4000 Investigations
4100 Overview of Investigations
CCI August 2020
The investigator must promptly and thoroughly complete an investigation of a report alleging abuse, neglect, or exploitation to ensure that children who are or will be in care of the operation are protected. This applies to child care operations that are subject to regulation by the Child Care Licensing division of HHSC.
Texas Human Resources Code §42.044(c)
4110 Components of a Thorough Investigation
CCI March 2022
In general, CCI investigators complete all the following tasks during each investigation:
- Review the intake report and contact the reporter for a full statement.
- Review criminal history and DFPS central registry search results for all principals age 14 and older, except alleged victims.
- Arrange for joint investigations with other programs or agencies, as needed.
- Complete notifications required at the beginning of the investigation.
- Interview the alleged perpetrator.
- Interview the alleged victim.
- Interview collaterals who witnessed the alleged incident or may have information.
- Complete notifications to parents, guardians, or managing conservators of any child interviewed as a victim or collateral.
- Gather evidence relevant to the allegations, such as documentation from or about the operation, video recordings, photos, and medical records.
- Complete the investigation within 30 calendar days, unless a supervisor approves an extension.
- Notify appropriate people and entities of the results of the investigation.
The supervisor must approve the investigation or return it to the investigator within five days after the completion of the investigation.
Investigators may complete additional or fewer tasks, as required by policy or with the approval of a supervisor, to support the specific needs of each unique investigation.
If the investigator and supervisor determine that all of the allegations in an investigation merit administrative closure, the investigator may omit some of the tasks listed above with the supervisor’s approval. See 4625.1 Investigator Responsibilities When Recommending an Administrative Closure.
4120 Supervisor Consultations During an Investigation
4121 Investigation Assignment Conference
CCI December 2021
The supervisor and the investigator do the following before initiating the investigation:
- Discuss the tasks to be completed.
- Identify and prioritize contacting principals in the investigation.
During this conference, the supervisor and investigator review all of the following information:
- The allegations, alleged victims, and alleged perpetrators identified in the intake report. This includes discussing the following responsibilities when making contact with alleged victims and alleged perpetrators:
- Identifying efficiencies for making initial face-to-face contact (see 4312 Time Frames for Face-to-Face Contact with Alleged Victims).
- Notification required during initial contact with an alleged perpetrator and before conducting an interview (see 4431.1 Before Conducting an Interview with an Alleged Perpetrator).
- Whether information in IMPACT or CLASS indicates the allegations may be outside of CCI jurisdiction. See:
- Whether any special procedures or considerations apply for this investigation (see 5400 Special Considerations for Certain Types of Reports).
- Whether the intake report requires or merits a joint investigation with another agency or program (see 1300 Working with Other Agencies, Departments, or Programs).
- Whether the allegations require a forensic interview by the local Children’s Advocacy Center (CAC) (see 4422.2 Contacting a Children’s Advocacy Center About Certain Allegations).
- Whether a safety plan is warranted and, if so, what specific risks the safety plan must mitigate (see 4500 Assessing the Immediate Safety of Children).
- The notifications made at the beginning of the investigation (see 2110 Notifications Made at Beginning of Investigation).
- Background check history for eligible principals (see 4230 Background Checks on Principals).
- Whether a multiple referral review has been or needs to be completed (see 5120 Multiple Referral Investigations).
- The operation’s recent compliance history, including:
- Any concerns of breaches of duty by leadership or administration at the operation (see 5110 Repeated Allegations Involving the Same Operation or Person in Charge).
- Whether it is currently on heightened monitoring and any components of the heightened monitoring plan that may be relevant to the investigation (see 1312 Heightened Monitoring (Residential Child Care Only)).
- Whether it accepts placement of children in DFPS conservatorship and is required to have 24-hour awake night supervision (see 1313.1 Twenty-Four-Hour Awake Night Supervision (Residential Child Care Only))
The supervisor and investigator identify the immediate tasks necessary to begin the investigation, including initiation and contacting the reporter, and the time frames by which these tasks are due.
The supervisor documents this conference as a contact and lists the tasks and concerns discussed.
The supervisor follows up on these tasks during the interim staffing (see 4122 Interim Staffing With Supervisor) and before the investigation is submitted for approval. The investigator consults with the supervisor as needed throughout the investigation.
4122 Interim Staffing With Supervisor
CCI December 2021
The investigator must conduct at least one interim staffing to consult with the supervisor regarding the status of the investigation. The interim staffing occurs within the following time frames:
- If the intake report is regarding a child fatality, the staffing occurs no later than the 5th day from the date of the intake report.
- If the intake report is not regarding a child fatality, the staffing occurs no later than the 10th day from the date of the intake report.
The interim staffing must include a discussion of both of the following:
- The information and evidence obtained up to that time.
- Identifying any additional tasks to be completed before a disposition can be made.
If a special investigator is assisting in the investigation, the special investigator also attends the interim staffing. A consultation with a complex investigation analyst (CIA) may be used as the interim staffing with the supervisor only if the supervisor is present during the consultation. Additional interim staffings may be conducted throughout the investigation as many times as deemed necessary by the investigator and supervisor.
After the interim staffing, the supervisor documents the information discussed in the staffing in a contact labeled Staffed Case in IMPACT.
4123 Dispositional Staffing and Determining the Findings
CCI January 2022
The investigator consults the supervisor at the conclusion of the investigation to consider the information gathered and determine the investigation findings. The investigator and supervisor also review all external documents and case notes and confirm which documents are appropriate for uploading to OneCase and which documents are transitory records (see 2241 Documentation of Case Notes).
This dispositional staffing occurs within one of the following time frames:
- No later than the 25th day after the intake report.
- If the supervisor approved an extension, no later than five days before the calendar date that the extension expires.
The supervisor documents the results of the staffing as a contact in IMPACT. This documentation includes written information demonstrating whichever of the following applies:
- That a preponderance of evidence supports the recommendation of a disposition of Reason to Believe or Ruled Out.
- Why a disposition of Unable to Determine is necessary.
At the end of the investigation, the investigator assigns a finding for each allegation identified during the investigation.
The investigator makes a determination about both of the following:
- Whether the act or omission meets the legal definition of abuse, neglect, or exploitation.
- Whether there is a preponderance of evidence that the abuse, neglect, or exploitation occurred.
The investigator submits the investigation to the supervisor for approval in IMPACT within one of the following time frames:
- No later than the 30th day after the intake.
- If the supervisor approved an extension, no later than the calendar date that the extension expires.
4130 Protecting a Reporter’s Confidentiality During an Investigation
CCI December 2012
Procedure
While visiting an operation, an investigator must ensure that individuals who are not employed by DFPS do not have access to any confidential information that is contained on a tablet PC, in the intake report, or in handwritten notes. External documentation that identifies a person as a reporter, such as an intake report, may not be taken to the operation.
4131 Identifying New Reporters During an Investigation
CCI December 2012
Policy
During an investigation, a person is identified as a new reporter if the person provides the investigator with information regarding new allegations that are not being investigated in the current investigation. These new allegations may be:
a. abuse or neglect of the current alleged victim by a new alleged perpetrator;
b. abuse or neglect of a new alleged victim by the current alleged perpetrator;
c. abuse or neglect of a new alleged victim by a new alleged perpetrator; or
d. a minimum standard violation unrelated to the allegations currently being investigated.
Procedure
If the investigator identifies a new reporter during the course of an investigation, the investigator may:
a. identify the person as a reporter in the IMPACT and CLASS investigation, depending on the type of investigation, if the allegations are to be investigated in the current investigation;
b. refer the information to SWI for entry as a new intake report or Information and Referral (I&R) and identify the person who provided the information as the reporter; or
c. enter the information as a new Intake Report in CLASS if the information does not include allegations of abuse or neglect and is regarding a day care operation.
When determining whether to investigate the new allegations in the current investigation or in a new investigation, the investigator consults with the supervisor and considers the following:
• How closely related the new allegations are to the current allegations
• Whether there is enough time remaining in the current investigation to fully investigate the new allegations
4200 Preparing for the Investigation
4210 Reviewing the Intake Report Narrative and Determining the Allegations
CCI December 2012
Policy
After being assigned an investigation, the investigator must review the Allegation Narrative in the Intake Report in CLASS. The investigator reviews the narrative to identify each allegation of:
• abuse or neglect (if the report is of abuse or neglect); and
• a violation of law, administrative rule, or minimum standard.
Following the review of the Allegation Narrative, the investigator enters the following information in CLASS:
• a summary of the allegations; and
• the specific statutes, administrative rules, and minimum standards to evaluate during the investigation.
