Investigating Referrals Pursuant to Family Code Section 3027, Probate Code 1513(b), or Welfare and Institutions Code 329
0070-548.13 | Revision Date: 1/3/2023

Overview

This policy guide provides an overview of the referral process, investigation, and court report writing requirements for referrals generated under Family Code Section 3027, Probate Code Section 1513(b), or Welfare and Institutions Code 329.

Table of Contents

Version Summary

This policy guide was updated from the 07/01/14 version to clarify steps in the investigation process required by WIC 329, which requires that the investigating CSW conduct an investigation, render a disposition, and work with County Counsel to provide disposition notice via the JV-210 to the petitioner, within 21 days of receipt.

POLICY

Referrals Pursuant to Family Code Section 3027

If allegations of child abuse, including child sexual abuse, are made during child custody proceedings and the court has concerns regarding the child's safety, the court can take any reasonable, temporary steps to protect the child's safety until an investigation can be completed. The court can also request that DCFS conduct an investigation of the allegations pursuant to Welfare and Institutions Code (WIC) Section 328. Welfare and Institutions Code section 328 directs that “If the social worker has cause to believe that there was or is within the county, or residing in the county, a person described in Section 300, the social worker shall immediately make any investigation the social worker deems necessary to determine whether child welfare services should be offered to the family and whether proceedings in the juvenile court should be commenced.”

This policy guide supports the emergency response investigation as it applies to referrals generated under Family Code (FAM) Section 3027. Referrals pursuant to FAM Section 3027 Family Law Court are directly reported to the Child Protection Hotline by Family Law hearing officer. A referral generated under FAM Section 3027 due to allegations of child abuse will be investigated to the same extent as any other child abuse allegation. The investigation will be conducted to determine the appropriate intervention. No inference regarding the credibility of the allegations or the need for child welfare services should be drawn from a child custody proceeding.

Upon the completion of the investigation, the CSW must complete the DCFS 4370, Report of Findings, and submit it to Juvenile Court Services (JCS). The Report of Findings must include the investigation results and what, if any, action(s) was taken. All notifications and Reports of Findings must be sent to JCS. JCS tracks the referrals, the receipt of report of findings, and submits the DCFS 4370 report directly to Family Law Court.

Referrals Pursuant to Probate Code Section 1513(b)

The Probate Court may refer the matter in writing to DCFS pursuant to Probate Code (PROB) Section 1513 (b) if the proposed ward is or may be described by WIC Section 300. The referral from the Probate Court is made pursuant to WIC Section 329(b).The 1513(b) referral from the Probate Court may be provided to DCFS on the JV-210 forms or any application made via an affidavit.

Probate Code Section 1513(b) referrals are made to DCFS through Juvenile Court Services (JCS), unless there is an immediate risk to the child/youth. If there is an immediate risk, Probate Court and court staff normally will contact the Child Protection Hotline (CPH) directly. The responsibilities of JCS staff include:

  • Making a referral to the CPH
  • Processing these referrals
  • Obtaining all necessary information from Probate Court to initiate the investigation
  • Serving as the direct liaison between DCFS and Probate Court
  • Tracking the receipt of the report from the field CSW
  • Ensuring the appropriate parties were notified of any continuances and/or submitting the received requests for continuances
  • Submitting reports to Probate Court

Per an established agreement with Probate Court Section 1513(b), referrals are made through JCS. JCS will thereafter email the CPH to make the referral. JCS will send the paperwork to the CPH. JCS will follow up with the assigned ER CSW to avoid duplicate referrals.

If there is an open referral and the same concerns and/or allegations are being investigated, JCS will send the PROB Section 1513(b) request and paperwork directly to the Child Protection Hotline (CPH) and inform them of the open referral.

The investigation of child abuse pursuant to Probate Code Section 1513(b) must be conducted pursuant to WIC Section 329 to determine whether DCFS involvement is necessary, such as, for voluntary services or court supervised services. Probate Court guardianship proceedings will not move forward until the investigation is complete and a report is provided to the court with an assessment and recommendations.

PROB Section 1513(b) referrals must be investigated using the timeline in WIC Section 329(b). The investigating social worker shall provide the Probate Court with a disposition within three weeks of the referral being presented to DCFS.

Unless waived by the court for good cause, whenever a guardianship petition is filed with court and the child does not appear to be described by the WIC Section 300, the mandatory investigation proceeds pursuant to Probate Code section 1513(a). When the proposed guardian is a relative, a Probate Court investigator will conduct investigations. When the proposed legal guardian is a non-relative extended family member (NREFM), the county agency designated to investigate potential dependency cases will conduct investigations.

