1000 Legal Basis, Regulated Programs, Records, and Technology

1100 DFPS Authority to Investigate Abuse, Neglect, and Exploitation

CCI July 2022

The policy and procedures of the Department of Family and Protective Services (DFPS) are governed by federal and state laws that define the agency’s authority and set the requirements for its programs to comply. In addition to general requirements of DFPS, there are also many requirements applicable specifically to Child Care Investigations (CCI), within the program of Child Protective Investigations (CPI).

Federal Law

The U.S. Constitution and federal laws related to child welfare mandate and protect personal rights of children, families, and alleged perpetrators. These rights include, but are not limited to, those relating to:

Due process.
The right to be free from unreasonable searches and seizures.

In addition to the U.S. Constitution, the primary federal laws under which DFPS operates are the following:

Child Abuse Prevention and Treatment Act (CAPTA).
Titles IV-B and IV-E of the Social Security Act.
Americans with Disabilities Act (ADA).
Public Information Act (PIA).

See:

U.S. Constitution

Social Security Act

Child Abuse Prevention and Treatment Act (CAPTA)

State Law

State law is intended to ensure that state government and its agencies protect the federally mandated rights of people living in the state. The primary state laws governing DFPS operations that are specific to child welfare are in the Texas Family Code and the Texas Human Resources Code. The Texas Administrative Code establishes the rules that describe the day-to-day activities of DFPS programs.

Chapter 261 of the Texas Family Code directs DFPS to promptly and thoroughly investigate reports of child abuse or neglect committed by a person responsible for a child’s care, custody, or welfare. Chapter 42 of the Texas Human Resources Code describes the types of child care in Texas that are subject to regulation. Title 40 of the Texas Administrative Code describes the operating procedures of social services and assistance offered by various state agencies, with part 19 of this title directing the rules of DFPS.

See:

Texas Family Code, Chapter 261

Texas Human Resources Code, Chapter 42

Texas Administrative Code, Title 40, Part 19

1110 Federal Laws and Requirements

1111 The United States Constitution

CCI July 2022

The U.S. Constitution and the federal laws pertaining to child welfare establish minimum definitions, standards, and procedures that are reflected in state law and DFPS rules and procedures.

The following constitutional protections are of particular importance to DFPS:

The Fourth Amendment right to be free from unreasonable search and seizure.
The right to due process under the Fifth and Fourteenth Amendments.
The right to equal protection under the Fourteenth Amendment.

1112 The Social Security Act

CCI July 2022

Titles IV-A, IV-B, and IV-E of the Social Security Act provide federal funding to states for the purpose of child welfare services. The federal Administration for Children and Families approves state plans to support compliance with the Social Security Act.

As a recipient of this federal funding, DFPS works with Texas Health and Human Services and the Texas Workforce Commission to ensure children and families in Texas receive quality services to meet their needs. The financial support provided by the Social Security Act helps to develop and improve family services, day care services, and protective child placements.

1113 The Child Abuse Prevention and Treatment Act

CCI July 2022

The Child Abuse Prevention and Treatment Act (CAPTA) is federal legislation that provides funding to states to support and improve child protective services programs. The federal Administration for Children and Families dispenses CAPTA grants.

CAPTA requires states to use funds for the purpose of improving child protective services provided by the recipient state government and by non-profit community organizations. CAPTA requires improvements for the following:

Intake systems.
Personnel training standards.
Collaboration with community organizations.
Improvements in risk and safety assessment.
Maintaining confidentiality requirements.
Specific protective services such as the following:
- Prenatal care.
- Care for children born affected by substances.
- Involving parents in protective decisions.
- Supporting quality child placements.
- Supporting services including child day care.

1120 State Laws Supporting Child Care Investigations

CCI July 2022

As a DFPS program, Child Care Investigations (CCI) is bound by the Texas laws that govern DFPS procedures.

The Texas Human Resources Code and the Texas Family Code contain most of the laws governing DFPS responsibilities. The Texas Administrative Code (TAC) includes rules that further clarify how an agency conducts procedures required by law. DFPS writes its section of the TAC according to laws outlined in the Texas Government Code.

1121 Texas Human Resources Code

CCI July 2022

Chapter 40 of the Texas Human Resources Code (HRC) creates DFPS as a state agency and provides for DFPS’s powers, duties, and functions, including the duty to act on behalf of abused and neglected children.

HRC Section 40.002 describes the general responsibilities of DFPS, as well as directs DFPS to cooperate with and administer its programs according to federal requirements.

Chapter 42 of HRC does the following:

Describes the general requirements and standards for child care facilities and programs.
Provides the basic definitions for child care in Texas and describes the types of child care that are subject to specific state regulation.
Gives the Texas Health and Human Services Commission (HHSC) the power to do the following:
- Establish and monitor minimum standards for child care services.
- Issue permits and licenses to child care programs that meet this standard of care.
- Administer penalties or require corrective actions for child care programs that are subject to regulation.

Child care programs are required by chapter 42 to:

Report allegations of child abuse, neglect, or exploitation to DFPS Statewide Intake.
Cooperate with DFPS’s investigation of child abuse, neglect, or exploitation.

1122 Texas Family Code

CCI July 2022

The following chapters of the Texas Family Code govern DFPS’s responsibilities in investigating child abuse and neglect, reporting data, and managing the care of children in DFPS conservatorship.

Chapter 261 – Legal definitions of child abuse, neglect, and exploitation and authority to investigate.
Chapter 262 – DFPS authority and legal standards to take possession of a child who was abused or neglected and to become a managing conservator of a child who was abused or neglected.
Chapter 263 – Legal responsibilities of managing the temporary or permanent managing conservatorship of children in DFPS care.
Chapter 264 – Providing services to children in DFPS care, as well as requirements for trauma-informed training for DFPS caseworkers.

1123 Texas Administrative Code

CCI July 2022

The Texas Human Resources Code establishes DFPS’s rulemaking authority. DFPS publishes all proposed rules in the Texas Register for a 30-day review and comment period before they are adopted as DFPS rules. Once adopted, rules in the Texas Administrative Code (TAC) carry the force of law.

Texas Human Resources Code §40.027

Texas Government Code §2001.023

The rules published in Title 40, Chapter 707, Subchapter C of TAC implements DFPS’s statutory responsibilities in investigating child care operations that are subject to regulation under Chapter 42 of the Human Resources Code.

1124 State Laws and Rules Regulating Child Care

CCI July 2022

The Texas Health and Human Services Commission (HHSC) regulates Texas child care operations according to statutes in the Texas Human Resources Code (HRC) and HHSC’s rules in the Texas Administrative Code (TAC). These statutes and rules establish a minimum standard of care to reduce the risk of harm in child care operations.

Child Care Investigations (CCI) does not have the authority to enforce, monitor, or conduct inspections regarding compliance with these statutes or rules. However, during an investigation, if CCI observes or suspects actions or conditions that may violate this minimum standard of care, CCI reports the concern to HHSC. In addition to notifying HHSC, CCI ensures the operation corrects the deficiency if it poses a risk to the immediate safety of children.

Texas Human Resources Code

Chapter 42: Regulation of Certain Facilities, Homes, and Agencies That Provide Child-Care Services — Establishes standards for regulating child-care.

Chapter 43: Regulation of Child-Care and Child-Placing Agency Administrators — Establishes standards for regulating child care administrators and child placing agency administrators.

Texas Administrative Code

The following chapters in Title 26 of the Texas Administrative Code (TAC) are the HHSC rules for child care operations:

Licensing, Chapter 745

Minimum Standards for Shelter Care, Chapter 743

Minimum Standards for School-Age and Before- or After-School Programs, Chapter 744

Minimum Standards for Child-Care Centers, Chapter 746

Minimum Standards for Child-Care Homes, Chapter 747

Minimum Standards for General Residential Operations, Chapter 748

Minimum Standards for Child-Placing Agencies, Chapter 749

1130 CCI Ethics

CCI July 2022

All state employees are bound by the laws and rules established by the Texas Legislature in the Government Code and the Penal Code. The Texas Ethics Commission interprets these laws.

As government staff, CCI is expected to use its authority in a manner that earns the respect, trust, and confidence of the public and consumers when conducting investigations of abuse, neglect, and exploitation. Even the appearance of impropriety must be avoided.

Government Code §572.001

Government Code §572.051

Penal Code, Chapter 36 (Bribery and Corrupt Influence)

Penal Code, Chapter 39 (Abuse of Office)

In all facets of investigative responsibilities and activities, CCI staff must do the following:

Investigate allegations of abuse, neglect, and exploitation in a fair and equitable manner in accordance with state law and DFPS policy and procedures.
Inform people involved with an investigation of their rights and responsibilities throughout the investigative process.
Foster a mutual respect among child care operations, children and their families, and DFPS.
Provide child care operations with information and guidance on child safety practices.
Behave in a courteous and professional manner when conducting investigations.