Procedure
The investigator must review the Allegation Narrative before initiating the investigation and complete the CLASS entries before linking the investigation to an inspection form in CLASS. The summary of the allegations and the laws, rules, and standards being evaluated is automatically entered on the Form 2936 Child-Care Facility Inspection once the investigator links the investigation to an inspection.
4211 Writing the Allegation
CCI December 2015
Policy
The investigator documents a concise summary describing each allegation that is to be investigated under the Allegations section on the Investigation Main page in CLASS.
Procedure
When writing an allegation, the investigator avoids:
a. including first or last names of children or adults;
b. including specific ages or gender of children, or any other identifying information;
c. using abbreviations of words or phrases;
d. using legal terms, such as abuse or neglect, that are defined in the Texas Family Code or Texas Administrative Code;
e. using inflammatory or prejudicial words or phrases.
When writing an allegation, the investigator must:
• use good grammar and proper spelling; and
• be concise, yet descriptive.
Example:
Incorrect: It is alleged that a child was physically abused by his caregiver.
Incorrect: It is alleged that a 6-year-old male was whipped with a belt by his caregiver for wetting his pants. The boy has a two-inch welt on his lower back and several linear welts on his legs.
Acceptable: It is alleged that a child was inappropriately disciplined by his caregiver.
Acceptable: It is alleged that a caregiver disciplined a child by hitting the child with a belt and causing injuries to the child’s back and legs.
4212 Evaluating Allegations of Licensing Minimum Standards Violations During an Investigation
CCI August 2020
Intake reports alleging abuse, neglect, or exploitation may also include allegations of licensing minimum standards violations.
The investigator must do the following:
- Evaluate allegations of licensing minimum standards violations while conducting the investigation of abuse, neglect, or exploitation.
- Ensure that any observed high-risk violations are corrected during visits to the operation, if practicable.
- Provide evidence obtained during the investigation that verifies whether a possible licensing minimum standards violation occurred to the appropriate CCL staff for the operation.
During the investigation, the investigator documents observations made during visits to the operation in the Observations Made During Inspection narrative box on the Investigation Conclusion page in CLASS.
The investigator notifies the CCL inspector assigned to the operation of possible licensing minimum standards violations by email, phone, or in person. Evidence, such as photographs or copies of records, may be provided to the CCL inspector for the inspector’s use in evaluating any necessary citations.
For example, if unsecured medication was observed to be accessible to children, the investigator ensures the medication is secured during the visit, documents the observation in CLASS, and notifies the CCL inspector to evaluate for possible citation.
4220 Preparing Equipment and Other Required Items
CCI December 2012
Policy
Before initiating the investigation, the investigator must prepare the equipment necessary to conduct a thorough investigation in accordance to all policy and procedures. When conducting investigation activities away from the office, all investigators must carry with them:
a. a tablet PC;
b. a portable printer;
c. a digital camera; and
d. electric chargers or batteries for all equipment.
Additionally, an investigator of abuse or neglect investigations must carry with them a back-up digital recorder, if he or she has been assigned one.
The investigator must ensure that all equipment is adequately charged before leaving the office.
4230 Background Checks on Principals
CCI November 2020
The investigator reviews background check results for all principals age 14 and older in an investigation, except alleged victims, to determine whether there is any prior criminal or central registry history that may be relevant to the current allegations.
The investigator documents a summary of any background check history relevant to the allegations as a contact in IMPACT.
The investigator reviews background check results by doing either of the following:
- Locating an existing background check for the principal in CLASS.
- Launching a Department of Public Safety (DPS) name-based check and central registry check in IMPACT.
All background check history is confidential and may not be discussed with external people or entities other than the subject of the background check.
Texas Government Code §411.114
26 Texas Administrative Code §745.641
Background Checks Completed in CLASS
When the principal already has a completed background check in CLASS, the investigator reviews each type of background check that has a match and notes any history that may be relevant to the current allegations.
The investigator also documents the following:
- The eligibility determination by the Child Care Licensing (CCL) Centralized Background Check Unit inspector.
- Whether there are any conditions or restrictions on the person’s presence at the operation.
Background Checks Launched in IMPACT
The investigator only launches a new background check in IMPACT if the investigator cannot find a background check completed for CCL for that principal in CLASS.
Situations when this may occur include the following:
- The child care operation is illegally operating without a license or permit.
- The child care operation has allowed a person to have access to children at the operation without a completed background check.
The investigator does both of the following:
- Notifies the CCL representative of the possible minimum standards violation.
- Conducts a background check in IMPACT so that the investigation of the alleged abuse, neglect, or exploitation is not delayed by the CCL background check process.
4240 Contacting the Reporter
CCI December 2012
Policy
If necessary the investigator contacts the reporter before the initiation of the investigation to:
a. clarify the details of the intake report;
b. obtain additional information that the reporter may have; and
c. determine the location of the children involved in the report, if the intake report does not contain this information.
Procedure
It may not be necessary to contact the reporter if the reporter:
a. is an employee of the operation;
b. has no direct knowledge of the incident being reported; and
c. is reporting the incident to fulfill professional reporting obligations.
Contact with the reporter may not be considered to be the initiation of an investigation unless:
• the district director or residential manager gives approval; or
• the reporter is a representative of a child-placing agency and the investigation is being assigned as an internal investigation.
4250 Risk Assessment of Regulatory History
CCI March 2021
A risk assessment of regulatory history is a consultation between the investigator and the Child Care Licensing inspector assigned to the child care operation to review all of the following information about the operation:
- Characteristics of children in care and the staff present at the operation.
- Regulatory compliance history.
- Investigation history.
By reviewing this information, the investigator is able to identify patterns of behaviors and conditions at the operation that may be relevant to the current allegations and inform the investigator’s ongoing assessment of child safety at the operation.
4251 Requesting a Risk Assessment of Regulatory History
CCI March 2021
Within 10 days of receiving the intake report, the investigator contacts the Child Care Licensing (CCL) inspector assigned to the operation to request a risk assessment of the operation’s regulatory history.
If the CCL inspector is unable or unwilling to participate in the consultation, the investigator conducts the risk assessment by reviewing the information documented in CLASS and consults with the investigator’s supervisor.
4252 Conducting a Risk Assessment of Regulatory History
CCI March 2021
The investigator reviews all of the following:
- All inspections and investigations of the operation conducted in the previous 24 months.
- Regulatory deficiencies cited in the last 24 months.
- Any regulatory waivers, variances, corrective action, or adverse action in effect at the operation in the last 5 years.
- Type of care, operating times, capacity and age groups of children, and services provided by the operation.
- Any regulatory conditions placed on the license or permit.
- Any regulatory conditions placed on staff at the operation as a result of a Provisional, Conditional, or Ineligible background check status.
- Recent regulatory history for any other operation the investigation principals have been affiliated with in the previous 24 months.
The investigator also considers any DFPS investigation history for each alleged perpetrator and alleged victim to determine any pattern of similar allegations, and the outcomes of those investigations.
4253 Documenting the Risk Assessment of Regulatory History
CCI March 2021
The investigator documents the risk assessment as a contact in IMPACT and CLASS.
IMPACT
The investigator enters the contact with the purpose code Assessment.
CLASS
The investigator labels the contact as Risk Assessment in the Source of Information field on the Contact List on the Investigation Conclusion page.
4300 Conducting the Investigation
4310 Initiating the Investigation
4311 Time Frames for Initiation
CCI November 2020
The time frame for initiating an investigation is determined by the priority of the investigation.
The time frame for initiation is based on the time (not just the date) when DFPS received the intake report.
40 Texas Administrative Code §707.715
See Appendix 4000-1: Investigation Time Frames.
4311.1 Time Frame for Initiating a Priority 1 (P1) Investigation
CCI November 2020
A Priority 1 investigation must begin immediately if the allegations involve either of the following:
- The death of a child.
- Circumstances in which serious physical or emotional harm or death of a child will occur without immediate intervention.
All other Priority 1 investigations must be initiated within 24 hours of the intake report.
4311.2 Time Frame for Initiating a Priority 2 (P2) Investigation
CCI November 2020
A Priority 2 investigation must begin as soon as possible, but no later than 72 hours after the intake report.
4312 Time Frames for Face-to-Face Contact with Alleged Victims
CCI January 2021
The investigator must make face-to-face contact with each alleged victim listed in the intake report as soon as possible, but no later than the following:
- 24 hours after a Priority 1 intake report.
- 72 hours after a Priority 2 intake report.
If contact is attempted but unsuccessful, the investigator must continue to make attempts within the priority time frame indicated above until the contact is successful.