Referrals Pursuant to Welfare and Institutions Code Section 329 and 331

Any person or entity alleging that a child is in need of the protection and juvenile court proceedings have not been initiated can initiate proceedings in Dependency Court by filing a JV-210, Application to Commence Proceedings by Affidavit and Decision by Social Worker, setting forth facts that establish that the child comes within the provisions of Welfare and Institutions Code Section 300 and is in need of the court’s protection. Note: a JV-210 is not required, but can be used for the application. The application must be made in the form of an affidavit.

If after receiving a JV-210, the CSW does not file a petition to initiate juvenile court proceedings, the CSW must document the reasons supporting the decision not to file on the second page of the JV-210. The applicant may then, within one month of the date the JV-210 was originally submitted, apply to the juvenile court to review the decision of the social worker, pursuant to WIC Section 331.

As noted above, the Probate Court can also make a referral by way of a WIC Section 329 application when there is a concern for the safety of a child and a concern that legal guardianship through Probate Court may be inappropriate. The Probate Court can file a JV-210, Application to Commence Proceedings by Affidavit and Decision by Social Worker or provide an affidavit.

DCFS will immediately initiate a child abuse investigation upon receipt of the JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request. The purpose of the investigation is to determine if the child is at immediate or at future risk by either the child’s parent(s), legal guardian(s), or current caregiver(s). The CSW cannot require a caregiver to obtain Probate Court legal guardianship as a condition to closing the child abuse referral. The decision to remain an informal caregiver or to obtain legal guardianship is up to the individual caregiver but will be a factor in determining whether or not further court intervention is necessary.

CSWs must conduct a thorough investigation of the referral just as they would with any suspected child abuse referral. Upon completion of the investigation, the assigned CSW must notify the applicant of the action(s) taken or the decision rendered under the provisions specified in WIC Section 329.

Investigation Findings

Follow Up

There are no issues of child abuse or neglect by a parent or caregiver that warrant DCFS intervention.

  • Probate Court guardianship can be one (1) of the potential options and/or resources for the family’s consideration.

There is an issue of parental absence.

WIC Section 329 and the JV 210 process differ from referrals that fall under Probate Code Section 1513(b) Referrals in that the application can be made by anyone concerned for the child’s well-being. Probate Code Section 1513(b) provides a process whereby if the Probate Court identifies that the proposed ward of the guardianship is a child who is or may be described by WIC Section 300, the Probate Court may refer the matter to DCFS for an investigation pursuant to WIC Section 300. For requests for case information/records from Family Law or Probate Court, see Releasing DCFS Case Record Information.

PROCEDURE

Receiving Court Referrals Pursuant to Family Code Section 3027, Probate Code Section 1513(b), or Welfare and Institutions Code Section 329

Juvenile Court Services (JCS) Designee Responsibilities

  1. For Probate Court orders, pursuant to Probate Code (PROB) Section 1513(b), which direct DCFS to conduct a child abuse investigation regarding the child’s parent(s):
    1. Review and determine if enough information has been provided for the Child Protection Hotline (CPH) to generate a proper referral, if one was not generated.
      1. If there is not enough information, contact the applicable court.
      2. Obtain any missing information including the Probate Court minute order, the Probate Investigator’s Guardianship Report, and Petition for Guardianship.
      3. Email the Probate Guardianship minute order with the 1513b request, Probate report, Petition for Guardianship, and any other paperwork or supporting documents to the CPH at CPH@dcfs.lacounty.gov
    2. For FAM Section 3027, contact the CPH and make a child abuse referral, if one was not generated by Family Law.
      1. File the original Probate Court minute order and the supporting documents in the Office-designated file.
  2. Upon receiving notification of a Family Code (FAM) Section 3027 or a PROB Section 1513(b) referral:
    1. Track the receipt of the referrals, legal documents, and/or continuance requests in the office log.
    2. Email any additional Probate or family law documentation to the assigned ER CSW and ER SCSW, and refer him/her to the procedures outlined in this policy.
    3. Provide the ER CSW and SCSW with the date when the report/response is due to JCS.
        1. For Probate 1513(b) Referrals, a response is due withing three (3) weeks of the referral being presented to DCFS.
        2. For Family Court Referrals, reports are due three (3) business days before the hearing.
            • DCFS must not wait until the day of the hearing to request a continuance.
    4. Five (5) days prior to the hearing, send a reminder email to the ER CSW or CSW, as appropriate, the SCSW, and the ARA. Reminders should be submitted within the following timeframes, as applicable:
    5. If the ER CSW submits a continuance request, forward the request to the respective court at least three (3) business days before the scheduled hearing date.
    6. Upon receipt from the ER CSW, send the notification and DCFS 4370, Report of Findings or response, to the appropriate Family Court or Probate Court.
    7. If applicable,obtain the court results or minute, order and provide to the assigned CSW or SCSW.
  3. Upon receipt of a JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329 relating to Probate or Family Law or new investigations:
    1. Initiate a search on CWS/CMS to determine if an open referral or case exists.
      1. If the allegation has been previously investigated, contact the requestor/applicant to determine if there is new or different information.
      2. If there is not an open referral, contact the CPH via CPH@dcfs.lacounty.gov to generate a new referral for assignment and investigation by the regional office/special program that handled the initial matter.
    2. Record the date the JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329 request was received in the office tracking log.
    3. File the original JV-210, all affidavits, that rise to the level of a WIC 329 request in the office designated file.
    4. Track the receipt of all JV-210s, all affidavits, petitions and letters/statements that rise to the level of a WIC 329.
    5. Five (5) days prior to the hearing, send a reminder email to the ER CSW or CSW, as appropriate, the SCSW, and the ARA. Reminders should be submitted, as applicable.
    6. The response is due within three (3) weeks of the referral being presented to DCFS. After receipt of the JV-210 response from the ER CSW, forward the response to the applicant/filing party.