CCI staff must also do all of the following:

Avoid improper, unfair, or self-serving conduct, including unwarranted discrimination or differential treatment, or the appearance of this conduct.
Behave in a manner that earns respect, trust, and confidence and reflects positively on their profession and DFPS.
Promptly disclose any personal or financial interest they have or have had that might appear to influence their actions.
Avoid using their positions to endorse a particular product, licensee, service provider, or group of providers, or giving the appearance of doing so.;
Avoid allowing political or religious affiliations to influence decisions made while working in the role of DFPS staff.
Follow the policies in the DFPS Human Resources Manual.

1140 Child Care Operations and Activities Subject to Regulation

CCI July 2022

The following types of child care operations and activities are subject to regulation under Chapter 42 of the Texas Human Resources Code (HRC):

Child day care — Operations that provide care to children younger than 14 years old for less than 24 hours at a time.
Residential child care — Operations that provide care to children younger than 18 years old for 24 hours a day.
Administrator licensing — People licensed as child care administrators, child placing agency administrators, or both.

DFPS Responsibilities

DFPS investigates allegations of abuse, neglect, or exploitation alleged to have been perpetrated in or by these operations or activities.

HHSC Responsibilities

The Texas Health and Human Services Commission (HHSC) does the following:

Monitors or enforces regulations for these operations and activities.
Licenses, lists, or registers these operations or activities.

Unlicensed or Unregulated Operations

Chapters 42 and 43 of the HRC define specific types of child care operations and activities, with further regulatory requirements established by HHSC. If a business provides child care in a manner within HRC definitions but without a listing, registration, or license provided by HHSC, the business is operating illegally unless it is eligible for an exemption under Section 42.041(b) of the HRC (see also 1150 Investigation Jurisdiction). Child care activities that are operating illegally but still subject to state regulation remain within the investigative jurisdiction of CCI.

Child care that is not subject to regulation by Chapter 42 of HRC is not within CCI’s investigative jurisdiction.

1141 Types of Child Day Care Operations

CCI July 2022

The following table describes the types of child day care that are subject to regulation under Chapter 42 of the Texas Human Resources Code (HRC). For additional requirements for these types of operations by the Child Care Regulation (CCR) division of the Texas Human Health Services Commission (HHSC), see also Title 26, Section 745.37(2) of the Texas Administrative Code.

HRC Operation Type	CCR Operation Type	Description
Family home §42.002(9)	Listed family home	The primary caregiver does all of the following: Provides regular care in the caregiver’s own home. Serves children whose ages range from birth through 13 years old. Provides care for at least four hours a day, three or more days a week, and more than three consecutive weeks. Serves no more than three children who are unrelated to the caregiver. Serves no more than 12 children total, including children who are related to the caregiver.
Family home §42.002(9)	Registered child care home	The primary caregiver does all of the following: Provides regular care in the caregiver’s own home. Provides care to no more than six children whose ages range from birth through 13 years old. Provides care during after-school hours to no more than six additional elementary school children. Serves no more than a total of 12 children at any given time, including children related to the caregiver.
Family home §42.002(9)	Licensed child care home	The primary caregiver does all of the following: Provides care at the caregiver’s own home. Provides care to children whose ages range from birth through 13 years old. Serves no more than a total of 12 children at any given time, including children related to the caregiver.
Day-care center §42.002(7)	Child care center	The operation does all of the following: Provides care at a location other than the home of the director, owner, or permit holder. Provides care to seven or more children whose ages range from birth through 13 years old. Provides care for less than 24 hours per day, but at least two hours per day, for three or more days per week.
Employer-based day-care facility §42.151(1)	Employer-based child care	An operation managed by a small employer that does all of the following: Provides care on the employer’s premises and in the same building where the parents work. Provides care to no more than a total of 12 children of employees. Provides care to children whose ages range from birth through 13 years old. Provides care for less than 24 hours per day.
Shelter day-care facility §42.201(3)	Shelter care	An operation that does all of the following: Provides care at a temporary shelter, such as a family violence or homeless shelter, while the resident parent is away from the shelter. Provides care for seven or more children whose ages range from birth through 13 years old. Provides care for at least four hours per day and three days per week.
Before-school or after-school program §42.002(20)	Before or after-school program	An operation that does all of the following: Provides care before or after, or before and after, the customary school day and during school holidays. Provides care for children who attend prekindergarten through grade six. Provides care for at least two hours per day and three days per week.
School-age program §42.002(21)	School-age program	An operation that does all of the following: Provides supervision, along with recreation, skills instruction, or skills training. Provides care before or after the customary school day, and may also provide care during school holidays, summer break, or any other time when school is not in session. Provides care for children who attend prekindergarten through grade six. Provides care for at least two hours per day and three days per week.

HRC Operation Type

CCR Operation Type

Description

Family home

§42.002(9)

Listed family home

The primary caregiver does all of the following:

Provides regular care in the caregiver’s own home.
Serves children whose ages range from birth through 13 years old.
Provides care for at least four hours a day, three or more days a week, and more than three consecutive weeks.
Serves no more than three children who are unrelated to the caregiver.
Serves no more than 12 children total, including children who are related to the caregiver.

Family home

§42.002(9)

Registered child care home

The primary caregiver does all of the following:

Provides regular care in the caregiver’s own home.
Provides care to no more than six children whose ages range from birth through 13 years old.
Provides care during after-school hours to no more than six additional elementary school children.
Serves no more than a total of 12 children at any given time, including children related to the caregiver.

Family home

§42.002(9)

Licensed child care home

The primary caregiver does all of the following:

Provides care at the caregiver’s own home.
Provides care to children whose ages range from birth through 13 years old.
Serves no more than a total of 12 children at any given time, including children related to the caregiver.

Day-care center

§42.002(7)

Child care center

The operation does all of the following:

Provides care at a location other than the home of the director, owner, or permit holder.
Provides care to seven or more children whose ages range from birth through 13 years old.
Provides care for less than 24 hours per day, but at least two hours per day, for three or more days per week.

Employer-based day-care facility

§42.151(1)

Employer-based child care

An operation managed by a small employer that does all of the following:

Provides care on the employer’s premises and in the same building where the parents work.
Provides care to no more than a total of 12 children of employees.
Provides care to children whose ages range from birth through 13 years old.
Provides care for less than 24 hours per day.

Shelter day-care facility

§42.201(3)

Shelter care

An operation that does all of the following:

Provides care at a temporary shelter, such as a family violence or homeless shelter, while the resident parent is away from the shelter.
Provides care for seven or more children whose ages range from birth through 13 years old.
Provides care for at least four hours per day and three days per week.

Before-school or after-school program

§42.002(20)

Before or after-school program

An operation that does all of the following:

Provides care before or after, or before and after, the customary school day and during school holidays.
Provides care for children who attend prekindergarten through grade six.
Provides care for at least two hours per day and three days per week.

School-age program

§42.002(21)

School-age program

An operation that does all of the following:

Provides supervision, along with recreation, skills instruction, or skills training.
Provides care before or after the customary school day, and may also provide care during school holidays, summer break, or any other time when school is not in session.
Provides care for children who attend prekindergarten through grade six.
Provides care for at least two hours per day and three days per week.

1142 Types of Residential Child Care

CCI July 2022

The following table describes the types of residential child care that are subject to regulation under Chapter 42 of the Texas Human Resources Code (HRC). For additional requirements for these types of operations by the Child Care Regulation (CCR) division of the Texas Human Health Services Commission (HHSC), see Title 26, Section 745.37(3) of the Texas Administrative Code.

HRC Operation Type	CCR Operation Type	Description
General residential operation §42.002(4)	General residential operation	An operation that provides child care for seven or more children for 24 hours per day. The care may include treatment and other programmatic services. Residential treatment centers and emergency shelters are a type of general residential operation.
Child-placing agency §42.002(12)	Child-placing agency (CPA)	An agency, organization, or person (other than a child’s parent) that places or plans for the placement of the child in an adoptive home or other residential care setting.
Agency foster home §42.002(11)	CPA foster family home	A home that is all of the following: Regulated by a child-placing agency. The primary residence of the foster parents. Verified to provide care for six or fewer children up to 18 years old.

HRC Operation Type

CCR Operation Type

Description

General residential operation

§42.002(4)

General residential operation

An operation that provides child care for seven or more children for 24 hours per day.

The care may include treatment and other programmatic services. Residential treatment centers and emergency shelters are a type of general residential operation.

Child-placing agency

§42.002(12)

Child-placing agency (CPA)

An agency, organization, or person (other than a child’s parent) that places or plans for the placement of the child in an adoptive home or other residential care setting.

