Vocational Rehabilitation Services Manual D-500: Business Procedures for VR Staff

Texas Workforce Commission Vocational Rehabilitation (TWC-VR) staff must follow TWC business procedures. However, some TWC-VR business procedures do not have a TWC equivalent. Business procedures that apply specifically to TWC-VR were previously captured in the Texas Department of Assistive and Rehabilitative Services (DARS) Business Procedures Manual (BPM), which was transferred into relevant sections throughout the Vocational Rehabilitation Services Manual (VRSM). The DARS BPM has been retired.

Staff members using the material covered in this chapter should address questions through their chain of management to VR executive management.

For information about TWC's accessibility policy, refer to the TWC Accessibility Policy

Refer to VR Guidance Memorandum 20-01: Customer Inventory Tracking Requirements, which is located on the VRD Guidance Memorandum intranet page.

Additional resources include the VR Customer Inventory Tracking List (SharePoint) and VR Customer Inventory Points of Contact (POC) and Office Profile (Word).

D-506-1: Researching a Payment

"Warrant Number" and "Payment Number" are used interchangeably to mean warrant number (nine digits) or direct deposit number (seven digits) for payment.

When a vendor contacts Texas Workforce Commission Vocational Rehabilitation Services (TWC-VRS) for payment status, the TWC-VRS staff member advises the vendor that the status of payments that the state makes to vendors may be checked on the Texas State Comptroller website at: https://mycpa.cpa.state.tx.us/securitymp1portal/displayLoginUser.do.

If the vendor insists that the staff member verify payment information, the TWC-VRS staff member performs the following actions in ReHabWorks (RHW), using information from the Service Authorization (SA):

1. In the horizontal menu bar, select Purchasing; then, from the left menu, select Purchasing and Search by SA Number. The Search by SA Number page opens.
2. Enter the SA number in the SA Number field and click Search. The SA Detail for: page opens.
3. Click on the Go to Receive/Pay Detail button for payment information. The SA Receive/Pay Detail page opens.
4. Under Payment Information, find the Voucher #; follow the column down to Warrant Information and find Warrant Date and Warrant #.
   • Payments by direct deposit are indicated by a seven-digit warrant number in the Warrant # field.
   • Payments by paper warrant are indicated by a nine-digit warrant number in the Warrant # field.

Payment by Direct Deposit

If the payment was made by direct deposit, the TWC-VRS staff member:

• provides the vendor with the direct deposit warrant number;
• provides the vendor with the date that the deposit was issued; and
• advises the vendor to contact the vendor's bank with the direct deposit information to locate the payment. If the vendor's bank cannot locate the payment, the vendor sends an inquiry to payables.rhwconsumers@twc.texas.gov and includes the SA, warrant number, and amount of the payment. The Accounting Payables unit can be reached directly at 512-463-1671, option 4.

Wire transfers from the Comptroller's office typically appear in a vendor's bank account approximately two business days from the warrant date.  

Requesting a Warrant Cancellation

If a vendor does not receive a payment made via paper warrant and 30 or more days have passed since the warrant issue date, TWC-VRS staff member emails payables.rhwconsumers@twc.texas.gov to request a warrant cancellation. This message must include the:

• SA number;
• voucher number;
• voucher amount;
• warrant number; and
• reason for the warrant's cancellation.

The TWC-VRS office is responsible for reissuing any warrant that is requested to be canceled.

Determining Warrant Status

TWC Accounting can research the warrant through the Treasury to see whether the warrant has been cashed or is on hold.

If the warrant has been cashed, the TWC-VRS staff member:

• requests a copy of the cashed warrant if a copy is not readily available (It can take between seven and 10 days to receive.); and
• emails a copy to the individual that initiated the email request.

If the warrant has not been cashed, the TWC-VRS staff member:

• proceeds with warrant cancellation; or
• responds to the inquiry if the warrant is on hold.

If no payment was issued, the TWC-VRS staff member researches and assists with expediting payment. Payments must be reissued in accordance with the appropriate system of issuance:

• RHW; or
• Workforce Reporting Accounting and Procurement System (WRAPS).