DCFS Staff Responsibilities

  1. Upon receipt of a JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request, forward the documents to CPH.

Child Protection Hotline (CPH) 3027, 1513(b), and WIC 329 Specialist Responsibilities

  1. Upon receipt of a JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request, assess the documents to determine if an in-person response referral is warranted.
  2. If an in-person response referral is warranted, generate an Immediate Response (IR) referral and map the referral to the appropriate regional office in accordance with the established Referral Assignment Criteria policy.
    1. If the report is received Monday through Friday during business hours, assign as an Immediate Response (IR).
    2. If the report is received after business hours, on weekends, or holidays, determine if a response by next business day is appropriate. If not, assign to ERCP.
    3. In the Screener Alert and Screener Narrative, document that the referral has been generated as a result of a JV-210 or 1513(b) request and must be investigated pursuant to WIC 329.
    4. If there is an existing referral under investigation documenting the same allegations contained in the JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request, email or fax the documentation to the assigned ER CSW and ER SCSW, and refer him/her to the procedures outlined in this policy.
    5. If applicable, ensure that the court address, Department number, and the next hearing date are clearly noted in the Screener Narrative.
    6. Ensure that any JV-210s, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request, Probate Court reports, or Family Law Court reports or documents are attached as supporting document(s) in the Documents section of the referral.
  3. Assess for applicable allegation(s).
  4. Completed the Screener Narrative utilizing details contained within the request.
  5. Create the Emergency Response Document.
  6. Assign to the appropriate CPH in-box caseload.
  7. Prior to evaluating out a WIC 329 request, speak to the requestor/applicant to determine if there is additional (new or different) information the requestor/applicant would like to add.
    1. If DCFS believes a WIC 329 request does not rise to the level of an investigation after speaking to the requestor/applicant, complete the JV-210 Decision of Social Worker or Social Services Agency, document the reasons for the denial, sign it, and provide the written outcome to the requestor/applicant.

CPH SCSW Responsibilities

  1. Review the referral and the SDM Hotline tool created by the CSW for thoroughness and accuracy.
  2. Ensure that any JV-210s, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request, Probate Court reports, or Family Law Court reports or documents are attached as supporting information in the Documents section of the referral or forwarded to the office where the referral is assigned.
  3. Approve the referral and assign to the appropriate regional office, when applicable.
    1. If DCFS believes a WIC 329 request does not rise to the level of an investigation after speaking to the requestor/applicant, complete the JV-210 Decision of Social Worker or Social Services Agency, document the reasons for the denial, sign it, and provide the written outcome to the requestor/applicant.
  4. For referrals received during business hours, refer to the Referral Assignment Criteria policy guide. The following assignment criteria are general guidelines when mapping referrals:

Residence / Living Situation

Office Assignment / Mapping

Victim(s) live(s) in the home of the prospective guardian(s): both parental addresses known.

  • The address of the Custodial Parent, if known. If custodial rights are unknown, the address of the mother.

Victim(s) live(s) in the home of the prospective guardian(s): one parental address is known.

  • The address of that parent.

Victim(s) live(s) with prospective guardian(s): both parental addresses unknown.

  • The address of the prospective guardian(s). If there are victims who live with different prospective guardians, the address of the youngest child will be used.

Victim(s) live(s) in the home of the prospective legal guardian, and the parent resides in an adjacent county, but there are no siblings residing with the biological parents.

  • The address of the prospective legal guardian.