A forensic interview with a children’s advocacy center satisfies the requirement for face-to-face contact with an alleged victim, provided that the interview occurs within the appropriate time frame above and the investigator attends or observes the interview.
If a forensic interview with a children’s advocacy center is required because of the nature of the allegations but the forensic interview cannot be completed within the appropriate time frame, the investigator must make face-to-face contact with all alleged victims within the appropriate time frame above.
See 4422.2 Contacting a Children’s Advocacy Center About Certain Allegations.
4313 Time Frames for Face-to-Face Contact with Alleged Victims
CCI January 2021
The investigator documents face-to-face contact with each alleged victim in both CLASS and IMPACT.
Documentation for each contact must include all of the following information:
- The date of the contact.
- The exact time of the contact.
- The method of contact.
- The name of the person with whom the contact was made.
- A summary of the information obtained during the contact.
If contact is attempted but unsuccessful, the investigator documents all of the following:
- Attempted date of contact.
- Attempted time of contact.
- Attempted method of contact.
- Name of the person with whom contact was attempted.
- Reason the attempt was unsuccessful.
4313.1 Documenting Contacts with Alleged Victims in CLASS
CCI January 2021
Initiation of Investigation
The investigator documents the first contact with an alleged victim in the Initiation of Investigation section on the Investigation Conclusion page in the CLASS investigation.
Face-to-Face Contact with Victim
Any contact with an alleged victim that occurs after the initiation must be documented separately as a CLASS contact and labeled Face-to-Face Contact with Victim.
4313.2 Documenting Contacts with Alleged Victims in IMPACT
CCI January 2021
Any contact with an alleged victim must be documented in IMPACT on the same day the contact was attempted or occurred.
Purpose Code: Initiation
The investigator documents the first contact with an alleged victim by creating a contact on the Contacts/Summaries page. The investigator selects Initiation as the Purpose.
If the contact is attempted but unsuccessful, the investigator selects Initiation as the Purpose and selects the Attempted checkbox.
Purpose Code: Gather/Obtain Info
Each contact with an alleged victim that occurs after the initiation must be documented separately and coded as Gather/Obtain Info.
4320 Collecting Evidence
CCI January 2022
During the investigation, the investigator must collect evidence to support or refute the allegations.
All collected evidence is summarized in documentation and uploaded to OneCase, as appropriate.
See:
2241 Documentation of Case Notes
2220 Maintaining an Investigation File
4321 Collecting Evidence Related to Interviews
CCI January 2022
The investigator does the following during the investigation:
- Interviews everyone known to have knowledge of the allegations (see 4400 Conducting Interviews).
- Documents a summary of the interview in the electronic investigation record. When documenting interviews or other contacts with the reporter, CCI staff limit or refrain from identifying the person as the reporter.
Non-verbal children alleged to be victims of the allegations are observed, rather than interviewed.
The investigator records all interviews with children or alleged perpetrators (see 4410 Recording Interviews).
If a principal refuses to allow the interview to be recorded, the investigator requests that the person provide a written statement. A principal may also provide a written statement as a supplement to a recorded interview. The investigator may accept a written statement in the form in which it is written, or the investigator may provide Form 7275 Child Care Facility Investigations Statement to obtain a written statement.
When receiving written statements, the investigator does the following:
- Reviews the written statement for new information or inconsistencies with other evidence.
- Conducts additional interviews or follow-up contacts as necessary to address new information or inconsistencies.
The investigator uploads recordings or any written statements to the electronic investigation record in OneCase. The investigator documents a summary of the interview or observation in IMPACT and CLASS.
4322 Taking Photographs as Evidence
CCI January 2022
Investigators must take photographs of a child’s injury and the incident scene, as well as any other photographs of the operation according to the policies and procedures in 1400 Technology Supporting Investigations.
4323 Obtaining Written Documents as Evidence
CCI January 2022
The investigator must review or obtain the following types of written documentation, as applicable to the investigation:
- Medical records
- Law enforcement reports
- CPS records
- Records from the operation
The investigator uploads all records obtained for an investigation to the electronic investigation record in OneCase. The investigator documents a summary of the record as a contact in IMPACT and CLASS.
4323.1 Obtaining Medical Records
CCI January 2022
The investigator requests that the parent provide a medical release and requests the medical records during an investigation when the allegations being investigated include any of the following:
- Injuries requiring medical treatment.
- Serious physical abuse.
- Medical neglect.
- Physical neglect.
- Sexual abuse, if the child received an exam by a sexual assault nurse examiner.
- A fatality.
- A near fatality.
If a child in DFPS conservatorship receives medical treatment or dies, the investigator works with the child’s caseworker to obtain the records.
If the child is not seen by a medical professional, the investigator must consult with a medical professional to obtain a professional opinion of the child’s medical condition.
The investigator may need to obtain the following types of medical records, depending on the allegations being investigated:
- Records from emergency medical services.
- Emergency room and other hospital records.
- Records from the child’s primary care physician.
- Records from a specialist who provides care or treatment to a child.
- Records from a sexual assault nurse examiner.
- Autopsy report and other related records from the medical examiner, if the child is deceased.
- Star Health records.
4323.2 Obtaining Reports from Law Enforcement
CCI August 2022
When law enforcement assists a CCI investigation or conducts a criminal investigation of the alleged abuse, neglect, or exploitation, the investigator may need to request a copy of law enforcement’s documentation to include in CCI’s investigation record. Depending on the circumstances of the investigation, law enforcement documentation may include any of the following:
- Police report.
- Photographs taken by law enforcement.
- Audio or video recordings or transcript of a forensic interview.
- 911 call.
- Any other document related to a criminal investigation.
If law enforcement is unable to release copies of documentation (for example, the information is part of an ongoing criminal investigation or may otherwise not be considered a public record), the investigator does the following:
- Requests an opportunity to review the documentation.
- Documents the following in the investigation record:
- A summary of the law enforcement information the investigator reviewed, or the reason the investigator was not allowed to review the information.
- The agency that has custody of the documentation.
- The relevant procedures to review the agency’s information, or the agency’s point of contact who can grant access to the documentation.
4323.3 Reviewing Documents From CPS
CCI December 2012
Procedure
The investigator may need to review documentation located in a CPS record in IMPACT if:
• the investigation involves a child in conservatorship of CPS; or
• a joint or concurrent investigation with CPS is being conducted.
The investigator may need to review the following types of CPS documentation located in IMPACT related to the investigation (INV), substitute care (SUB), or adoption (ADO) stages of service:
a. Person Detail information
b. Contact narratives
c. Legal Actions
d. Child’s Service Plan
e. Placement information
f. Common Application
g. Family Tree
If a CPS case is marked Sensitive, the investigator requests assistance from the assigned CPS caseworker to obtain access to the information.
4323.4 Obtaining Documents From the Operation
CCI January 2022
CCI has the authority to review and obtain copies of any documentation found at the operation. This documentation includes, but is not limited to the following:
- A child’s record, including the service plan.
- An employee’s record.
- A foster home’s record, including the home study.
- Training curriculum.
- Operational policy.
- Incident reports.
4324 Maintaining Records of Correspondence
CCI January 2022
In the process of conducting an investigation, the investigator may receive or create correspondence through email, standard mail, or the telephone.
The investigator summarizes the correspondence in a contact in IMPACT and CLASS.
If the investigator receives written correspondence by standard mail, the investigator uploads it to OneCase. If the investigator mails any correspondence that is not generated in IMPACT, the investigator must upload a copy of it to OneCase. The investigator must also upload supplemental documents for written correspondence, such as certified mail receipts, to OneCase.
4400 Conducting Interviews
CCI September 2021
During the investigation, the investigator makes a reasonable effort to locate and interview any person identified as a principal or collateral in the intake or during the investigation.
Principals include all of the following:
- All alleged victims in the investigation.
- All alleged perpetrators in the investigation.
- All household members of a foster home or child care home.
Collaterals include anyone who is not directly involved in the incident but may be able to provide information about any of the following:
- The incident being investigated.
- The children and adults who were involved in the incident.
- The type of care and supervision provided at the operation.
Before any interview, the investigator must do all of the following:
- Identify himself or herself.
- Explain the role and responsibilities of CCI.
- Explain the reason for contact.
Documenting Interviews
The investigator documents interviews with alleged victims according to 4313 Documenting Face-to-Face Contact with Alleged Victims.
The investigator documents interviews with all other principals and collaterals as soon as possible, and no later than the day after the date of the interview or attempted interview.
Each interview is documented as a separate contact in IMPACT.
A summary of all interviews and attempted interviews is documented as a contact on the Investigation Conclusion page in CLASS.