Forgery Claims

If a payee claims forgery, the TWC-VRS staff member emails payables.rhwconsumers@twc.texas.gov, and RHW accountants will follow current Comptroller Forgery Notification Procedures.

D-506-2: Payments Issued in Error

It may be necessary to recover state warrants or payments that were issued in error. Email payables.rhwconsumers@twc.texas.gov and request warrant cancellation.

If a warrant was issued:

• TWC Accounting retrieves the warrant before mailing and cancels the warrant through the Comptroller's office; or
• the issuing VR office contacts the vendor for return of the warrant before cashing.

If the vendor cashed the warrant, the issuing VR office requests a refund from the vendor, explaining that the funds were paid in error. Vendor contacts must be documented in the payment documentation, and each contact must be at least 30 days apart.

To show due diligence, the issuing VR office must give a vendor ample time to comply, using the following procedures:

• The first contact request may be made by phone.
• The second contact must be made in writing and sent via certified mail with tracked receipt.
• The third contact must be made in writing and sent via certified mail with tracked receipt.

Thirty days after the third notification has been sent, if the vendor does not respond with the requested refund, the issuing VR office:

• sends an email notification to payables.vendorholds@twc.texas.gov, including the vendor's tax identification number; and
• forwards documented contact attempts to payables.vendorholds@twc.texas.gov.

TWC Accounting proceeds with the vendor hold process.

If the payment was made by direct deposit and the date is six or fewer days ago, TWC Accounting:

• completes a callback request form; and
• submits the form to the Comptroller's office.

If the payment date is seven days ago, the issuing VR office requests a refund from the vendor, explaining that the funds were paid in error.

Vendor contacts must be documented in payment documentation and be at least 30 days apart. To show due diligence, the issuing VR office must give a vendor ample time to comply, using the following procedures:

• The first contact request may be made by phone.
• The second contact must be made in writing and sent via certified mail with tracked receipt.
• The third contact must be made in writing and sent via certified mail with tracked receipt.

Thirty days after the third notification has been sent, if the vendor does not respond with the requested refund, the issuing VR office:

• sends an email notification to payables.vendorholds@twc.texas.gov, including the vendor's tax identification number; and
• forwards documented contact attempts to payables.vendorholds@twc.texas.gov.

TWC Accounting proceeds with the Comptroller's vendor hold process.

D-506-3: Reissuing a Warrant

A payment cannot be reissued to a vendor until:

• TWC VR receives the original warrant for cancellation; or
• the warrant cancellation is confirmed. Once a warrant is canceled, staff will see the Warrant Cancel Date on the SA directly under the Warrant # in RHW.  

D-506-4: Warrant Hold

Verification of a Customer Payee's Hold Status

VR staff members are required to verify a customer's hold status before making payments to the:

• customer;
• parent of the customer; or
• guardian of the customer.

Payments made to a customer who is on hold are kept and held by the Comptroller's office. This policy applies only to payments made using a Federal Employer Identification Number (FEIN) or a Texas Identification Number (TIN) that is based on a Social Security number. Payments made in whole or in part with federal funds may be returned to TWC-VR upon submitting the required support documentation.

The Texas Identification Number System (TINS) is the system of record for accessing customer hold information. Field staff members unable to access TINS may send an email to payables.vendorholds@twc.texas.gov mailbox with "RUSH Warrant Hold Status" in the subject line, provide the payee number, and ask if that payee number is on hold.

Vendor Payee's Hold Status

This hold policy does not apply to vendors. There is no need to verify vendor (provider) hold status. The system automatically checks the hold table and identifies payments issued to vendors, individuals, and entities that have outstanding state debts.

Payments Subject to Warrant Hold

Information about the held payment is recorded in TINS and a Notice of State Payments Held letter is mailed to the payee. This letter advises the payee that payment is being held by the Comptroller's office because of his or her debt to the state of Texas. The payee is advised upon receipt of this letter to contact The State of Texas Comptroller's office at 512-936-8138 for additional information.  The letter also notifies the payee that the held warrant will be offset (applied to the liability owed) 30 days after the issue date on the Notice of State Payments Held letter if:

• the debt is not paid; or
• the warrant is not released at the request of the paying or hold source agency.