Victim(s) live(s) in the home of the prospective legal guardian, and the parent resides in an adjacent county, but there are siblings residing with the biological parents.

  • Assign the referral to the office where the victim (subject of the proposed legal guardianship) resides and contact the adjacent county to generate a referral on behalf of the siblings.

Victim(s) live(s) with (related or non-related) temporary legal guardian.

  • The address of the temporary legal guardian.

Victim(s) live(s) with (related or non-related) legal guardian.

  • The address of the legal guardian.

Emergency Response (ER) CSW Responsibilities

  1. Respond to the referral according to established policy and procedures in Child Protection Hotline (CPH) Referrals: Screening Decision and Response Priority.
  2. For referrals pursuant to PROB Section 1513(b) or FAM Section 3027:
    1. Review any Family or Probate Court reports or documents.
      • In the event that the Family or Probate Court minute order and/or the legal guardianship report are not attached, contact the JCS liaison at (323) 526-6890 to obtain them.
    2. Complete the child abuse investigation.
            1. When applicable, follow procedure as outlined in Emergency Response Referrals Alleging Abuse of Children Who Are Under DCFS Supervision and Residing in the Home of a Parent.
            2. Include a determination of whether or not DCFS involvement is necessary (voluntary or court).
    3. After completing the child abuse investigation, complete the report as follows for FAM 3027:
        1. Review the on-line case record to ensure that all identifying information (e.g., names, addresses, etc.) are recorded and current.
              • Update the case record, as necessary.
            1. If needed, consult with the County Counsel for assistance.
            2. Access and save the report through the Case Management Notebook in the Case Plan folder.
              • Click on ‘Create New Document.’
              • Select Los Angeles County in the drop down menu.
              • Select the DCFS 4370, Report of Findings.
            3. Refer to the sample document and, complete the DCFS 4370.
                • On the top of the page, provide the Family or Probate Court address, hearing date, and Department number in each of the respective fields.
                • Provide detailed and thorough information under the report headings.
    4. Sign and date the hard copy.
  3. For referrals in response to a WIC Section 329 affidavit filing:
      1. Complete a new and independent investigation, render a disposition, and work with County Counsel to provide disposition notice via the JV-210 to the petitioner within twenty-one (21) calendar days of receipt. The disposition and closure of the referral is to be handled according to PG 0070-548.10.
        • Do not to rely on the information that was gathered by the previous worker in the previous investigation. A new investigation is to be conducted.
        • The RA, ARA, or designee will decide whom to assigned the referral to upon review of the JV-210 Referral.
      1. If the ER CSW is investigating a referral associated with a child(ren) with an open case, consult with the case carrying CSW.
      2. Complete the JV-210 sections titled, “Decision of Social Worker or Social Service Agency,” and sign it.
      3. Submit the hard copy of the report and all supporting documents to the SCSW for approval.
        1. If the JV-210 was filed by the Probate Court, email the JV-210 to the JCS Liaisons at ProbateRDCFSI@dcfs.lacounty.gov by the due date provided to you. If it was by an outside entity other than Probate Court, forward the JV-210 response to the applicant/filing party.
        2. If it was filed by an outside entity other than Probate Court, send the signed “Decision of Social Worker or Social Service Agency” to the requestor/applicant.
        3. Retain a copy of the JV-210, all affidavits, petitions and letters/statements that rise to the level of a WIC 329/PC 1513(b) request in the case file.
      4. Upon concluding the ER investigation, consult with in-office County Counsel prior to drafting a response to petitioner.
      5. When the social worker's decision is to not commence proceedings in juvenile court, the social worker must complete page two of the JV-210 form.
        1. If the 329 application comes from the Family court or the Probate court, mark box 9(b) and "See attachment 9" and then complete the DCFS 4370 to provide a response as to why DCFS did not commence proceedings in juvenile court.
        2. If the 329 applications comes from any other reporter, mark box 9(b) and provide a simple response as to why DCFS did not commence proceedings in Juvenile Court. Because most reporting parties do not have access to juvenile case information, a detailed response is not legally appropriate due to the confidential nature of the information.
      6. For referrals pursuant to FAM Section 3027, if unable to complete the investigation and/or report in time for the court hearing, fax a continuance request using the DCFS 4216, Last Minute Information for the court, to the JCS Liaison as soon as possible, but no later than at least three (3) business days prior to the hearing.
        1. Provide a brief explanation as to why a continuance is needed.
        2. Submit the continuance to the ER SCSW and ARA for approval.
          • CSWs cannot request a continuance beyond thirty (30) days.
      7. Upon obtaining the necessary approval from the SCSW and/or ARA, email the report to the JCS Liaison at ProbateRDCFSI@dcfs.lacounty.gov
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ER SCSW Responsibilities

  1. If a continuance request is necessary, for referrals pursuant to FAM Section 3027, review and approve the DCFS 4216, Last Minute Information for the Court, as submitted by the ER worker and forward to the ARA for approval.
  2. Review any of the following documents:
    • Respective reports
    • DCFS 4370, Report of Findings
    • JV-210 to be sent to Family Court, Probate Court, or the respective entity
    • Any supporting documents, including any SDM tools used
  3. If approved, return to the CSW.
  4. If not approved, return the packet to the CSW and request corrective action.