Agency foster home

§42.002(11)

CPA foster family home

A home that is all of the following:

Regulated by a child-placing agency.
The primary residence of the foster parents.
Verified to provide care for six or fewer children up to 18 years old.

1143 Types of Licensed Administrators

CCI July 2022

The following table describes the types of child care administration licenses that are subject to regulation under Chapter 43 of the Texas Human Resources Code (HRC). For additional requirements for these types of operations by the Child Care Regulation (CCR) division of the Texas Human Health Services Commission (HHSC), see:

HRC License Types	CCR Administrator Licenses	Description
Child-care administrator §43.001(2)	Child-Care Administrator	A person who meets the following criteria: Supervises and exercises direct administrative control over a child care institution. Is responsible for the child care institution’s programs and personnel, regardless of whether the person has an ownership interest in the operation or shares duties with anyone.
Child-placing agency administrator §43.001(4)	Child-Placing Agency Administrator	A person who meets the following criteria: Supervises and exercises direct control over a child-placing agency. Is responsible for the child-placing agency’s programs and personnel, regardless of whether the person has an ownership interest in the agency or shares duties with anyone.

HRC License Types

CCR Administrator Licenses

Description

Child-care administrator

§43.001(2)

Child-Care Administrator

A person who meets the following criteria:

Supervises and exercises direct administrative control over a child care institution.
Is responsible for the child care institution’s programs and personnel, regardless of whether the person has an ownership interest in the operation or shares duties with anyone.

Child-placing agency administrator

§43.001(4)

Child-Placing Agency Administrator

A person who meets the following criteria:

Supervises and exercises direct control over a child-placing agency.
Is responsible for the child-placing agency’s programs and personnel, regardless of whether the person has an ownership interest in the agency or shares duties with anyone.

1150 Investigation Jurisdiction

CCI July 2022

As directed by the Texas Family Code, Child Care Investigations (CCI) focuses on allegations that abuse, neglect, or exploitation have been perpetrated by people responsible for a child’s care, custody, or welfare at a licensed or unlicensed child care facility that is subject to state regulation. Chapter 42 of the Texas Human Resources Code defines facilities subject to state regulation.

Types of Child Care Outside of CCI Jurisdiction

Certain types of child care are exempt from regulation and thus fall outside of CCI’s jurisdiction.

Texas Human Resources Code §42.041(b)

The types of child care that are outside of CCI’s jurisdiction include those in following table.

Type of Care	Description
Facilities licensed, operated, certified, accredited, or registered by another state or federal agency	This includes facilities operated on federal installations or managed by other Texas agencies. Examples of this type of care include: Facilities on military bases. Correctional facilities operated by the Texas Juvenile Justice Department or another agency or political subdivision. Treatment facilities or other structured health programs managed by Texas Health and Human Services.
Facilities offering short-term care with parents present on the premises	Facilities or programs that operate in association with shopping centers, businesses, or other organizations that only provide care to children whose parents are participating in elective activities nearby. Children are in care of these facilities for no more than four and one-half hours per day and less than 15 hours per week. Examples of this type of care include: Supervised child care in gyms. Supervised child play areas in malls or shopping centers. Supervised babysitting or instruction during religious services.
Facilities or programs primarily operated for educational purposes	Educational institutions, and instructional programs managed by those institutions, that are accredited by the Texas Education Agency (TEA), Southern Association of Colleges and Schools, or the Texas Private School Accreditation Commission. Some of these facilities or programs may provide custodial care to children for no more than two hours per day. Examples of this type of care include: Schools. Private schools. Before- or after-school care operated by a school.
Skill-based instruction programs	Programs that provide instruction in a single skill or expertise, and do not provide services that are not related to the instruction. Examples of this type of care include: Martial arts centers. Athletic camp programs. Computer classes.
Recreation programs	Programs for children five to 13 years old, operated by a municipality or organized by a non-profit organization that adopts and enforces its own standards of care. Examples of this type of care include: Youth sports leagues. Summer activity programs. Aquatic activity centers.
Certain living arrangements in a caretaker’s home with children unrelated to the caretaker	The primary caregiver meets the following criteria: Has a written authorization from the parent or conservator of each child or sibling group being cared for. Does not receive compensation or solicit donations for caring for any child or sibling group. Examples of this type of care include foreign exchange or sponsorship programs.
Unverified kinship homes	Home-based, 24-hour care in which a child is placed with relatives or family friends, and CPS provides supervision and ongoing case management. These homes are “unverified” because they are not monitored or licensed by a child placing agency.

1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation

CCI July 2022

If the investigator is conducting an investigation and becomes aware of additional allegations that are unrelated to the current investigation, the investigator must immediately report the additional allegations to the appropriate agency.

The investigator is required to report the concerns regardless of whether the allegations fall within CCI jurisdiction.

Texas Family Code §261.103

The following table shows which investigating agency has jurisdiction, depending on whether the child is in care of an operation and the relationship of the alleged perpetrator to the child.

If an allegation falls under the jurisdiction of a DFPS program, including CCI, the investigator reports it to Statewide Intake.

If the child:	And the alleged perpetrator is:	Then the investigating agency is:
Is in the care of an operation subject to regulation …	A person working at or for an operation …	CCI
Is in the care of an operation subject to regulation …	A person working at or for an operation and is also related to the child …	CCI, if allegations are regarding care by the operation. CPI, if allegations are regarding care at home.
Is in the care of a verified foster home …	A person living at the verified foster home …	CCI
Is in the care of an unverified foster home …	A person who is related to the child, or fictive kin to the child, who has been authorized by CPS only to provide care for the child and is not a licensed caregiver …	CPI
Is in the care of a listed family home day care at the child’s own home …	A person who is related to the child and resides in the listed family home or the child’s own home …	CPI
Is not in the care of an operation …	A person who does not have a family relationship with the child but lives in the same household as the child …	CPI
Is, or is not, in the care of an operation …	A caregiver with either a biological or adoptive relationship to the child, according to Human Resources Code 42.002(16) …	CPI
Is, or is not, in the care of an operation …	A person employed by a school, including a school located on the same campus as a regulated operation …	CPI
Is, or is not, in the care of an operation …	A person who does not work at or for an operation, does not live in the same household as the child, and does not have a family relationship with the child …	Law enforcement
Is, or is not, in the care of an operation …	A person employed by a hospital or nursing home, including an acute unit located on the same campus as a regulated operation …	HHS Long-term Care Licensing
Is, or is not, in the care of an operation …	A person employed at a home or operation regulated by another state agency …	The state agency that regulates the operation

The investigating agency may conduct a joint investigation concurrently with CCI’s ongoing investigation.

1152 Determining Whether an Operation Is Subject to Regulation

CCI July 2022

If a report of abuse, neglect, or exploitation is received regarding a child care operation that is alleged to be operating without a license or other permit, the investigator first determines whether the operation is subject to regulation.

The investigator may do the following to determine whether an operation is subject to regulation:

Review the Child Care Regulation Handbook.
Consult with the local Child Care Regulation office.

Child Care Regulation uses the term unregulated operation to refer to an operation that is subject to regulation but is illegally operating without a license or permit.

In the Child Care Regulation Handbook, see 1140 Operations and Activities Regulated by Licensing.

1153 Obtaining Consent to Enter an Unregulated Operation

CCI September 2022

CCI staff must receive consent to enter from a person legally authorized to grant it before entering an establishment to investigate allegations of abuse, neglect, or exploitation in a child care operation that is subject to regulation but is illegally operating without a license or permit. The investigator must obtain written consent to enter the operation using Form 2895 Request to Enter.

If the provider refuses to allow the investigator to enter, the investigator continues with other investigation activities to gain as much information as possible to determine whether there may be any immediate risk to the alleged victim or victims.

1154 Actions When Entry to an Unregulated Operation Is Refused

CCI September 2022

During an investigation, if the CCI investigator is refused access to a child care operation that is illegally operating without a permit or license, the investigator conducts as much of the investigation as possible, while consulting with additional CCI, DFPS, or HHSC staff.

Investigation activities that can be done without being able to enter the operation may include any of the following:

Interviewing the alleged victim or victims at another location.
Observing the outside environment of the establishment.
Conducting surveillance of the establishment.
Talking to parents who may be dropping off or picking up children.
Interviewing neighbors.
Interviewing other collateral contacts who may have information, including law enforcement.