4410 Recording Interviews
CCI September 2021
The investigator must digitally record all interviews conducted with either of the following people:
- A child
- An alleged perpetrator
The investigator may also digitally record any other face-to-face interviews conducted during the investigation.
At the beginning of the interview, the investigator must inform the person that the interview is being recorded. The recording must be accurate, unaltered, and without interruption.
DFPS Rules, 40 TAC §707.713(3)
4411 Testing the Recording Equipment
CCI December 2012
Procedure
Before each interview, the investigator must test the audio recording device and software to ensure that the equipment is working and that all parties can be clearly heard on the recording before beginning the official interview.
4412 Authenticating the Recording
CCI December 2012
Procedure
The investigator must authenticate the recording before beginning the structured interview. To authenticate the recording, the investigator must make the following statements at the beginning of each recorded interview:
a. The investigator’s first name, last name, and job title
b. The month, day, year, and time of the interview
c. The CLASS or IMPACT investigation number
d. The location of the interview
e. The first and last name and the role of any other person present during the interview
f. A statement that the interview is being recorded
The investigator asks the person being interviewed to state his or her:
• first and last name;
• identifying information, such as age, date of birth, or Social Security number, depending on the age and ability of the person being interviewed.
At the conclusion of the interview, the investigator states the time that the interview ended.
4413 Exceptions to Recording the Interview
CCI December 2012
Procedure
The investigator is exempt from recording the interview when:
• the person refuses to allow the interview to be recorded; or
• a parent refuses to allow the interview of their child to be recorded.
4414 Documenting Whether an Interview Was Recorded
CCI December 2012
Procedure
If an interview was conducted face-to-face, the investigator must document whether or not the interview was recorded in the contact on the Investigation Conclusion page in CLASS. If the interview was not recorded, the investigator must document the reason why.
A recorded interview does not replace a written summary of the interview in the investigation contacts.
4415 Using an Alternative Recording Device
CCI August 2020
If an investigator has been issued a backup recording device, such as a handheld digital recorder, the investigator must carry the device to all interviews, in case of a malfunction of the tablet or its audio recording software.
4420 Observing and Interviewing Children
CCI September 2020
All alleged victims and all children directly involved in the allegations must be observed and interviewed.
The investigator interviews as many other children (collaterals) as necessary, depending on the nature and complexity of the investigation.
HHSC Rules, 1 TAC §351.503(b)(1) and (d)(2)
Whenever possible, the investigator must interview all principal and collateral children in person.
CCI staff may not transport a child who is to be interviewed, unless the child’s parent, guardian, or managing conservator is also present.
A forensic interview with a children’s advocacy center is an appropriate substitute for a face-to-face interview with the child.
4421 Age and Ability Requirements for Observing and Interviewing Children
CCI December 2012
Observing Children With No Verbal Ability
Policy
Investigators must observe principal children who have no verbal ability because of the child’s:
• chronological age; or
• level of developmental functioning.
If the investigation involves an allegation of abuse or neglect, an alleged victim who has no verbal ability must be observed within the time frames outlined in 4422 Observing and Interviewing Alleged Victims.
Children who are collateral contacts and who have no verbal ability should be observed as necessary to assess the care being provided to other children in care of the operation.
Procedure
Observations of a child must be documented as a contact on the Investigation Conclusion page in CLASS. The contact must include a brief statement describing the investigator’s observation of the child.
Interviewing Children With Limited Verbal Ability
Policy
Investigators must attempt to interview alleged victims and other identified principal and collateral contacts who are children if the child:
• is at least 3 years of age; and
• has some verbal ability.
If a child is younger than 3 years of age, but the investigator receives information that the child has some ability to communicate meaningful information, the investigator should attempt to interview the child and gather as much information as possible.
Procedure
The investigator adjusts the interview techniques as needed based on the age and ability of the child being interviewed.
If, after the investigator attempts to build rapport with the child and the child has demonstrated that he or she is unable to communicate meaningful information to the investigator, the investigator may discontinue the interview. The investigator must digitally record the attempted interview and document that an interview was attempted as a contact on the Investigation Conclusion page in CLASS.
If the investigator is unable to communicate with any child because of language barriers, the investigator follows the procedures in 4450 Interviewing Persons With Limited English Proficiency.
4422 Observing and Interviewing Alleged Victims
CCI September 2020
During the interview with the alleged victim, the investigator makes a reasonable effort to obtain the following:
- Full legal name.
- Date of birth.
- Ethnicity.
- Social Security number.
- Home address.
- Home phone number.
- Photographs of the child’s injuries (or lack of injuries).
If the child is unable to provide the above information, the investigator may request the operation’s enrollment records to obtain the information or may request the information from the child’s parent.
If the investigator is unable to photograph a child’s injuries or lack of injuries in a timely manner, the investigator must notify the supervisor and develop and implement a follow-up plan, with the supervisor’s approval. The investigator documents the reason the photographs could not be taken in a timely manner as a contact on the Investigation Conclusion page in CLASS.
See:
4313 Time Frames for Face-to-Face Contact with Alleged Victims
1422 Photos and Video of Children
1422.1 Taking Sensitive Photos
4422.1 Interview Takes Place Before Receipt of Intake Report
CCI August 2022
If another professional, such as a CPI investigator, a children’s advocacy center specialist, or a law enforcement officer, has already interviewed the alleged victim about the same allegations before CCI receives the intake report, the CCI investigator must do the following:
- Request a copy of the recording, a transcript, or detailed documentation of the interview, or request to view the recording if a copy cannot be provided.
- Review the interview recording or documentation to assess whether all of the allegations were addressed in the interview.
- In the investigation record, document the following:
- A summary of the interview.
- Who conducted the interview.
- A statement explaining what agency has custody of the interview recording and the procedures for requesting to view the recording.
If the investigator finds that the interview did not adequately address all of the allegations in the intake report sent to CCI, the investigator conducts a new interview with the alleged victim to gather information about the allegations that were not addressed. If the prior interview was a forensic interview, the investigator staffs with the supervisor and may consult with law enforcement and the agency that conducted the interview to determine whether a supplemental forensic interview is necessary.
Initiating the Investigation After Another Agency’s Interview
The investigator makes face-to-face contact with the alleged victim within required time frames, even if an interview has already been completed by another agency. During this face-to-face contact, the investigator assesses the alleged victim’s immediate health and safety.
The investigator determines whether there is an active criminal investigation and coordinates with the investigating law enforcement agency before proceeding with the face-to-face contact. If contact within required time frames would interfere with an ongoing criminal investigation, the investigator does the following:
- Documents the reason for the delay in the investigation record.
- Consults with the CCI supervisor and law enforcement to determine an appropriate time to complete face-to-face contact.
4422.2 Contacting a Children’s Advocacy Center About Certain Allegations
CCI August 2022
The investigator contacts the local children’s advocacy center (CAC) to determine whether a forensic interview is appropriate before making initial contact with a child who is an alleged victim in a report of abuse that meets any of the following criteria:
- Alleges sexual abuse of a child.
- Alleges child sexual aggression.
- Alleges serious physical abuse.
- Involves a child fatality or near fatality in which there are surviving children under the supervision of a caregiver involved in the child fatality.
- Is a type of case handled by a local CAC according to the local CAC’s protocols.
If the county is not served by a local CAC, the investigator may refer the case to a CAC in an adjacent county to initiate a response by the CAC’s multidisciplinary team and schedule a forensic interview, if appropriate.
If the CAC accepts the referral, the investigator does the following:
- Works with law enforcement and the local CAC to schedule an interview with the alleged victim within the time frames outlined in 4312 Time Frames for Face-to-Face Contact with Alleged Victims, if possible.
- Attends and observes the forensic interview (or has a designee attend), if possible.
- Requests a copy of the interview recording or transcript.
If the CAC does not accept the referral, does not respond to attempts to contact, or cannot schedule a forensic interview within the time frames for required face-to-face contact with alleged victims, the investigator makes face-to-face contact with all alleged victims within the required time frames to ensure child safety. If the CAC did not respond or could not schedule an interview within the required time frames, the investigator continues efforts to contact the CAC to determine whether a forensic interview is appropriate.
Documenting a CAC Referral
The investigator documents the following information in the investigation record following contacts with a CAC:
- The reason for the CAC referral.
- Whether the CAC accepted or declined the referral.
- The reason for not attending a scheduled forensic interview, if the investigator is unable to attend.
- A summary of the forensic interview and who conducted the interview.
- The agency with custody of the recording of the interview, and how to request access to review it if a copy could not be provided to the investigator.
4423 Observing and Interviewing a Child Related to a Child Care Provider
CCI December 2012
Policy
Biological and adopted children include any children for whom providers may hold legal guardianship, temporary managing conservatorship, or permanent managing conservatorship at the time of the investigation.
