance and an Open DCI or RCCI Case

SWI Policy and Procedures March 2023

An intake specialist completes only an I&R to existing DCI or RCCI 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 June 2022

SWI uses a Standards Compliance I&R when the reporter has concerns about a day care or residential child care operation that does 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.

Note: The intake specialist does not complete this I&R type simply because the facility was mentioned during the report. The intake specialist assesses Standards Compliance I&Rs for day care or residential child care operations only when the report is regarding something that has occurred at the facility.

There are two types of Standards 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 include:

  • A day care provider is caring for more children than its license allows.
  • A 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 include:

  • A foster home is caring for more children than its license allows.
  • A residential treatment center is serving only cold meals to the children.
  • A foster parent is not allowing a child to participate in afterschool activities.
  • A foster child reports a complaint about his or her foster care placement that does not meet the definition of abuse, neglect, or exploitation. See 2843 Complaint from a Foster Youth about His or Her Placement.

If there are new allegations of abuse or neglect and concerns about standards compliance, the intake specialist completes only an intake. The intake specialist does not complete an additional Standards Compliance I&R.

The intake specialist completes only an I&R to existing DCL or RCCL case if the 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 March 2023

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 criminal activity that threatens the health or safety of a child or adult, but that is not included in a report sent to one or more of the following:

  • DFPS
  • Child Care Regulation (CCR)
  • Provider Investigations (PI)

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.

Note: When the intake specialist sends a report to DFPS, CCR, or PI, those programs notify law enforcement regarding any criminal activity that threatens the health or safety of a child or adult, if needed. The intake specialist does not need to send a separate I&R Non-FPS Criminal Matter Referred to Law unless it involves human trafficking.

Exception: Human Trafficking

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

  • Any local law enforcement agencies with criminal 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 March 2023

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

  • The reporter is the law enforcement agency with criminal jurisdiction. In this case, the intake specialist completes an I&R Clearly Not Reportable Re: Children or I&R Clearly Not Reportable Re: Elder/Disabled Adult when there is no open case. The intake specialist closes 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: Children or I&R Clearly Not Reportable Re: Elder/Disabled Adult when there is no open case. The intake specialist documents the call to law enforcement in the narrative and closes these reports without IMPACT automatically sending it back to law enforcement. See 2145 Law Enforcement Welfare Check.
  • When the criminal activity occurs out-of-state, see 3173 Matter Referred On.

3172 Referred to HHSC

SWI Policy and Procedures February 2023

The intake specialist completes an I&R Referred to HHSC when a report involving a facility or service under the jurisdiction of the Health and Human Services Commission (HHSC) includes one (or both) of the following:

  • Allegations of abuse, neglect, or exploitation that are not under DFPS or HHSC Provider Investigations (PI) jurisdiction.
  • Concerns related to the rights of clients or consumers.

However, the intake specialist does not complete an I&R Referred to HHSC when completing an intake for APS or HHSC PI (Facility or Community) because those programs notify HHS Complaint and Incident Intake (CII) of any concerns. The intake specialist documents any concerns in the narrative. See 5712 When Only One Report Should be Completed.

Note: When SWI faxes an I&R Referred to HHSC, it goes to HHS Complaint and Incident Intake (HHS CII).

Facilities and Services under the Jurisdiction of HHSC

These facilities or services include the following:

  • Assisted living facilities. (If there is an allegation of self-neglect, see 5736.2 Self-Neglect in Assisted Living Facilities.)
  • Day activity and health services.
  • Health facilities, including the following:
    • Birthing and abortion centers.
    • Clinical laboratories.
    • Comprehensive outpatient rehabilitation facilities.
    • Crisis stabilization units.
    • End-stage renal disease facilities (providing dialysis).
    • Freestanding emergency medical centers.
    • Hospitals (including private psychiatric hospitals, unless they contract with HHSC PI) and ambulatory surgical centers. See 6123 Private Psychiatric Facility Contracting with a Health and Human Services Agency.
    • Outpatient physical therapy or speech pathology service facilities.
    • Portable x-ray facilities.
    • Rural health clinics.
    • Substance use or narcotic treatment facilities.
  • Home health services from a home and community support services agency (HCSSA). (If there is an allegation of abuse, neglect, or exploitation of an adult, the intake specialist considers whether to complete an APS or PI Community intake, depending on the funding source. If there is an allegation of abuse, neglect, or exploitation of a child served by a HCSSA, the intake specialist always completes a PI Community intake, regardless of the funding source.)
  • Hospice in a facility. (For hospice in a client’s home, the intake specialist considers whether to complete a PI Community or APS intake, depending on the funding source.)
  • Nursing homes. (If the client is being evicted or is leaving against medical advice, see 5736.3 Eviction or Leaving Against Medical Advice from a Facility Licensed by LTCR or HCFR.)
  • Personal assistance service agencies.
  • Prescribed pediatric extended care centers.