Additionally, the investigator assesses the immediate safety of the children in care. This may involve any or all of the following:

Considering the information in the intake report.
Attempting to contact the reporter for further information.
Contacting local law enforcement for assistance, if there is concern of immediate danger. Contacting law enforcement may include, for example, requesting a welfare check, requesting any history of law enforcement visits to the child care operation’s address, or reporting concerns of criminal behavior.
Contacting the local office of Texas Health and Human Services (HHS) Child Care Regulation (CCR) to report that the child care operation is operating without a permit or license and that children continue to be present.
Consulting with DFPS legal services to determine whether DFPS should request assistance from the Office of the Attorney General of Texas to seek a court order for interviewing a child or gaining access to the operation.

See 4540 Handling Immediate Danger to Children.

1200 Program Organization

CCI July 2022

Child Care Investigations (CCI) is a division of DFPS Child Protective Investigations. The deputy associate commissioner of Child Protective Investigations manages CCI, the Special Investigations division, and the Investigations division.

1210 CCI State Office

CCI July 2022

Child Care Investigations (CCI) state office staff develop policy and manage the day care and residential care investigative programs on a statewide level.

State office staff include the CCI director, deputy director, division administrator of field, division administrator of the Complex Investigations Division, and program specialists.

1220 Complex Investigations Division

CCI July 2022

The focus of the Complex Investigations Division (CID) is to assist Child Care Investigations field staff before, during, and after investigations.

Under the direction of the Complex Investigations Division administrator, CID’s goal is to improve the quality of investigations and strengthen the findings of investigations by doing the following:

Offering consultations.
Reviewing documentation.
Providing a secondary level of approval for certain investigations.

1230 Field Program Administrators

CCI July 2022

Under the direction of the division administrator of field, the program administrators supervise field operations across the state.

Program administrator workloads are divided according to the number of staff they supervise. There are three program administrators managing investigations in residential care operations and one program administrator overseeing investigations in day care operations.

1240 The Role of the Supervisor

CCI July 2022

A CCI supervisor oversees an investigator’s activities related to conducting investigations of abuse, neglect, or exploitation, including approving all dispositions and notifications before closing the investigation.

In general, supervisors are responsible for all of the following:

Coordinating the assignment of intakes to investigative staff, which includes ensuring on-call responsibilities are met and investigators are working appropriately balanced workloads.
Coordinating with CCI leadership, other DFPS divisions, or government agencies when an investigation may require additional review or joint investigations.
Monitoring the progress of investigations through staffing and reviewing documentation to ensure they are conducted ethically and according to policy.
Assessing and reviewing facts of the alleged abuse, neglect, or exploitation found by the investigator to help the investigator manage ongoing child safety and determine the appropriate disposition for the investigation.

1241 Supervisor Experience and Training

CCI July 2022

CCI supervisors receive training in managing and supervising staff, as well as continuing education in all of the following topics on an annual basis:

Abuse, neglect, and exploitation as defined in Section 261.001 of the Texas Family Code (TFC), including the difference between physical injuries resulting from abuse and ordinary childhood injuries.
Abuse involving mental or emotional injury as defined in Section 261.001(1) of the TFC.
The types of abuse, neglect, and exploitation reported to DFPS.
Forensic interviewing, collection of physical evidence, and advanced training in investigative protocols and techniques.
Federal child welfare laws.

DFPS Rules, 40 TAC §707.713

Texas Family Code §261.310

1250 The Role of the Investigator

CCI July 2022

CCI investigators are responsible for both of the following:

Obtaining information to make a fair, accurate, and impartial decision regarding allegations of child abuse, neglect, or exploitation.
Reducing the risk of abuse, neglect, and exploitation to children in care.

DFPS Rules, 40 TAC §707.711

1251 Worker Safety

CCI July 2022

All staff are expected to take appropriate safety precautions while conducting DFPS business, including work-related travel. CCI staff make use of DFPS Worker Safety Support tools as appropriate, including Safe Signal.

Staff are not required to remain in an unsafe environment for any reason. Investigative actions can continue at another time or location. If staff feel they are in a dangerous situation, staff leave immediately and take the following steps:

Ensure their own safety.
Contact law enforcement, if necessary.
Contact their CCI supervisor and DFPS Worker Safety Support.

Staff consider their own safety before, during, and after visits to child care operations and their interactions with others. In addition to precautions described in DFPS Personal Safety policy (available on the DFPS intranet only), safety precautions may include any of the following:

Reviewing the compliance history of the operation to assess its previous response to intervention from the agency.
Reviewing an alleged perpetrator’s background check and IMPACT history to identify any history of violent behavior.
Reviewing an alleged victim’s IMPACT history to identify any special needs that may result in the child being especially vulnerable, or a child having a history of aggressive behaviors.
Notifying the CCI supervisor of travel to and expected return time from an operation.
Having a coworker or supervisor accompany staff to a child care operation or other location when there is concern physical aggression may be possible.

1252 Investigator Training Curriculum

CCI July 2022

Before conducting investigations, CCI staff receive extensive training about the following:

The types of regulated child care settings.
The review, discussion, and application of business practices of child abuse and neglect investigations.

Additionally, investigators receive at least 12 hours of professional training in all of the following topics each year:

Abuse, neglect, and exploitation as defined in Section 261.001 of the Texas Family Code (TFC), including the difference between physical injuries resulting from abuse and ordinary childhood injuries.
Abuse involving mental or emotional injury as defined in Section 261.001(1) of the TFC.
The types of abuse, neglect, and exploitation reported to DFPS.
Forensic interviewing, collection of physical evidence, and advanced training in investigative protocols and techniques.
Federal child welfare laws.

DFPS Rules, 40 TAC §707.713

Texas Family Code §261.310

1253 Guidelines for Average Caseloads

CCI July 2022

In order for investigative staff to safely perform their responsibilities across multiple investigations, investigators should not be assigned as the primary worker on more than 17 investigations at one time.

Texas Government Code §531.048

If the number of intakes received causes an investigative unit to exceed an average of 17 investigations per investigator, the unit supervisor works with the program administrator and other supervisors in the program area for coverage assistance. Similarly, a program administrator works with the division administrator of field and the other program administrators if all units in a program area are at risk of exceeding an average of 17 investigations per investigator.

If caseload averages for all CCI investigators across the state exceed 17 investigations per investigator, the CCI director may seek assistance from other divisions for coverage or determine alternative solutions with the deputy associate commissioner of CPI.

Graduated Caseloads

Newly hired investigative staff are assigned investigations on a gradual pace after completing basic skills development training and being confirmed as case assignable by his or her supervisor.

During the first month of becoming case assignable, newly hired investigators are assigned no more than six investigations. If caseloads allow, supervisors assign no more than three investigations in the first month of being case assignable.
During the second month of becoming case assignable, newly hired investigators are assigned no more than 12 investigations. If caseloads allow, supervisors assign no more than nine investigations in the second month of being case assignable.
The newly hired investigator is expected to be capable of managing a full caseload by the third month following completion of basic skills training.

Graduated Caseload Exceptions

Supervisors may determine that a newly hired investigator can receive more assignments than the graduated caseload guidelines—not to exceed the average number of investigations that the other investigators in the unit have at that time—if any of the following criteria apply:

The new hire has at least one year of investigative experience with a DFPS division within the three years before the person’s hire date.
The supervisor determines the new hire has appropriate time and case management skills for his or her existing assignments and needs an additional assignment to further develop his or her skills as an investigator.

When a supervisor makes this determination for newly hired staff, the supervisor must notify the program administrator by email and include the name of the newly hired investigator and the justification for the caseload exception.

1300 Working with Other Agencies, Departments, or Programs

CCI September 2022

CCI investigators coordinate with other programs within DFPS, local law enforcement agencies, and other state agencies to support the safety of children in out-of-home care.

Any information gathered from or about a specific investigation may only be shared with people and agencies that are allowed to obtain this confidential information. See 2320 Confidential Information Not for Release to the Public.

42 United States Code §5106a

40 Texas Administrative Code §707.765

Texas Family Code §261.301(f) and (h)

Texas Family Code §261.3011

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

1310 Other DFPS Programs

CCI September 2022

The CCI investigator works together with investigators or caseworkers from other DFPS programs or divisions when there are allegations that relate to services or responsibilities of more than one division. The CCI investigator initiates or participates in cross-division case consultations with the other DFPS programs to discuss the concerns of all programs involved.

If the CCI investigator becomes aware of allegations that are outside CCI’s jurisdiction, the investigator notifies SWI or the appropriate agency. See 1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation.

1311 CPI Special Investigators

CCI April 2022

A CCI investigator requests assistance from the Special Investigations (SI) Division before initiation of an investigation if the investigation meets one or more of the following criteria:

A child is an alleged victim of physical abuse and has received serious injuries.
A child is an alleged victim of sexual abuse, and a facility staff member or foster parent is the alleged perpetrator.
A child dies, and the death is believed to be caused by abuse or neglect. See 1311.3 Special Investigations Assistance When Investigating Death or Near-Fatal Injuries.
A child receives a near-fatal injury, meaning that the child likely would have died as a result of the injury if the child had not gotten medical attention. See 1311.3 Special Investigations Assistance When Investigating Death or Near-Fatal Injuries.
A child is alleged or suspected to be a victim of sex or labor trafficking. See 3131 Informing Special Investigations of Child Sex or Labor Trafficking.