The investigator may need to obtain written consent before interviewing the biological or adopted children of a provider.
HHSC Rules, 1 TAC §351.503(b)(1) and (d)(2)
Obtaining a Child Care Provider’s Consent Before Interviewing a Child
Procedure
If the child care provider is present during an inspection or investigation, the investigator must obtain written consent to interview any biological or adopted children of the provider who are in care at the operation. The investigator obtains consent using Form 2898 Consent to Interview Children of Providers.
The investigator may interview the children of a provider in a school, neutral location, or a child-care setting other than where the provider works without obtaining consent, unless the provider has previously refused to allow Licensing staff to interview his or her children.
Following the interview, the investigator must notify the parent that the child was interviewed. See 2122 Notifying a Parent of a Child Interviewed as a Collateral Contact During an Investigation of Abuse or Neglect
If a provider is made aware that his or her child is being interviewed and instructs the investigator to stop the interview, the investigator must comply.
Consent for interviews and inspections may be withdrawn at any time and the investigator must comply with any withdrawn consent.
Determining Whether to Seek a Court Order to Interview a Child of a Child Care Provider
Procedure
The investigator must determine whether to seek a court order to conduct an interview, if:
• a provider refuses to allow his or her biological or adopted child to be interviewed; and
• the child’s information could be necessary to determine the outcome of an investigation.
The supervisor includes staff from the DFPS Legal Division in the decision-making process when determining whether to obtain a court order to interview a child.
Documenting a Child Care Provider’s Consent or Refusal
Procedure
If the investigator sought consent to interview the child of a child care provider, the investigator must document in the contact in CLASS whether:
• consent was granted or refused; and
• the completed Form 2898 Consent to Interview Children of Providers is filed in the investigation case file.
Conducting Investigations With Other Entities
Procedure
When conducting an investigation with another entity, such as law enforcement or CPS, Licensing must obtain consent separate from CPS or law enforcement to gain entry to interview a child.
The investigator identifies himself or herself separately by:
• presenting a DFPS-issued ID badge; and
• stating his or her specific role is in the investigation.
If the parent or provider grants consent to CPS or law enforcement, but does not grant consent to Licensing, the investigator must comply with the refusal and conduct other investigation activities.
4430 Interviewing Adults
CCI September 2021
During an investigation, the investigator interviews all of the following people, if possible:
- All alleged perpetrators.
- All adults directly involved in the allegations.
- Other adults who may have witnessed the allegations.
- Other adults who may have knowledge of the allegations.
- Other adults who may be able to provide information about the type of care and supervision provided at the operation.
- Other adults who may be able to provide information about the behaviors, level of functioning, and emotional state of any children involved in the investigation.
- Other adults who may be able to provide information about the child’s previous involvement in abuse or neglect investigations.
See 4432 Interviewing Principal and Collateral Sources.
4431 Interviewing Alleged Perpetrators
CCI September 2021
The investigator conducts a face-to-face interview with each alleged perpetrator, if possible.
If the alleged perpetrator no longer works at the operation, the investigator obtains locating information on the person, including the person’s last known address or phone number.
4431.1 Before Conducting an Interview with an Alleged Perpetrator
CCI July 2024
Before conducting an interview with an alleged perpetrator, the investigator identifies himself or herself and must inform the alleged perpetrator, orally and in writing, about the following:
- The complaints or allegations made against the alleged perpetrator. This information is provided at first contact with the alleged perpetrator, regardless of whether the interview occurs at first contact.
- The alleged perpetrator’s right to make an audio or video recording of the interview for his or her own records.
- The fact that any recording of the interview may be subject to subpoena under a court order.
- The fact that the alleged perpetrator may request and receive a copy of CCI’s policy on recording interviews (see 4410 Recording Interviews).
- The fact that, if CCI finds that abuse, neglect, or exploitation did occur, the alleged perpetrator may request an administrative review of the investigation findings.
The investigator must complete the following:
- Provide two copies of Form 2617 Alleged Perpetrator’s Rights Prior to Interview for the alleged perpetrator’s signature.
- Provide one signed copy of Form 2617 to the alleged perpetrator and upload the other signed copy into neuDocs. If the alleged perpetrator refuses to sign Form 2617, the investigator documents the refusal on the copy uploaded into neuDocs.
- Document in IMPACT that DFPS provided notice orally and in writing.
- If the alleged perpetrator records the interview, the investigator also records the interview and documents the action in the case file.
4431.2 During an Interview with an Alleged Perpetrator
CCI September 2021
During the interview, the investigator makes a reasonable effort to obtain or verify the following information about the alleged perpetrator:
- Full legal name
- Date of birth
- Ethnicity
- Social Security number
- Home address
- Home phone number
If the alleged perpetrator refuses to provide the above information, the investigator requests employee records from the operation to try to obtain and verify the information.
See 2111.2 Exceptions to Notifying the Operation.
4431.3 Interview of an Alleged Perpetrator by Law Enforcement
CCI September 2021
Interview Takes Place Before Intake
If law enforcement has already interviewed the alleged perpetrator about the allegations by the time DFPS receives the intake report, the investigator does all of the following:
- Requests a copy of a recording, a transcript, or detailed documentation of the interview.
- Reviews the recording, transcript, or documentation to assess whether all of the allegations in the intake report were addressed in the interview.
- Documents the interview as a contact in the investigation record, including a summary of the interview and a statement explaining who conducted the interview.
If the investigator determines that CCI needs additional information from the alleged perpetrator, the investigator does all of the following:
- Consults with the supervisor to determine whether another interview should be conducted.
- Determines whether there is an active criminal investigation, if the supervisor agrees that another interview is warranted.
- Coordinates with the Special Investigations Division and the law enforcement agency, if there is an active criminal investigation, before proceeding with the additional interview.
Interview Is Scheduled to Take Place After Intake
If law enforcement has not yet interviewed the alleged perpetrator but must do so before the investigator interviews the alleged perpetrator, the investigator does the following:
- Attends and observes the interview, if possible.
- Requests a copy of a recording or transcript of the interview.
- Documents the interview as a contact in the investigation record, including a summary of the interview and a statement explaining who conducted the interview.
If the investigator is unable to attend the interview, he or she also documents the reason that the investigator did not attend the interview.
4431.4 Alleged Perpetrator Fails to Cooperate with the Investigation
CCI September 2021
If an alleged perpetrator fails to cooperate with the investigation, such as by refusing to be interviewed or failing to respond to the investigator’s attempts to schedule an interview, the investigator notifies the alleged perpetrator of the following:
- The allegations being investigated.
- The fact that the investigator is required to make a determination with or without the alleged perpetrator’s input.
- The possible outcomes of the investigation.
The investigator contacts an uncooperative alleged perpetrator and does both of the following:
- Notifies the alleged perpetrator in person or by phone about the need to schedule an interview.
- Follows up by sending the notification in writing, by regular and certified mail, to the alleged perpetrator’s residential address.
The investigator keeps a copy of the notification in the investigation record.
Alleged Perpetrator Seeks an Attorney
If the alleged perpetrator refuses to be interviewed until after obtaining legal counsel or until an attorney can be present, the investigator allows a reasonable time frame for the alleged perpetrator to make such arrangements.
4432 Interviewing Principal and Collateral Sources
CCI September 2021
Principal and collateral sources in an investigation may include, but are not limited to, the following people:
- Employees of the operation.
- Household members.
- The director, administrator, case manager, or other representative of the operation.
- School personnel, medical personnel, law enforcement, first responders, therapists, or other professionals.
- Parents, guardians, or managing conservators of the alleged victims or the children interviewed.
The investigator interviews as many collateral sources as necessary, depending on the nature and complexity of the investigation.
4440 Requesting a Courtesy Interview
CCI March 2015
Policy
If an alleged victim, alleged perpetrator, or any other principal or collateral is located in a region other than where the investigator is located, the investigator makes a request through his or her supervisor for a Licensing investigator in the region where the person is located to conduct the interview. The investigator conducting the interview is considered to be a secondary investigator, and the interview is considered to be a courtesy interview.
Procedure
If a secondary investigator conducts a courtesy interview, the investigator:
a. advises the secondary investigator of what information and questions to address in the courtesy interview;
b. requests detailed information about the interview, including any recordings or interview notes after the courtesy interview has taken place;
c. maintains contact with the secondary investigator until all information regarding the courtesy interview is received; and
d. documents a summary of the interview as a contact in CLASS, including a statement of who conducted the interview.
The secondary investigator:
• documents the interview in the investigation contacts in CLASS or in an email to the primary investigator who made the request; and
• adheres to all required time frames for conducting the interview.