If there are concerns of abuse, neglect, or exploitation in an HHSC-licensed facility or by a Medicaid-funded employee or contractor, the intake specialist considers whether to complete a PI intake. See:

6830 Dual Jurisdiction between PI Facility and HHSC LTCR or HHSC HCFR

7730 Dual Jurisdiction between PI Community and HHSC LTCR or HHSC HCFR

If there are concerns of abuse, neglect, or exploitation by a family member or self-neglect under the jurisdiction of APS, the intake specialist considers whether to complete an APS intake. See 5736.5 Abuse, Neglect, or Financial Exploitation by Someone Other Than an Employee.

See the Agency and Program Jurisdiction resource on the DFPS intranet for more information.

When to Close the I&R

If a reporter has concerns about a facility or service that HHSC investigates or regulates, but the concerns do not fall under PI or APS, the intake specialist refers the reporter to the Health and Human Services Complaint and Incident Intake (HHS CII). The reporter can make a complaint to HHS CII by calling 1-800-458-9858 or by using the online Texas Unified Licensure Information Portal. If the reporter agrees to contact HHS CII, the intake specialist closes the I&R.

When to Assign the I&R

The intake specialist assigns the I&R Referred to HHSC when any of the following occur:

  • The intake specialist determines the information is an HHSC matter after the call ends.
  • The reporter is unwilling or unable to contact HHS CII.
  • The reporter sends the report by internet, mail, or fax.

3173 Matter Referred On

SWI Policy and Procedures March 2023

The intake specialist completes the I&R Matter Referred On when a reporter shares concerns that are any of the following:

  • Not part of a CPI, DCI, or RCCI intake.
  • Not under the jurisdiction of DFPS, Child Care Regulation (CCR), Provider Investigations (PI).
  • Not related to another agency covered by another I&R type.

Referrals to Other Community, Governmental, or Out-of-State Agencies

The intake specialist completes an I&R Matter Referred On when the reporter only needs help from another agency as he or she is not eligible for DFPS services or the concerns are not under the jurisdiction of DFPS, CCR, or PI. The intake specialist can find appropriate referrals on the Referrals for Callers webpage on the DFPS intranet. First be sure to rule out any DFPS, CCR, or PI report.

Examples for this I&R type include:

  • A referral to community agencies such as 2-1-1, a local food bank, church, shelter, or housing assistance.
  • A referral for legal assistance.
  • A referral to another governmental agency such as HHSC for food stamps, Medicaid, or WIC. See the Agency and Program Jurisdiction resource on the DFPS intranet.
  • Abuse, neglect, or exploitation in another state, with no protection issues for Texas. This includes abuse, neglect, or exploitation to be sent to the Mexican equivalent of Texas Child Protective Investigations authorities. See 4716 Child Resides in Mexico. Desarrollo Integral de la Familia (DIF) contacts can be found in the Assignment Charts on the DFPS intranet.
  • Criminal activity in another state that threatens the health or safety of a child or adult.

The intake specialist closes the I&R if the reporter agrees to contact the other agency unless it requires assigning as indicated below.

Situations That Require Assigning the I&R

The intake specialist assigns the I&R Matter Referred On to the faxing workload in these situations:

  • There is abuse, neglect or exploitation in another state or Mexico that requires reporting to that protective service agency. When it is Mexico, assign to the DIF border contact.
  • There is criminal activity in another state that threatens the health or safety of a child or adult and is not part of a DFPS, CCR, or PI report.
  • The reporter sends information to SWI by internet, mail, or fax and the intake specialist assesses the information to be relevant to another agency such as the Office of the Attorney General or Texas Juvenile Justice Department.
  • The intake specialist assesses an I&R Matter Referred On for another agency after the call.

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 September 2022

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

  • AFC Client Right/Fac Admn 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 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 September 2022

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 Admn 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 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 September 2022

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 Admn 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

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 September 2022

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 Admn Issue

Matter Referred On

Non-FPS Criminal Matter Referred to Law

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 Admn 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 2022

The 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. It establishes uniform procedures for placing children in private or substitute care in other states. An ICPC request is necessary in either of the following situations:

  • A child protective agency in one state has custody and needs to place a child in a home in another state.
  • 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 does both of the following:

  • 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 4822 CRSR – Out of State (C-OS).

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 December 2022

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

  • 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, Fire Marshals, 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 asks the requester for a main department employment phone number or dispatch, and then places the requestor on hold and verifies the requestor’s employment by:

  • Calling the employment phone number on another line.
  • Verifying that the requester is employed with the department in the stated capacity.

Afterwards, the intake specialist returns to the call and asks 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 later 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 the 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 him or her to the DFPS Records Management Group (RMG) at 512-929-6764 or at the DFPS Records mailbox. 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 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 800-647-7410.

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 at the DFPS Records mailbox. 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 May 2022

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 Policy and Performance Management (PPM) at the QAUNIT mailbox.

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 May 2022

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.
  • Emailed to SWI Policy and Performance Management at the QAUNIT mailbox 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 May 2022

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 Policy and Performance Management at the QAUNIT mailbox.
  • Completes an I&R Other Business Call to document the call.

3434 Completing a Call Recording Request

SWI Policy and Procedures May 2022

SWI Policy & Performance Management (PPM) staff typically completes requests for recorded calls and associated information. A supervisor, worker V, or program administrator may handle this request when:

  • Someone from PPM 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 the 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 HHSC

3173 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.

Previous Page Next Page