A CCI investigator may request assistance or guidance from the Special Investigations Division when it may be beneficial, even if the investigation does not meet the above criteria.

1311.1 Assigning a CPI Special Investigator

CCI April 2022

Before a special investigator assists on an investigation, the CCI investigator, CCI supervisor, special investigator, and Special Investigations program director determine the specific tasks the CCI investigator and special investigator will complete. The supervisor documents who is responsible for which tasks during each required consultation throughout the investigation (see 4120 Supervisor Consultations During an Investigation).

The CCI investigator or supervisor assigns the special investigator as secondary on the investigation in IMPACT.

The CCI supervisor and Special Investigations program director determine when a special investigator is no longer needed on an investigation.

The CCI supervisor and Special Investigations program director determine when to unassign the special investigator from the investigation in IMPACT.

1311.2 Special Investigations Assistance When Investigating Trafficking Allegations

CCI April 2022

When a special investigator is conducting a joint investigation because of allegations or suspicions of sex or labor trafficking, the special investigator notifies law enforcement within 24 hours after CCI becomes aware of, or begins to suspect, trafficking.

See 3131 Informing Special Investigations of Child Sex or Labor Trafficking.

1311.3 Special Investigations Assistance When Investigating Death or Near-Fatal Incidents

CCI January 2024

The CCI investigator requests assistance from the Special Investigations division when either of the following applies:

A child’s death is believed to be caused by abuse, neglect, or exploitation.
A near-fatal injury or incident occurred.

In some cases, a child’s death may be the medical professional’s expected outcome based on the child’s known, ongoing medical issues. In these cases, assistance from a special investigator is not required, but the CCI supervisor consults with the region’s Special Investigations program director to determine whether CCI should request assistance from Special Investigations.

During the investigation, special investigators may assist in coordinating with law enforcement and notifying appropriate people and entities outside DFPS.

See 5300 Investigations of Fatalities and Near-Fatal Incidents.

1312 Heightened Monitoring (Residential Child Care Only)

CCI September 2023

When CCI receives an intake about a residential child care operation, the residential child care investigator determines if the operation is on Heightened Monitoring (HM). If the operation is currently on HM, the investigator must do one of the following to determine if any tasks in the HM plan are related to the allegations in the intake report:

Review the HM plan in CLASS.
Contact the Residential Child Care Investigations (RCCI) HM program specialist.

The investigator must document the following:

How the HM plan may or may not be relevant to the allegations.
Any contacts with the RCCI HM program specialist or the HM team.

The RCCI HM program specialist reviews CLASS and IMPACT to determine if new investigations have been received for his or her assigned operations.

1313 DFPS Residential Contracts (Residential Child Care Only)

CCI September 2022

The investigator notifies the Residential Contracts division of DFPS Purchased Client Services when the investigator suspects or observes either of the following by a residential child care operation that accepts placement of children in DFPS conservatorship:

The operation may have violated contractual requirements.
The operation poses a high risk to children in its care.

The investigator emails the DFPS Residential Contracts Investigation Notices mailbox on the same day he or she observes or suspects the concerns listed above. Exception: For concerns meeting the criteria in 1313.1 Twenty-Four-Hour Awake Night Supervision (Residential Child Care Only), see the requirements in that section.

If the concern is also a possible minimum standards violation, the investigator notifies the Child Care Regulation representative assigned to the operation. See 1330 HHSC Child Care Regulation.

1313.1 Twenty-Four-Hour Awake Night Supervision (Residential Child Care Only)

CCI July 2022

All licensed foster care placements housing more than six children (including all foster, biological, and adoptive children) must provide 24-hour awake night supervision when at least one of those children is in DFPS conservatorship. This includes both foster homes and general residential operations.

The investigator and supervisor identify whether the operation involved in the investigation is required to have 24-hour awake night supervision during the investigation assignment conference. The supervisor documents this as part of the conference contact. See 4121 Investigation Assignment Conference.

When an operation is identified as being required to have 24-hour awake night supervision, the investigator asks about nighttime supervision during interviews with children in care. The investigator documents this as part of the interview contact.

If there are concerns that caregivers are failing to remain awake to provide 24-hour awake night supervision, CCI staff complete all of the following:

Notifies the Residential Contracts Night Unit within two hours of the concern being identified. The investigator does this by emailing the DFPS 24 Hour Monitoring mailbox with a brief summary of the concern and the IMPACT case number for the investigation during which the concern was identified. The investigator copies his or her supervisor on the email.
Makes a report to Statewide Intake within 24 hours if the lack of supervision is unrelated to the allegations under investigation.
Notifies the Child Care Licensing representative assigned to the operation about the concern within one business day.

The investigator documents any contacts made due to identified concerns as a contact in the investigation record.

1313.2 Notifying the Contract Manager of Investigation Findings

CCI April 2021

When an investigation involving an operation that accepts placement of children in DFPS conservatorship is completed, the investigator notifies the Residential Contracts division of the investigation findings.

The investigator includes the Residential Contracts Investigation Summary mailbox on the email when notifying Child Care Licensing of the investigation findings (see 2136 Notification to Child Care Licensing).

1314 Caseworkers for Children in DFPS Care

CCI May 2022

The investigator includes the child’s primary CPS caseworker and the primary caseworker’s supervisor in investigation staffings (see 4120 Supervisor Consultations During an Investigation) when a child with the role of alleged victim is identified as being in DFPS care. This includes a child for whom DFPS has temporary managing conservatorship or permanent managing conservatorship.

The investigator invites the child’s primary caseworker and the primary caseworker’s supervisor to attend the following investigation staffings after becoming aware that the child is in DFPS care:

Interim staffing (see 4122 Interim Staffing With Supervisor)
Dispositional staffing (see 4123 Dispositional Staffing and Determining the Findings)
Any subsequent staffings, if the investigation has an approved extension

The supervisor documents the following in the same contact:

A summary of the staffing.
The participation of the child’s primary caseworker and the primary caseworker’s supervisor in the staffing.

Special Circumstances

The investigator contacts the child’s primary caseworker and the primary caseworker’s supervisor as soon as possible in any of the following situations:

The investigator becomes aware of the alleged victim’s death or near fatal injuries.
The investigator has immediate safety concerns, including any suspicion the alleged victim is being trafficked. If these concerns are present in the intake narrative, the child’s primary caseworker and the primary caseworker’s supervisor are invited to participate in the investigation assignment conference so they can assist with case planning (see 4121 Investigation Assignment Conference).

If the child’s primary caseworker or the primary caseworker’s supervisor does not attend a staffing, the CCI supervisor does the following:

Emails a summary of the information discussed in the staffing to the primary caseworker and the primary caseworker’s supervisor on the same day the staffing occurred.
Documents the emailed summary as a contact in the investigation record.

See:

2112 Notifications of Investigations Involving a Child in DFPS Conservatorship

2120 Notifying Parents, Guardians, or Managing Conservators of Interview With Child

2132 Special Notifications for Investigations Involving Children in DFPS Conservatorship

3130 Allegations of Child Trafficking (Sex and Labor Trafficking)

3141 Documenting Child Sexual Aggression Determinations for a Child in DFPS Conservatorship

4540 Handling Immediate Danger to Children

5300 Investigations of Fatalities and Near-Fatal Incidents

1320 Law Enforcement

CCI November 2020

The CCI investigator requests a joint investigation with law enforcement when both of the following apply:

There are allegations that a child has been or may become the victim of conduct that constitutes a criminal offense.
The offense poses an immediate risk of physical or sexual abuse of a child that could result in the death of, or serious physical or emotional harm to, the child.

Texas Family Code §261.301(f)-(g)

1321 Notifying Law Enforcement

CCI November 2020

If the investigator is aware of allegations of serious physical or sexual abuse of a child before the initiation of an investigation, the investigator must contact law enforcement immediately after receiving the intake report and before initiation. The investigator must make sure that CCI makes diligent efforts to involve law enforcement in the investigation.

If the investigator learns of allegations of serious physical or sexual abuse of a child after the investigation is already initiated, the investigator informs law enforcement immediately.

Reporting Criminal Activity That Does Not Require a Joint Investigation

If the investigator learns of any allegations of criminal activity at any point during the investigation, but the allegations do not meet the criteria for conducting a joint investigation with law enforcement, the investigator must report the alleged criminal activity to law enforcement immediately upon learning of the allegations.