4450 Interviewing Persons With Limited English Proficiency
CCI December 2012
Policy
Individuals are identified as having limited English proficiency (LEP) when the person cannot read, write, speak, or understand English without assistive language services because he or she:
• does not speak English as their primary language; or
• has a speech or hearing impairment.
During an investigation, the investigator must accommodate any person with LEP by making reasonable efforts to provide information and services in a language or medium that the person can understand through the use of interpreters, translators, readers, or other methods.
Civil Rights Act of 1964, Title VI
Procedure
In order to ensure that a person with LEP is able to communicate with the investigator in his or her primary language or medium, district management must develop procedures for identifying the primary language needs within the district and for providing readily available access to interpreter services. The procedures must ensure that a person with LEP:
• is able to communicate his or her knowledge of or role in the incident being investigated;
• is given information about, and be able to understand, the investigation process, the outcome, and due process rights, if applicable.
4451 Using an Interpreter to Conduct an Interview
CCI December 2012
Procedure
If the investigator is unable to communicate with a person with limited English proficiency (LEP), the investigator must:
• make arrangements for an interpreter to be present during the scheduled interview; or
• contact one of the agency approved interpreter services listed on the DFPS Language Services Web page.
If the investigator arranges for an interpreter to be present during the interview, the investigator must choose an interpreter who does not have a conflict of interest with the investigation and who is:
• professionally trained as an interpreter; or
• a DFPS staff person who is fluent in the person’s primary language.
The investigator must explain to the interpreter that the investigation information must be kept confidential.
4452 Documenting the Use of Interpretation Services
CCI December 2012
Procedure
If an interview was conducted with a person with LEP, the investigator must document any interpreter services that were offered and provided. The contact must include:
a. any offer made by the investigator to provide an interpreter;
b. the acceptance or refusal of interpreter services by person with LEP;
c. the use of an interpreter;
d. the interpreter’s name;
e. the interpreter’s relationship (if any) to the person;
f. the interpreter’s professional affiliation;
g. the use of communication aids (such as a communication board and pictures.); and
h. the investigator’s ability to communicate in the person’s primary language.
If an interpreter was not used, the reason must be documented.
4500 Assessing the Immediate Safety of Children
CCI March 2021
The investigator evaluates the immediate safety of children during every contact with children in care and every visit to the operation or home.
Child Safety
When determining whether a child is currently safe or unsafe, the investigator must evaluate all of the following:
- The nature of the danger.
- The immediacy and severity of the danger.
- The child’s vulnerability.
- The caregiver or operation’s capability to protect the child.
4510 Evaluating the Need for a Safety Plan
CCI March 2021
If the investigator identifies an immediate danger to a child in the care of an operation, the investigator immediately begins to determine the appropriate safety interventions necessary to ensure child safety.
Safety interventions may include:
- Implementing a safety plan.
- Modifying an existing safety plan.
DFPS Rules, 40 TAC §707.717(6)
Safety Plan
A safety plan is a signed, temporary agreement between DFPS and the child care operation or home. It describes specific actions, interventions, or conditions that will occur at the operation or home in order to support the ongoing safety of children while an investigation is being conducted.
Safety plans are used to mitigate conditions or situations at a child care operation or home that are likely to cause or contribute to immediate dangers if no safety intervention is implemented.
Safety plans are unrelated to the expectation that an operation comply with minimum standard requirements established under its license or permit to operate.
Immediate Danger
A danger is immediate if the substantial risk or threat of physical, emotional, or mental harm it presents is happening now, or can be expected to happen within the next few days. An immediate danger may require immediate action. See #CCI_4540">4540 Handling Immediate Danger to Children.
Dangers that are not immediate refer to a risk or threat of harm that has the potential to occur, but is not likely to occur in the near future.
4511 Safety Assessments
CCI March 2021
After visiting the operation or home and interviewing the alleged victims, the investigator completes a safety assessment to do all of the following:
- Document the information obtained at that point in the investigation.
- Determine the presence of any danger indicators.
- Guide decision-making about child safety.
4512 Danger Indicators
CCI March 2021
The investigator considers the presence of danger indicators when evaluating child safety. Danger indicators are conditions, behaviors, or situations that are likely to cause or contribute to immediate danger to the health or safety of children in care. Danger indicators require safety interventions to be implemented to prevent the conditions, behaviors, or situations from escalating to immediate dangers.
The investigator documents the presence or absence of danger indicators during the safety assessment to determine whether a safety plan is needed.
If the safety assessment does not support the presence of danger indicators, but the investigator has concerns that safety interventions are necessary, the investigator staffs with the supervisor to determine if a safety plan may be implemented.
4520 Implementing a Safety Plan
CCI March 2021
The investigator must complete both of the following before implementing a safety plan:
- Face-to-face contact with an alleged victim, if the identity or location of the alleged victim is known.
- Evaluate the operation to assess for danger indicators and immediate danger.
The investigator discusses the threats to child safety with the operation and develops a safety plan to mitigate the danger indicators. The investigator documents the safety plan on Form 3016 Safety Plan and shares the completed form with the operation. Each safety plan must explain all of the following details:
- The actions the operation has agreed to take.
- The timeframe by which each action will be completed, or the dates each intervention is in effect.
- The person who will be present at the operation or home and be responsible for ensuring the operation’s compliance with the plan.
The investigator ensures that each person signing the form understands and agrees to all of the following:
- His or her responsibilities.
- The potential consequences of not complying with the safety plan.
- The actions or circumstances needed to eliminate the need for the safety plan.
4521 Supervisory Review of the Safety Plan
CCI March 2021
Before Implementation
Before implementing a safety plan, the supervisor must approve any safety plan that includes any of the following interventions:
- A person may not have any contact with children in care.
- A person may not serve in a supervisory capacity over other caregivers.
- An operation must temporarily stop operating.
After Implementation
No later than 48 hours after implementing a safety plan, the supervisor must review the plan to ensure it adequately reduces the risk to children in care and includes appropriate documentation.
If the safety plan does not adequately reduce the risk to children in care, the investigator and supervisor must immediately contact the operation and determine appropriate corrections. The safety plan is amended by documenting on a new Form 3016 Safety Plan.
4521.1 Restricting an Alleged Perpetrator’s Contact With Children or Role at the Operation
CCI March 2021
If a person under the auspices of the operation presents a likelihood to cause or contribute to an immediate danger, a supervisor may approve a safety plan that requires either of the following:
- The person may not have any contact with children in care.
- The person may not serve in a supervisory capacity over other caregivers.
4521.2 Requesting That an Operation Stop Operating
CCI March 2021
A supervisor may approve a safety plan that requires an operation to stop operating if any of the following criteria apply:
- An immediate danger to the safety of children in care is present at the operation or home and the permit holder of a regulated operation or the primary caregiver of an illegally operating facility refuses to correct or remove the immediate danger.
- A person under the auspices of the operation poses an immediate danger to the safety of children in care, and the permit holder of a regulated operation or the primary caregiver of an illegally operating facility refuses or is unable to remove the person posing the immediate danger.
- The permit holder of a regulated operation or the primary caregiver of an illegally operating facility poses an immediate danger to the safety of children in care.
4522 Documenting the Safety Plan
CCI March 2021
IMPACT
After the supervisor approves the safety plan, the investigator documents that a safety plan is in effect by entering a contact with the purpose code Gather/Obtain Info. The contact includes a summary of the safety plan and its effective dates.
A copy of the safety plan is filed in the external case file and uploaded in the OneCase application within IMPACT.
CLASS
After the supervisor approves the safety plan, the investigator documents that a safety plan is in effect on the Risk Factors page in the CLASS investigation. The investigator documents a summary of the safety plan, including all of the following:
- The actions the operation has agreed to take to ensure the safety of children, and detailed information explaining how the operation intends to take these actions.
- The date the safety plan is to be implemented and the timeframes for each condition or action.
- The person at the operation responsible for evaluating compliance with the safety plan.
4523 Notifying the Licensing Representative of the Safety Plan
CCI March 2021
No later than 48 hours after the supervisor approves a safety plan, the investigator does the following:
- Notifies the Child Care Licensing representative assigned to the operation.
- Provides the representative with a copy of the safety plan signed by the operation staff.
4524 Operation Refuses to Implement a Safety Plan
CCI March 2021
The investigator works with the operation to determine measures that appropriately mitigate danger indicators.
If the operation refuses to implement a safety plan, or refuses to implement an appropriate safety intervention, the investigator immediately consults with the investigator’s supervisor.
The investigator and supervisor consult with the program administrator and a DFPS attorney, as necessary, to determine appropriate action.