Holding a Payment

When a payment is issued to a payee on hold, the following actions occur:

• A warrant is printed and held at the Comptroller's office.
• The Notice of State Payments Held letter is generated by the Comptroller's office and mailed to the payee.
• The PYWRNT and PYWTHD screens are updated in TINS.
• The TINS 6206 and 6204 held warrant registers are generated.

When a payment is made and on hold to a payee, who is also set up for direct deposit, the direct deposit instructions are overridden, and a warrant is generated instead. The direct deposit instructions remain in suspense until the hold record is released. Direct deposit resumes automatically when the payee is released from hold, as long as the direct deposit instructions have not been deleted by the custodial agency.

Procedure to Release a Held Warrant

To release a warrant on hold, a TWC-VRS staff member must complete Form1777, Held Warrant Release Request, and submit it to payables.vendorholds@twc.texas.gov for processing. Note that in the 1777 Approvals section, the requestor and approver must be two different VR staff members. When the released warrant is received, Revenue and Trust Management (RTM) mails the warrant to the address shown on the warrant unless a Special Handling request has been received before the release of the held warrant.

After the close of a fiscal year, Texas Workforce Commission has 23 months to process all payments for goods and services received during that state fiscal year. For example, goods and services provided during Fiscal Year 2019, which ended on August 31, 2019, must have been paid for by July 31, 2021, unless otherwise directed by Finance department staff. If payment is not processed within this time, the vendor must follow current Texas Comptroller of Public Accounts procedures regarding miscellaneous claims in order to receive payment.

Invoices for services to customers may arrive after the state fiscal year in which the purchase was authorized in RHW has ended. The procedure for paying these invoices differs depending on the amount of time that has elapsed since the end of the fiscal year in which the SA was issued. 

• Invoices for SAs issued during the previous fiscal year may be paid in RHW through August 31 of the current fiscal year. These invoices must be authorized in RHW in sufficient time for the Comptroller to issue payment on or before August 31.
• For invoices for SAs issued during the year before the previous fiscal year, VR staff should send payment requests using the following procedures:
  • Send a request for payment, along with a copy of the SA and the invoice, to VR.Budget@twc.texas.gov. The invoice should be signed, and the payment amount should match the payment requested on the invoice.
  • Send a separate request for each invoice for which you are requesting payment.
  • Include the following information for each payment request:
    • SA Number
    • Cost Center
    • Approval to Pay
    • Customer Name
    • RHW Case ID
    • Amount to Pay
    • Invoice Number
    • Reason for late payment request
• Any invoice received for services and/or goods authorized before the timeframes listed above may be processed by the Comptroller's office only upon submission of a Miscellaneous Claims application.
  • It is the vendor's responsibility to submit the Miscellaneous Claim Application to the Comptroller's office. (Instructions for completion and submittal of the application are contained on the form.)
  • Once the Comptroller's office receives the application, it will contact the TWC Finance Division for approval of the claim. 
  • Claimants can contact the Comptroller's office regarding all requests for miscellaneous claims at misc.claims@cpa.state.tx.us or 800-531-5441, ext. 3-4724.

VR has the authority to obtain customers' computerized criminal history (CCH) records from the Texas Department of Public Safety (DPS) for the purpose of employment planning (Texas Government Code §411.117). VR must adhere to the requirements contained in this section (VRSM D-510), in VRSM B-405: Computerized Criminal History Checks, in TWC Privacy Manual Appendix G - Criminal History Record Information (CHRI) Proper Access, Use and Dissemination Procedures, and in the TWC Privacy Incident and Response Plan.

D-510-1: Security

Confidentiality of CCH records is required. Only authorized individuals with DPS Secure Site Access can run a search for records. Authorized individuals without DPS Secure Site Access can only request, obtain, and view CCH records for the purpose of vocational rehabilitation and employment planning purposes. All authorized individuals must complete and maintain a valid security level training certificate from the Criminal Justice Information Services (CJIS) Security Awareness Online Training System.