Texas Family Code §261.105

Texas Family Code §261.402(b)

1322 Conducting a Joint Investigation with Law Enforcement

CCI September 2022

During any criminal investigation, the CCI investigator cooperates with law enforcement, which may include, for example, the following:

The county or district attorney.
Law enforcement officers (police, sheriff and deputies, and so forth).
The Health and Human Services Commission Office of the Inspector General.

The CCI investigator’s responsibility continues to be assessing child safety and gathering information to determine whether abuse, neglect, or exploitation occurred. Cooperating with law enforcement may involve actions such as sharing information or delaying an interview to avoid interfering with a criminal investigation.

When Law Enforcement Chooses Not to Conduct a Joint Investigation

If the investigation meets the criteria for a joint investigation, but law enforcement chooses not to investigate, the CCI investigator does all of the following:

Consults with the supervisor.
Documents the efforts made to involve law enforcement.
Initiates and conducts the CCI investigation with supervisory approval.

1323 Documenting Contact with Law Enforcement

CCI September 2022

The investigator documents contact with law enforcement using the appropriate Purpose label in IMPACT.

The first law enforcement contact in each CCI investigation must include all of the following:

A summary of law enforcement’s involvement in the investigation.
The investigating officer’s name and title.
Contact information for the investigating officer.

1330 HHSC Child Care Regulation

CCI September 2022

CCI works in partnership with the Child Care Regulation (CCR) division of the Health and Human Services Commission (HHSC) during investigations because CCR regulates the licensing and permitting of child care operations. CCI communicates to CCR information obtained during investigations about possible licensing minimum standards violations and other pertinent information.

During investigations, the CCI investigator does the following:

Determine whether a child care operation is regulated by CCR, is subject to regulation by CCR, or is exempt from regulation by CCR.
Make sure that any obvious high-risk concerns or conditions that pose a risk to the immediate safety of children are corrected during any visits to the operation.
Make sure people involved in the investigation who are working under the auspices of the operation have an active background check in CLASS with an eligibility status of Eligible, Provisional, or Conditional.

The CCI investigator or supervisor notifies the operation’s CCR representative within one business day when either of the following occurs:

The investigator observes or suspects behaviors or conditions that may be possible violations of licensing minimum standards.
CCI makes a disposition for an investigation. (See 2136 Notification to Child Care Licensing.)

During an investigation of abuse, neglect, or exploitation, the CCI investigator or supervisor completes a risk assessment with the CCR representative within 10 days after the date DFPS received the intake report. (See 4250 Risk Assessment of Regulatory History.)

Based on CCI’s observations and actions during the investigation, CCR determines whether the operation may be cited for a licensing minimum standards violation, if applicable.

1340 Family Advocates and Other Advocacy Organizations

CCI September 2022

Family advocacy groups are organizations whose mission is to promote the rights of parents by doing the following:

Supporting parents and caregivers.
Educating the community and legislators about working with the child welfare system.

This policy (this section and its subitems) only applies to advocacy groups that meet both of the following criteria:

There is not a law authorizing them to be present at court hearings or case-related meetings or to receive or obtain information from DFPS.
DFPS does not have a memorandum of understanding (MOU) with them about the release of information.

This policy does not apply to the following:

Court Appointed Special Advocates (CASA).
Disability Rights Texas (DRTx).
Children’s advocacy centers (CAC).
Human trafficking and child exploitation (HTCE) advocate agencies.
Advocates for victims of family violence.

Contact the DFPS CCL Investigations mailbox for information about CCI MOUs.

The CCI investigator does not release or share information except as required by federal or state law.

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

40 Texas Administrative Code §§707.761-707.769

1341 Case Records

CCI October 2021

DFPS cannot release case records to any person not authorized by relevant law to obtain those records.

If a person involved in an investigation, such as an alleged perpetrator, signs a release of information for an advocate, this does not allow DFPS to release documents to the advocate.

Staff members direct all requests for records to the DFPS Records Management Group (RMG). See the Records Management Group Handbook, 3000 Disclosure of DFPS Records.

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

40 Texas Administrative Code §§707.761-707.769

1342 Communication

CCI October 2021

The caseworker communicates about an investigation with either of the following:

The appropriate people involved in the investigation.
Their attorneys, if they have attorneys.

Verbal Communication

If an advocate is present (either in person or by phone) during communication with a person involved in the investigation, the caseworker gets verbal consent from the person involved in the investigation before discussing the case in the presence of the advocate. The caseworker documents the consent or denial of consent in IMPACT.

If the person involved in the investigation has previously provided written consent, the caseworker does not need to get additional verbal consent.

Written Communication

If an advocate or advocacy organization initiates communication on behalf of a person involved in the investigation, a DFPS staff member responds directly to the person involved in the investigation and that person’s attorney, if the involved person has one. The advocate or advocacy organization is not included in the response.

When communicating by email or text message, DFPS staff members make sure only people legally entitled to receive information are included in the communication.

1343 Participation in Meetings

CCI May 2022

Meetings that DFPS Facilitates

An advocate may attend meetings related to the case as a support to a person involved in the investigation. However, the advocate may not be present if the person whom the advocate is supporting is not entitled to the confidential information being discussed.

Court Proceedings, Settlement Conferences, and Court-Ordered Mediation

Only the following people can actively participate in court proceedings, settlement conferences, and court-ordered mediation:

Parties to the case.
Attorneys representing parties.
Court appointed special advocates.

However, family advocates may attend hearings (as allowed by the court) and participate as witnesses if a party calls them to do so. They may also be available as a support to a party who participates in mediation or settlement.

1344 Participation in Interviews

CCI October 2021

A person involved in the investigation may request an advocate’s presence while CCI is interviewing the involved person. For general policy on CCI interviews, see 4300 Conducting the Investigation.

However, the caseworker interviews each alleged victim in private, without the presence of an advocate, to preserve the integrity of the interview.

If the advocate delays or obstructs the caseworker’s ability to conduct an investigation, including by interfering with or obstructing interviews, the caseworker consults with the attorney representing DFPS to seek an order in aid of investigation.

Texas Human Resources Code §42.04412

Texas Family Code §261.303

1400 Technology Supporting Investigations

1410 Use of State-Issued Equipment

CCI September 2022

Only authorized staff may use state-issued equipment, such as tablets, iPhones, and printers. State-issued equipment may be used only for DFPS business purposes. Using state-issued equipment for personal reasons beyond minor use is prohibited. Purchasing subscriptions or downloading unauthorized data with state-issued equipment is prohibited.

When taking photos or video for DFPS business purposes, CCI staff must use the equipment issued to them by DFPS. CCI staff may not use other devices, such as personal cell phone cameras, digital cameras, or disposable cameras, for these photos or videos.

Before using the state-issued equipment for documentation, CCI staff must do the following:

Be instructed in how to use the equipment.
Become familiar with the equipment to learn its advantages and limitations.

CCI staff must ensure the security of the equipment, both in the office and in the field, as described in the DFPS Asset Management Handbook.

1420 Using Photos, Audio, Video, and Scanned Information as Investigative Tools

CCI September 2022

The CCI investigator must always notify the operation before taking photos, audio, or video in the operation, or scanning copies of the operation’s records, except when a supervisor has determined that taking photos or video as part of surveillance is necessary.

The primary use of photos, audio, video, and scanned information is to document conditions that exist at the time of the investigation.

Digital photos may be useful in various circumstances, including, but not limited to:

When a written description alone cannot provide a clear picture of what was observed.
Providing visual documentation for concerns of a possible violation of licensing minimum standards.
Supporting or refuting an allegation of abuse, neglect, or exploitation during an investigation.

Video may be useful in various circumstances, including, but not limited to:

Capturing a 360-degree view of a room or other environment.
Walking the path a child took to demonstrate distance and hazards.
Documenting moving hazards, such as normal traffic conditions.

The investigator may use an authorized application on the state-issued iPhone to scan documents, such as the operation’s records. Scanning records may be useful in various circumstances, including, but not limited to:

Capturing evidence as part of an investigation (such as relevant incident reports, training records, service plans, and so on).
Capturing evidence of falsification of records.

1421 Using Audio Recordings as an Investigative Tool

CCI September 2022

The primary use of audio recording is to record an accurate account of what was discussed during a visit or interview. Recordings during an investigation must be accurate, unaltered, and without interruption.

Texas Family Code §261.302(e)

Texas Family Code §261.3027

DFPS Rules, 40 TAC §707.713(3)

CCI staff notify the operation or interviewee when a visit or interview is being recorded.

1422 Photos and Video of Children

CCI September 2022

During an investigation, the investigator attempts to take photos of a child’s appearance, injuries, lack of injury, and any other relevant evidence.