See:
4540 Handling Immediate Danger to Children
4530 Evaluating and Ending a Safety Plan
CCI March 2021
The investigator evaluates the implementation and effectiveness of the safety plan no later than every 15th day from the safety plan’s implementation date, for as long as the safety plan is in effect.
The investigator evaluates for new danger indicators, or danger indicators that are not being effectively managed by the safety plan, while completing any of the following tasks:
- Conducting follow-up visits to the operation or home.
- Conducting follow-up interviews with children, caregivers, or collaterals at the operation.
The investigator’s summary of the evaluation of the safety plan is documented as a separate contact in IMPACT using the purpose code Gather/Obtain Info.
Before ending a safety plan, the investigator must visit the operation or home to complete a final evaluation. The investigator conducts any additional follow-up contacts as necessary to verify all of the following criteria:
- There are no longer any danger indicators at the operation.
- The operation has demonstrated an appropriate capacity to protect children in care on its own without additional safety interventions by CCI.
The investigator must immediately notify the operation if the safety plan may be ended before the documented end date. The investigator must do the following when a safety plan ends before the end date documented on the safety plan form:
- Document a contact in IMPACT and CLASS.
- Notify the Child Care Licensing representative assigned to the operation.
4531 Revising or Extending a Safety Plan
CCI March 2021
If the investigator identifies new immediate dangers, or that immediate dangers are not being effectively managed by the existing safety plan, the investigator must receive supervisory approval to revise or extend the safety plan or the relevant individual safety interventions.
If an existing safety plan is not effectively managing immediate dangers due to the operation’s failure to implement the safety plan, the investigator consults with the investigator’s supervisor (see 4524 Operation Refuses to Implement a Safety Plan).
Any revision or extension of a safety plan or individual safety intervention must be documented on a new Form 3016 Safety Plan. Any time a new safety plan form is completed, all of the following steps must be repeated:
- All signatures must be completed again.
- The completed form is uploaded to the OneCase application in IMPACT.
- The Child Care Licensing representative assigned to the operation must be provided a copy of the completed form.
The reason for the change or extension must be shared with the operation and documented in the electronic case record.
4540 Handling Immediate Danger to Children
CCI March 2017
Procedure
During an inspection or investigation, staff may discover conditions in a regulated or unregulated operation that pose a threat of immediate danger to children because of violations of the minimum standards, administrative rules or statutes.
If this occurs, the inspector or investigator consults with the supervisor, program administrator, or district director to determine whether it is necessary to take one or more of the following actions:
a. Request assistance from Child Protective Services.
b. Request assistance from fire, health, or law enforcement officials.
c. Remain at the operation until parents or managing conservators arrive or the dangerous situation is corrected.
d. Request that the permit holder or person in charge notify parents or managing conservators of the situation. If that person fails to do so, notify the parents or managing conservators.
e. Request that the supervisor report the situation to the appropriate CCL director. The director contacts the legal division and action is taken.
f. Remove the child or children from a residential operation if there is a substantial risk of harm and if the removal is approved by a CCL director.
See 4550 Injunctive Relief
4541 Emergency Release
CCI September 2020
Under certain circumstances, information about an alleged perpetrator may be released before the completion of an investigation. The investigator consults with a DFPS attorney and a Licensing attorney before releasing information before the investigation has been completed. An emergency release may be done when either of the following applies:
- CCI determines that the presence of the alleged perpetrator is an immediate threat or danger to the health, safety, or welfare of the children.
- CCI determines that the information is necessary to allow the operation to safeguard children’s health, safety, or welfare.
The information may be released to the operation at the same time the alleged perpetrator is notified of the emergency release.
4550 Injunctive Relief
CCI December 2009
Policy
Injunctive relief may be requested to:
- obtain a temporary restraining order; or
- obtain a temporary or permanent injunction.
4551 Temporary Restraining Order
CCI December 2009
Procedure
The Licensing attorney may request from the state attorney general a temporary restraining order, valid for 14 days, pending a temporary injunction hearing.
4552 Injunction
CCI December 2009
Policy
The Licensing attorney may request an injunction from the state attorney general. It may be requested at any time if there is substantial risk of immediate harm to the health and safety of children in care, or an operation subject to regulation is operating illegally and has failed to submit an application.
Texas Human Resources Code §42.074
DFPS Rules, 40 TAC §745.8681
Procedure
The inspector:
- makes the decision to request the temporary restraining order (TRO) and injunction with the supervisor, director, and Licensing attorney;
- completes an affidavit as listed in 7637 Emergency Suspension and Closure; and
- sends it to the Licensing attorney along with documentation necessary to show why the operation should cease operating immediately. Form 2883 Affidavit, is available on DFPS Automated Forms.
The Licensing attorney will ask the DFPS liaison with the Attorney General's Office to request an injunction from the Attorney General's Office.
4553 Following Up On an Injunction
CCI December 2009
Policy
After an operation has been served an injunction, the inspector, with the concurrence of the attorney representing DFPS, develops a plan for follow-up.
Procedure
The inspector:
- follows up to determine if the court order is being obeyed. If it is not, the inspector contacts a Licensing attorney; and
- document violations of the court order and sends a copy to the state office Licensing attorney.
The Licensing attorney may file for contempt in district court, when appropriate, for violations of temporary restraining orders, injunctions, and appeals.
4600 Completing the Investigation
CCI January 2014
Policy
All Investigations
The investigation is complete when:
a. all necessary contacts have been made;
b. the safety of the children at the operation has been ensured; and
c. findings (compliance with or violations of statute, administrative rules; and minimum standards) have been determined.
Non-Abuse or Neglect Investigations
Notification letters must be sent before the investigation is complete. Completion dates for non-abuse or neglect must be the same as or later than the notification sent dates.
See 4300 Conducting the Investigation.
4610 Time Frames for Completion of the Investigation
CCI August 2020
Investigations must be completed within 30 days of the date and time the intake report was made, regardless of the investigation priority.
For an abuse, neglect, or exploitation investigation, the date in the Investigation Complete field on the Investigation Conclusion page in CLASS must match the date the investigation is submitted to the supervisor for approval in IMPACT.
The investigator must obtain supervisory approval through a staffing if the time frame for completion cannot be met.
See Appendix 4000-1: Time Frames for Investigations.
4611 Extending Time Frames for Completing an Investigation
CCI August 2020
Before the supervisor approves an extension, the investigator and supervisor must conduct a case staffing by the 25th day after the intake, to allow the supervisor time to review the investigation and ensure the reason for the extension request meets criteria in 4611.1 Criteria for Requesting Additional Time to Complete the Investigation. The supervisor may extend the time frame for completion by seven, 14, 21, or 30 days, depending on what crucial information or investigative tasks are needed.
The investigator uses Form 2920 Child Care Investigations Case Staffing Form for all case staffings for which a staffing form is used and must keep the form in the external case file.
The request for an extension must be approved or rejected by the 30th day after the intake. The supervisor documents the staffing and extension determination according to 4611.2 Documenting an Extension.
If the supervisor denies the extension, the investigator must submit the investigation to the supervisor for approval in IMPACT no later than the 30th day after the intake.
4611.1 Criteria for Requesting Additional Time to Complete the Investigation
CCI January 2021
An extension is approved only when an investigation cannot be completed because of circumstances beyond the investigator’s control, such as unavoidable delays in obtaining information that is essential to reach a disposition to the allegations.
A supervisor may extend the time frame for completion if any of the following apply:
- Information from an external agency, such as a medical examiner or law enforcement has been requested but not provided, and the information is essential to reach a disposition.
- An interview with the alleged perpetrator or other principal source involved in the investigation has been delayed due to circumstances beyond the investigator’s control.
The investigator or supervisor obtains approval from the CCI program administrator to receive an extension for any other reason.
An extension should not be approved for the following reasons:
- The absence of an investigator.
- A staff shortage.
4611.2 Documenting an Extension
CCI August 2020
The extension request and approval must be documented in IMPACT and CLASS.
In IMPACT, the investigator completes the extension request by creating a contact on the Contacts/Summaries page and selecting Extension Request from the Contact/Summary Type drop-down menu. Once the investigator has requested an extension, a task will appear on the supervisor’s Staff To-Do List for Approve Contacts/Summaries. The supervisor documents the approval or rejection on the Approval Status – Approve Contacts/Summaries page.
In CLASS, the supervisor documents the approval of an extension by completing the required information in the Supervisor Extension Approval field. The narrative box must include the reason for the extension and the date the extension expires.