ARA Responsibilities

  1. If a continuance request is necessary for referrals pursuant to FAM Section 3027, review and approve the DCFS 4216, Last Minute Information for the Court.
  2. If approved, return to the SCSW.
  3. If not approved, return the packet to the CSW and request corrective action.

RA or Designee Responsibilities

  1. Upon receipt of a referral generated by CPH that rises to the level of a WIC 329/PC or 1513(b) request:
    1. Review the referral.
    2. Review prior history.
    3. If there is an open investigation, decide whether the referral should go to the same CSW or a different CSW.
    4. Complete any other tasks that would provide the CSW that is assigned to investigate better direction and clarify.
APPROVALS

SCSW Approval

  • Referrals for each child in CWS/CMS
  • All SDM Tools
  • DCFS 4370, Report of Findings
  • DCFS 4216, Last Minute Information for the Court
  • Continuance requests

ARA Approval

RA Approval

HELPFUL LINKS

Attachments

Sample DCFS 4370 Report of Findings

Forms

Hard Copy

JV-210, Application to Commence Proceedings by Affidavit and Decision by Social Worker

CWS/CMS

DCFS 4370, Report of Findings

Investigation Narrative

Response to Mandated Reporter

LA Kids

DCFS 4216, Last Minute Information for the Court

Probate/Family Law Court Request for Information

Resources for Probate Court Legal Guardianship

REFERENCED POLICY GUIDES

0050-501.10, Child Abuse and Neglect Reporting Act (CANRA)

0050-502.10, Child Protection Hotline (CPH)

0050-503.15, Child Protection Hotline (CPH) Referrals: Screening Decision and Response Priority

0050-504.05, Referral Assignment Criteria

0070-536.10, Assessment of Parental Incapacity or Absence

0070-548.06, Emergency Response Referrals Alleging Abuse of Children Who Are Under DCFS Supervision and Residing in the Home of a Parent

0070-548.10, Investigation, Disposition and Closure of Emergency Response Referrals

0300-503.40, Writing the Probate Legal Guardianship Court Report

0300-503.90, Submission of Last Minute Information to the Court

0300-503.98, Continuance Requests

0500-501.20, Release of Confidential DCFS Case Record Information

STATUTES AND OTHER MANDATES

Family Code (FAM) Section 3027, states that if allegations of child abuse, including child sexual abuse, are made during a child custody proceeding and the court has concerns regarding the child's safety, the court can take any reasonable, temporary steps to protect the child's safety until an investigation can be completed. The court can request that the local child welfare services agency conduct an investigation of the allegations pursuant to Section 328 of the Welfare and Institutions Code (WIC).

Probate Code (PROB) Section 1513(b) – States, in part, that “Prior to ruling on the petition for guardianship, the court will read and consider all reports submitted …, which will be reflected in the minutes or stated on the record...”

PROB Section 1513(b) – If the investigation finds that any party to the proposed guardianship alleges the minor's parent is unfit, as defined by Section 300 of the Welfare and Institutions Code, the case will be referred to the county agency designated to investigate potential dependencies. Guardianship proceedings will not go forward until the investigation required by Sections 328 and 329 of the Welfare and Institutions Code is completed and a report is provided to the court with the investigation results and recommendations.

Welfare and Institutions Code (WIC) Section 300 – States the conditions that a child must be experiencing to potentially be deemed dependent of the court.

WIC Section 328 – States that whenever the social worker has cause to believe that there was or is within the county, or residing therein, a person described in Section 300, the social worker will immediately conduct an investigation as deemed necessary to determine whether child welfare services should be offered to the family and whether proceedings in the juvenile court should be commenced.

WIC Section 329 – WIC Section 329 requires that, whenever any person/agency applies to DCFS to commence proceedings in the Juvenile Court, alleging that a child comes within the provisions of WIC Section 300, DCFS will immediately investigate the matter.

WIC Section 827.10 – Provides the exception to the confidentiality of child welfare records for certain participants in family law and Probate Court guardianship cases.