The term "authorized individual" includes:

• Caseload Carrying VR Staff including Unit Support Coordinators, Transition Vocational Rehabilitation Counselors, Vocational Rehabilitation Counselors, and Caseload Covering Vocational Rehabilitation Counselors.
• Management Unit Staff including Vocational Rehabilitation Supervisors and Vocational Rehabilitation Managers.
• Regional Office Staff including Regional Directors, Deputy Regional Directors, Program Support Managers, Regional Program Specialists, Regional Transition Specialist, Regional Blind Services Specialists, Regional Program Improvement Specialists, Employment Assistance Specialists, and Regional Points of Contact Staff for CCH.
• State Office Staff including the State Office Program Specialist for Employment Re-entry, Work Experience and Proprietary Schools, the Program Manager for Target Populations, and the Director of TWC Business Operations.

An authorized individual must ensure that:

• records cannot be viewed by others, either in hard copy or while visible on the computer screen (hard copies must be kept in a confidential and secure location); and
• all electronic copies are destroyed by:
  • deleting them from the Inbox/Sent folder as applicable; and
  • deleting them from the Deleted folder

Refer to VRSM D-307: Processing Closed Case Files for more information about hard copy destruction requirements.

It is administratively prohibited to access the DPS secure site via a mobile device (for example, a smartphone or tablet). 

Employee violations on protecting the confidential nature of customer records are grounds for appropriate disciplinary action. Unauthorized use of the CCH system may result in disciplinary action and/or criminal penalties as outlined in the TWC Privacy Manual and the TWC Personnel Manual.

D-510-2: Roles and Responsibilities

DPS account supervisors are responsible for ensuring that DPS Secure Site users are using the site appropriately. Periodic monitoring is required to assess request patterns.

Requestors are VR staff members who request CCH searches. Requestors are responsible for following and complying with VRSM B-405: Computerized Criminal History Checks.

Secure site users (regional points of contact) are responsible for ensuring that a request is appropriate (for example, confirming that a CCH search request from field personnel is for a legitimate vocational need for a customer assigned to the individual's caseload). Secure site users are responsible for retrieving criminal history record information (CHRI) for requestors from the assigned region. Secure site users must maintain the VR1510, Request for Computerized Criminal History (CCH) Search, as an auditable file for the purpose of DPS monitoring. The VR1510 must include the name of the requestor, the date of the request, and the justification for the request. Customers must have an open case for a CCH search to be run and been determined eligible for VR services. CCH searches must not be run for customers in initial contact or application. Refer to Points of Contact for Computerized Criminal History Reports.

State office staff:

• serve as a backup to the regional points of contact responsible for CCH searches, oversight, and monitoring;
• provide statewide monthly activity reports due to the TWC accounting department;
• act as a conduit for information and support as needed by other authorized DPS system users; and
• process all fingerprint-based CCH requests directly with field staff.

D-510-3: Receiving Requests

The requestor fills out the VR1510, Request for Computerized Criminal History Search and sends it to the regional point of contact via encrypted email using the subject line <ENCRYPT> Background Check Request.

A hard copy of the VR1510 must be kept in a confidential and secure location by the secure site user who retrieved the CHRI from the DPS secure site and must be maintained for audit purposes for seven years after the case is closed. The VR1510 must include the name of the requestor, the request date, and the justification for the request.

For more information, refer to VRSM B-405: Computerized Criminal History Checks.

D-510-4: Conducting a Search

Note: A CCH search must only be conducted through TWC-issued computers. It is administratively prohibited to access the DPS secure site via a mobile device (for example, a smartphone or tablet). 

Staff should search all known names and date of birth first, then use the customer's Social Security, Texas driver license, or Texas ID card number to narrow the results. VR staff may need identifying characteristics such as tattoos or eye color to narrow the results.

Once VR staff obtains a record, if there has been no disposition (for example, the case is still in court and no decision has been reached for months) or the customer does not agree with the information on the record, staff refers the customer to the DPS Crime Records Service site to obtain an error resolution form using the "Help Us Help You" link.