The investigator makes an audio or video recording of any interview with a child who is an alleged victim, as appropriate for the child’s age and development.

The investigator is not required to make an audio or video recording if either of the following occurs:

The child is unwilling to have the interview recorded. (See Notification of a Photo or Recording, below in this section.)
The recording equipment unexpectedly malfunctions.

If the investigator is unable to take photos or make an audio or video recording, the investigator documents the reason in the investigation record.

Texas Family Code §104.002

Texas Family Code §261.302(e)

CCI staff take photos and make audio or video recordings only when there is a necessary business purpose, and only using the software or equipment provided by DFPS. The staff member uploads the photo or recording to the investigation record in OneCase as soon as possible after completion (see 2230 Documenting and Storing Digital Photographs, Audio, Video, and Scanned Information).

All media files that include children are confidential. See 2320 Confidential Information Not for Release to the Public.

Notification of a Photo or Recording

Before taking a photo or making an audio or video recording in which the subject is a child alleged to be a victim of abuse, neglect, or exploitation, the investigator informs both of the following people that the investigator would like to take a photo or make a recording:

The child, as appropriate for the child’s age and development.
The parent or guardian of the child, if the parent or guardian is present.

The investigator does not photograph or make an audio or video recording of the child if the child or parent objects. The investigator documents the objection in the investigation record.

If the parent or guardian is not present before the investigator takes a photo or makes a recording of the child, the investigator notifies the parent or guardian within 24 hours after the observation or interview (see 2120 Notifying Parents, Guardians, or Managing Conservators of Interview with Child).

Exceptions

Notification is not required for children who are included in a photo or recording but are not the subject of the photo or recording. This includes, for example, children who are present in the background or who briefly appear on a recording when the purpose of the photo or recording is to document another child or the conditions at the operation.

Notification is not required for children who are included in a photo or recording given to CCI by a person or entity outside DFPS.

1422.1 Taking Sensitive Photos

CCI September 2022

CCI staff never take a photo that includes a child’s private area, except in the most limited circumstances for the purpose of documenting extreme diaper rash or injury in that area. CCI never records video that includes a child’s private area.

A person’s private area includes, but is not limited to, the person’s genitals.

The investigator may only photograph an alleged victim’s private area to document an injury or extreme condition if failing to take a photo would prevent CCI from accurately documenting the injury or condition. Under these circumstances, the investigator must receive consent from the following people before taking the photo:

The child, as appropriate for the child’s age and development.
The child’s parent, guardian, or managing conservator.

CCI never photographs any injury or condition alleged to be caused by sexual abuse or sexual assault, regardless of the severity of the injury or condition or the potential that the injury or condition will no longer have the same appearance later. Only trained medical professionals may examine a child’s private area when sexual abuse or sexual assault has been alleged.

If CCI learns that a medical or law enforcement professional has already made photographic or written documentation of an injury or condition affecting a child’s private area, CCI requests copies of that documentation and determines whether it is sufficient to support the investigation or whether further medical consultation or examination is necessary.

See also OP-2118 Sensitive Images on the DFPS intranet.

1423 Taking Photos That Present Better Evidence

CCI September 2022

To be used as evidence in an administrative review or a court hearing, photos must meet all of the following requirements:

At least one photo taken during the investigation must contain proof of the identity of the operation in which the photo is being taken, such as either of the following:
- A sign bearing the operation’s name.
- The presence of the director or owner in the photo.
The CCI staff member who took the photos must attest to the accuracy of the photos.
Photos of injuries or alleged injuries must be taken in a timely fashion. See 4312 Time Frames for Face-to-Face Contact with Alleged Victims.

1424 Legal Requirements to Take Photos

CCI September 2022

State law requires CCI to investigate allegations of abuse, neglect, or exploitation in child care operations subject to regulation. That requirement includes documenting facts and gathering evidence (including photos, video, and audio recordings) to arrive at a disposition for the investigation.

Texas Family Code §261.302

Texas Family Code §261.3021

Any photos, video, or audio recordings that CCI makes during an investigation are confidential and may not be released to the public (see 2320 Confidential Information Not for Release to the Public), except to specific people authorized by state or federal law.

Texas Human Resources Code §42.004

Interfering with a DFPS investigation may constitute a criminal offense. CCI reports such interference to local law enforcement and to the agency responsible for regulating the child care operation, so that appropriate action can be taken against the person or organization that interfered.

Texas Family Code §261.303-3032

1430 Application Security for CLASS and IMPACT

CCI December 2011

To preserve the integrity of confidential information within the CLASS and IMPACT systems, DFPS policy on application security must be followed. The security policies apply to most DFPS applications.

1431 Assigning Security Roles in CLASS

CCI December 2011

Policy

Each DFPS employee who has approval to use the CLASS system is assigned a core security role. The role is based on the employee’s job classification and title.

See Appendix 1000-3: Security Roles and Functions in CLASS for:

a. a list of the core security roles;

b. the functions performed by employees in those roles; and

c. the pages in CLASS used to perform the functions associated with the roles.

Requests for roles that require additional security permissions are considered individually, based on the business need.

Examples of tasks that require additional security permissions include:

a. updating CLASS to reflect changes in the minimum standards;

b. maintaining information in the Administrators’ Licensing System (ALS) in CLASS; and

c. maintaining the Technical Assistance Library in CLASS.

1432 Assigning a Designee in CLASS and IMPACT

CCI December 2011

Policy

An employee may be assigned to perform functions for another employee in the CLASS and IMPACT systems. Employees assigned designee status are accountable for the responsibilities they are assigned while serving as designees.

If the designee performs casework for another employee, the designee is expected to produce the same quality of work that would be produced if the designee were working on his or her own caseload.

1432.1 Maximum Number of Designees in CLASS and IMPACT

CCI December 2011

Policy

Managers and Directors

Managers and directors may assign up to three designees each in the CLASS or IMPACT systems.

Supervisors

Supervisors may assign up to two designees in the CLASS or IMPACT systems.

Inspectors and Investigators

A Licensing inspector or investigator may assign designee status to another Licensing inspector or investigator only for the purposes of:

• completing a specific task; or

• temporarily covering a caseload.

Once the specific task is completed, the designee status must be deactivated.

Examples of the tasks appropriate for assignment to a designee include:

a. conducting courtesy interviews during an investigation;

b. sharing inspection responsibilities, temporarily, for a vacant caseload; or

c. completing other specific tasks assigned by a supervisor, manager, or district director.

Designees

A Licensing staff person may be appointed as a designee for up to five people.

1432.2 Time Limitations for Designees in CLASS and IMPACT

CCI March 2015

Policy

In both the CLASS and IMPACT systems, a designee is assigned for only a limited time.

Procedure

Licensing periodically receives a list of staff who have been assigned as a designee in CLASS for more than 90 days. A designated program specialist for Licensing in the DFPS state office:

• reviews the list; and

• coordinates with regional managers to determine whether to continue each employee’s designee assignments.

1440 Reassigning Cases, Deactivating Accounts, and Removing Roles in CLASS and IMPACT

CCI December 2011

Policy

Directors, managers, and supervisors manage and monitor the workloads of Licensing employees.

When the employment status of a Licensing employee changes, the employee’s director, manager, or supervisor submits a Move, Add, or Change form (known as an eMAC) to request a change in the employee’s access to DFPS systems such as CLASS and IMPACT.

To maintain security, the eMAC form must be submitted in a timely manner.

See:

1441 Reassigning Cases in CLASS and IMPACT

1442 Deactivating CLASS Accounts for Lack of Use

1443 Removing Rights to CLASS When an Employee Transfers Within DFPS

1444 Removing Rights to CLASS When an Employee Voluntarily Leaves DFPS Employment

1445 Removing Rights to CLASS and IMPACT When an Employee Is Involuntarily Terminated

1441 Reassigning Cases in CLASS and IMPACT

CCI December 2011

Policy

Before an employee’s access to DFPS systems such as CLASS and IMPACT may be removed, all of the employee’s cases must be transferred in CLASS and IMPACT to other employees.

Procedure

When possible, an employee’s cases must be reassigned in CLASS and IMPACT before the employee’s position is vacated. This includes the reassigning of operations, agency homes, and investigations.

When cases cannot be reassigned before an employee’s position is vacated, the cases must be transferred in CLASS and IMPACT no later than five days after the position is vacated.

1442 Deactivating CLASS Accounts for Lack of Use

CCI June 2012

Policy

If an employee has not used the CLASS system for more than 90 days, the employee’s permissions are reviewed to determine whether to approve continued access.

Procedure

The Management Reporting and Statistics (MRS) area of DFPS provides Licensing with a list of staff who have access to CLASS, but have not logged into the system for more than 90 days.