If the customer insists that he or she has a criminal record but no record is returned, it is possible that a local arresting authority has not reported the record to DPS. The customer must be directed back to the local authority. If the crime was in another state, the customer will need to be processed via the fingerprint-based CCH method in order to retrieve the record.

Fingerprint search requests must be directed to the State Office Program Specialist for Employment Re-entry, Work Experience and Proprietary Schools for instructions on that process. These records are subject to the same security procedures and confidentiality restrictions as CCH searches.

D-510-5: Responding to a Request

All requests made to secure site users must be handled within three business days.

Secure site users should cut and paste the criminal record, or the search result showing that no criminal record was found, into a blank Word document. The document must then be attached and forwarded to the requestor in an email with the subject line <ENCRYPT> CCH Response to ensure that it will be encrypted automatically.

Secure site users should include the following message in the email:

"Enclosed you will find the results of the CCH records search you requested. The CCH should be used for vocational rehabilitation (VR) planning purposes only. The CCH results must be purged and destroyed (for example, deleting them from email and then deleting them from the Deleted folder in the email application, such as Outlook) immediately after the criminal history record has served its immediate purpose for which it was obtained. For example, after the VR counselor discusses the implication of the CCH results with the customer, the VR counselor must immediately destroy the CCH results. VR may release the fingerprint-based CCH results to the customer or customer’s representative if there is a valid release or written request prior to the destruction of the fingerprint-based CCH results by the VR counselor. The name-based CCH results are not to be printed for any reason. For specific information about release of these records, refer to VRSM A-208-2: Release of Customer Criminal History Records. Neither type of CCH result (name-based or fingerprint-based) are not to be stored in a paper case file or the customer’s virtual case file under any circumstances."

A response template must instruct the requestor to use the same process to delete the criminal history information from the electronic system.

D-510-6: Fingerprint Procedures

If verification cannot be made based on a customer's name, the secure site user instructs the VR staff to submit a completed and signed VR1510, using the standard encryption method, to the State Office Program Specialist for Employment Re-entry, Work Experience and Proprietary Schools to complete a fingerprint search request.

The state office program specialist reviews the VR1510 and the case to ensure that all policies have been followed.

VR staff helps the customer schedule the fingerprinting appointment at https://uenroll.identogo.com/ using the service code provided by the state office program specialist.

VR staff sends an email to the state program specialist with the following information:

• The date and location of the fingerprinting appointment
• The customer's name
• The case ID
• The purpose of fingerprinting (for example, "for customer's practicum")

VR staff directs the customer to take a photo ID and Social Security number in addition to the dates and information on any arrest history when the customer goes to the fingerprinting appointment. Please refer to the list of acceptable forms of identification for fingerprinting by DPS.

VR staff informs the customer that a fee (approximately $15–$25) may be required at the time of the appointment. VR pays the balance of the cost at the State Office.

Once the report is obtained from the secure site, the state office program specialist follows the procedures in D-510-5: Responding to a Request.

D-510-7: Procedure for CCH Verification Log

The CCH verification log is required by the Department of Public Safety (DPS) to track CCH requests. The log should be maintained by regional and state points of contact for conducting the initial CCH from Audit to Audit.

Regional points of contact keep a hard copy of the VR1510, Request for Computerized Criminal History (CCH) Search received from requestors in a confidential and secure location. Regional points of contact are also responsible for maintaining the CCH verification log. Regional points of contact submit their monthly CCH verification logs to the State Office Program Specialist for Employment Re-entry, Work Experience and Proprietary Schools.

When conducting a CCH, the CCH verification log should contain the following information elements:

• Name of customer
• Purpose of CCH
• Reference# (ReHabWorks Case ID)
• Check whether CCH Printed/Not Printed
• Date Printed
• Initials of person conducting the CCH

If the CCH is printed, the log must be updated with the following information when the CCH is destroyed.

• Date Destroyed
• Initials of the person who destroyed the CCH.

The State Office Program Specialist for Employment Re-entry, Work Experience and Proprietary Schools is responsible for maintenance and retention of monthly CCH logs in a confidential and secure location from Audit to Audit. Once the audit has occurred, logs can be destroyed. Any log moving forward from the day of the audit needs to be kept until the next audit.