A designated program specialist in Licensing at the DFPS state office:

• reviews the list; and

• coordinates with Licensing’s regional managers (and the managers of other divisions, programs, or agencies, when necessary) to determine whether to continue the employee’s access.

If the decision is made to deactivate the employee’s access to CLASS, the program specialist:

• directs the employee’s director, manager, or supervisor to submit an eMAC (Move, Add, or Change form) within two business days to request that the employee’s access to CLASS be removed; or

• directs staff in the Data Integrity area of DFPS Program Support to remove the employee’s access to CLASS.

1443 Removing Rights to CLASS When an Employee Transfers Within DFPS

CCI December 2011

Policy

When a Licensing employee transfers to a new position within DFPS, the employee’s rights to the CLASS system must be removed at the time of the transfer.

Exceptions may be considered by DFPS Program Support on a case-by-case basis.

Procedure

No later than the day after a Licensing employee transfers to a new position within DFPS, the employee’s supervisor submits a Move, Add, or Change form (known as an eMAC) to request that the employee’s rights to CLASS be removed.

If an exception is needed, the district director or manager contacts DFPS Program Support for assistance.

1444 Removing Rights to CLASS When an Employee Voluntarily Leaves DFPS Employment

CCI December 2011

Policy

When an employee voluntarily leaves DFPS employment, all of the employee’s rights to the DFPS network, including rights to the CLASS and IMPACT systems, must be removed.

Procedure

No later than the day after a Licensing employee voluntarily leaves DFPS employment, the employee’s supervisor submits an eMAC (Move, Add, or Change form) to request that the employee’s rights to CLASS be removed.

1445 Removing Rights to CLASS and IMPACT When an Employee Is Involuntarily Terminated

CCI December 2011

Policy

When an employee is involuntarily terminated from DFPS employment, all of the employee’s rights to the DFPS network, including rights to the CLASS and IMPACT systems, must be removed immediately.

Procedure

When an employee is involuntarily terminated, the supervisor immediately takes the following actions:

• Transfers all of the open cases assigned to the former employee in CLASS and IMPACT to another Licensing employee

• Submits an eMAC (Move, Add, or Change form) to request that all of the former employee’s rights to any DFPS systems (including CLASS and IMPACT) be removed

• Calls a data integrity specialist to request that the former employee’s rights be removed immediately

If the employee’s cases cannot be transferred to another employee immediately in order to terminate the employee’s rights to all DFPS systems:

• the employee’s supervisor calls the Data Integrity area of DFPS Program Support to request that the employee’s access to the CLASS and IMPACT systems be suspended; and

• Program Support staff change the employee’s password to prevent the employee from accessing the system, until the employee’s account can be deactivated.

1450 Conducting a Search in CLASS

1451 Types of Searches in CLASS

CCI October 1, 2013

Policy

There are four primary searches available in CLASS system:

a. Operation Search

b. Background Check – Results Search

c. Controlling Person Search

d. Global Person Search

1452 When to Conduct Searches in CLASS

1452.1 When to Conduct an Operation Search in CLASS

CCI October 1, 2013

Licensing staff conduct an Operation Search:

a. to verify whether a provider is operating with or without a permit or to determine whether the provider has a history of operating illegally;

b. to search for the operation for the purposes of linking an intake, investigation, or e-application to the operation; and

c. to review an operation’s compliance history.

1452.2 When to Conduct a Background Check Results Search in CLASS

CCI October 1, 2013

Licensing staff may conduct a Background Check – Results Search to review an individual’s background check records in the CLASS system. A Global Person Search may also be conducted in this circumstance.

Residential Licensing inspectors must conduct a Background Check – Results Search when a child-placing agency (CPA) or general residential operation (GRO) designates a new administrator. The search is conducted so that any criminal history matches for the new administrator may be evaluated.

1452.3 When to Conduct a Controlling Person Search in CLASS

CCI October 1, 2013

A Controlling Person Search is conducted in the CLASS system when:

• an operation submits the name of a new controlling person; or

• Licensing staff need to review an individual’s record as a controlling person in CLASS.

1452.4 When to Conduct a Global Person Search in CLASS

CCI October 1, 2013

Licensing staff must conduct a Global Person Search in the CLASS system under these circumstances:

a. When an application is submitted – To determine whether the applicant is eligible to receive a permit.

b. When an operation submits the name of a new controlling person – To determine whether the person is eligible to serve in the role of a controlling person.

c. When an operation submits the name of a new director – To determine whether the director is serving as a director at another operation.

d. When an applicant for an administrator’s license submits an application – To determine whether the applicant is a sustained controlling person and to review other relevant history in CLASS.

e. When an allegation of abuse or neglect is being investigated – To determine whether an alleged perpetrator has an investigation history in CLASS.

1460 How to Conduct a Search in CLASS

CCI October 1, 2013

Policy

To obtain the most accurate search results, it may be necessary to conduct multiple searches using a variety of approaches, including the following:

Phonetic Searches

Conduct a phonetic search when searching by an operation’s name, a person’s name, or an address. A phonetic search involves using exact spelling but selecting the Phonetic option so that the results include phonetic similarities. See 1461 Conducting a Search in CLASS That Yields Phonetic Search Results.

Narrowed Searches

To narrow the results of a search:

• begin searching by entering fewer search criteria in the fields on the search page; and then

• narrow the results by entering additional search criteria or different combinations of search criteria.

Social Security and Driver’s License Searches

When searching by a Social Security number (SSN) or driver’s license number (DLN), conduct follow-up searches using additional criteria to find records in which the SSN or DLN is incorrect or blank.

1461 Conducting a Search in CLASS That Yields Phonetic Search Results

CCI October 1, 2013

Policy

The phonetic search feature is the default search option in CLASS.

When conducting a CLASS search using the phonetic search feature, Licensing staff receive a broader set of results. A phonetic search captures more results by searching for words or names that sound similar to or are spelled slightly differently than the search criteria and words or names that contain typographical (data entry) errors that are common to the search criteria.

Before conducting a phonetic search, Licensing staff must ensure that the Phonetic checkbox is selected.

Before searching by Operation Number, Licensing staff must uncheck the Phonetic checkbox.

Procedure

With the exception of the operation number, Licensing staff can enter any search criteria when conducting a phonetic search.

Certain search criteria are treated as an exact filter (explained in more detail below). An exact filter filters out, or removes, any search result that does not exactly match the search criteria that are treated as exact filters.

Operation Search

Licensing may conduct a phonetic search on the Operation Search page by entering any of the search criteria, except for the operation number.

When a phonetic search is performed, the following fields are treated as exact filters:

a. County

b. Operation Type

c. Care Type

Background Check Results Search

Licensing may conduct a phonetic search on the Background Check Results Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

a. Operation Number

b. Batch Number

c. Licensing Representative ID

d. Employee ID

e. Region

f. Batch Date

g. Status

Controlling Persons Search

Licensing may conduct a phonetic search on the Controlling Persons Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

a. State

b. Phone Number

Global Person Search

Licensing may conduct a phonetic search on the Global Person Search page by entering any of the search criteria. When a phonetic search is performed, only Date of Birth is treated as an exact filter.

All Searches

When conducting a phonetic search, the best results are obtained by entering the operation’s full name, the person’s full name, or the full street name.

To search by entering partial information, see 1462 Conducting a Search in CLASS That Yields Exact Search Results.

1462 Conducting a Search in CLASS That Yields Exact Search Results

CCI October 1, 2013

Policy

The purpose of conducting a search that yields exact results, or an exact search, is to identify a smaller set of results that exactly or partially match the search criteria that were entered.

Before conducting an exact search, Licensing staff must uncheck the Phonetic checkbox.

Procedure

Licensing staff must conduct an exact search when searching by the operation number. Licensing staff are able, but not required, to conduct an exact search on any other search criteria.

1463 Conducting a Global Person Search in CLASS to Obtain All Records on an Individual

CCI October 1, 2013

Policy

The purpose of conducting a Global Person Search is to identify each record related to an individual in CLASS. See 1452 When to Conduct Searches in CLASS.

Procedure

A Global Person Search in CLASS, may pull up records for the following roles:

a. Background Check

b. CEO

c. Designee

d. Director

e. Second Director

f. Program Director

g. Site Director

h. Partner

i. Perpetrator (Intake or Investigation)

j. Controlling Person

k. Administrator

Handling Errors in Data

When conducting a Global Person Search, Licensing staff may detect errors in data entry in an individual’s various records in CLASS.

When staff detect variations in an individual’s records, such as inconsistent Social Security numbers, staff attempt to verify and correct the records in CLASS only if correcting the records is within the staff person’s responsibility.

Licensing staff do not submit a formal request to correct data or ask other Licensing staff to correct data that is outside of the staff person’s responsibility.

Child Care Investigations Handbook