4611.3 Obtaining an Additional Extension
CCI August 2020
A supervisor may extend the first extension for the same reasons stated in 4611.1 Criteria for Requesting Additional Time to Complete the Investigation. The following requirements apply:
- This additional extension may be granted for seven, 14, 21, or 30 days.
- Subsequent extensions must be requested by the investigator, staffed, and approved by the supervisor no later than the first calendar day after the current extension expires.
- The investigator enters the subsequent extension request in IMPACT.
- The supervisor enters a contact in CLASS on the Investigation Conclusion page approving the subsequent extension and approves the extension request in IMPACT.
During the extension period, the investigator must attempt to obtain the necessary information for completing the investigation at least once per week and document what efforts were made to obtain the information.
If an extension is needed beyond the second extension, the supervisor must consult with the CCI program administrator to obtain approval for a third or later extension. The CCI program administrator documents the approval in CLASS as a contact and approves the extension in IMPACT.
4611.4 Time Frame for Supervisor to Approve or Reject an Extension Request
CCI February 2021
The supervisor must approve or reject a request for an extension, and document the reason for the approval or rejection, within 5 days from the date the investigator submits the request.
The supervisor documents the approval or rejection according to 4611.2 Documenting an Extension.
4620 Possible Dispositions
CCI October 2020
At the end of the investigation, the investigator assigns a disposition in IMPACT to each allegation in order to do the following:
- Specify conclusions about whether the incident being investigated is abuse, neglect, or exploitation.
- Determine the overall disposition for the investigation, including any additional allegations that surfaced during the investigation.
- Determine the role for each person involved in the investigation, including any new victims or perpetrators identified during the investigation.
IMPACT and CLASS provide the following dispositions for CCI cases:
- Reason to Believe (RTB) — A preponderance of evidence indicates that abuse, neglect, or exploitation occurred. If the disposition for any allegation is Reason to Believe, the overall case disposition is Reason to Believe.
- Ruled Out (R/O) — A preponderance of evidence indicates that abuse, neglect, or exploitation did not occur. If the dispositions for all allegations are Ruled Out, the overall case disposition is Ruled Out.
- Unable to Determine (UTD) — A determination could not be made because of an inability to gather enough facts. The investigator concludes that there is not a preponderance of evidence that abuse, neglect, or exploitation occurred, but it is not reasonable to conclude that abuse, neglect, or exploitation did not occur. If the disposition for any allegation is Unable to Determine, and there is no allegation with a disposition of Reason to Believe, the overall case disposition is Unable to Determine.
- Administrative Closure (ADM) — The allegations are not appropriate for investigation by CCI. If the dispositions for all allegations are Administrative Closure, the overall case disposition is Administrative Closure. See 4625 Allegations That Merit Administrative Closure.
4621 Elements of Abuse, Neglect, and Exploitation
CCI August 2020
DFPS has defined types of abuse, neglect, and exploitation, based on the definitions in Texas Family Code §261.001, which are further defined in 40 TAC §§707.787 – 707.801, to determine whether abuse, neglect, or exploitation has occurred. Abuse, neglect, or exploitation has occurred only if all four elements of the relevant definition have been met.
40 TAC §§707.787 – 707.801 to document the disposition of allegations in abuse, neglect, or exploitation investigations. The preponderance statement addresses all four elements of the finding.
Elements of Physical Abuse
The four elements of physical abuse are:
- An act or omission
- By a person working under the supervision of an operation
- That causes or may cause physical injury resulting in substantial harm, or the genuine threat of substantial harm
- To a child whom the operation serves.
Elements of Emotional Abuse
The four elements of emotional abuse are:
- An act or omission
- By a person working under the supervision of an operation
- That causes or may cause mental or emotional injury that results in an observable and material impairment to the growth, development, or psychological functioning
- Of a child whom the operation serves.
Elements of Sexual Abuse
The four elements of sexual abuse are:
- An act or omission
- By a person working under the supervision of an operation
- Engaging in, failing to prevent, compelling, or encouraging sexual conduct harmful to the mental, emotional, or physical welfare
- Of a child whom the operation serves.
Elements of Neglect
The four elements of neglect are:
- An act or omission that is a breach of a duty
- By a person working under the auspices of an operation
- That causes or may cause substantial emotional harm or substantial physical injury
- To a child.
Elements of Exploitation
The four elements of exploitation are:
- The illegal or improper use
- Of a child or of the resources of a child
- For monetary or personal benefit, profit, or gain
- By a person working under the auspices of an operation.
DFPS Rules, 40 TAC §§707.787 – 707.801
4622 Roles of Persons Involved in the Investigation
CCI August 2020
When the investigator enters a disposition for each allegation on the Allegation List page in IMPACT, IMPACT automatically assigns the following roles to persons, depending on the disposition selected:
- Designated Victim (DV) — Based on a preponderance of the evidence, the investigator concludes that the child was abused, neglected, or exploited, as defined in the Texas Family Code §261.001(1), (3), or (4). A child has the role of Designated Victim when he or she is named as a victim in an allegation that has a disposition of Reason to Believe.
- Designated Perpetrator (DP) — Based on a preponderance of the evidence, the investigator concludes that the person is responsible for abuse, neglect, or exploitation of a child and worked under the auspices of the operation at the time of the abuse, neglect, or exploitation. A person has the role of Designated Perpetrator when he or she is named as a perpetrator in an allegation that has a disposition of Reason to Believe.
- Unknown, in an Unable to Determine (UTD) disposition — The investigator could not conclude in the investigation whether an alleged perpetrator was responsible for the alleged abuse, neglect, or exploitation. The investigator could not determine who inflicted the alleged abuse, neglect, or exploitation on the alleged victim. A person has the role of Unknown (Unable to Determine) when he or she is named as a victim or perpetrator in an allegation that has a disposition of Unable to Determine but is not named in another allegation that has a disposition of Reason to Believe.
- No Role (NO) — This applies when any of the following applies:
- A child who was originally alleged to be a victim was found not to have been abused, neglected, or exploited.
- A person who was originally alleged to be a perpetrator was found not to have abused, neglected, or exploited any children.
- All the allegations in which the person was named as a victim or perpetrator were administratively closed.
- The person was not alleged to be a victim or perpetrator in the investigation.
4623 Assigning the Severity to a Reason to Believe Disposition
CCI April 2022
For each allegation with a disposition of Reason to Believe, the investigator determines the severity of the abuse, neglect, or exploitation that occurred.
If the investigator concludes that abuse, neglect, or exploitation has occurred, the investigator chooses the appropriate severity level for each allegation on the Allegation page in IMPACT, as described in the table below.
Severity Level |
When to Assign |
---|---|
Fatal |
The child died as a result of abuse or neglect. |
Moderate |
Either of the following applies:
|
Near Fatal |
The abuse or neglect resulted in an injury or illness that likely would have caused the child’s death if the child had not gotten medical attention. |
Serious |
The abuse or neglect resulted in an injury or illness requiring surgery, hospitalization, or continued medical treatment (for example, a broken bone). However, it did not threaten the child’s life, overall health, or well-being. This is a lower level of harm than Severe. |
Severe |
Either of the following applies:
This is a higher level of harm than Serious. |
A supervisor may approve assigning a higher or lower severity level, based on the circumstances of the investigation.
4624 Issuing a Finding of Abuse, Neglect, or Exploitation When the Perpetrator Cannot Be Determined
CCI August 2020
If it is found that a child is abused, neglected, or exploited, and the perpetrator cannot be determined, the investigator does the following:
- Enters a disposition of Reason to Believe for the victim on the Allegation Detail page in IMPACT.
- Does not select a name or Unknown for the perpetrator on the Allegation Detail page. The Perpetrator field is left blank on the Allegation List page in IMPACT. Staff must not create an Unknown person in the IMPACT Person List.
In some situations, it may be appropriate to designate the director or administrator as the perpetrator.
4625 Allegations That Merit Administrative Closure
CCI October 2020
An investigator may assign the Administrative Closure disposition to an individual allegation or to all allegations in an investigation.
Individual Allegation
The investigator assigns the Administrative Closure disposition to an individual allegation when the investigation reveals that there are no grounds for CCI to continue investigating that allegation.
Examples of this situation include the following:
- A person was included in the intake mistakenly.
- A person was named as an alleged perpetrator but does not meet the definition for a person considered responsible for a child’s care, custody, or welfare in a child care operation.
- CCI does not have the authority to investigate the individual allegation.
Texas Family Code §261.001(5)(F)
All Allegations
The investigator assigns the Administrative Closure disposition to all the allegations when any of the following criteria are met:
- The information gathered by the investigator reveals that another DFPS division, another state agency, or law enforcement has investigative jurisdiction.
- The information gathered by the investigator reveals that all the allegations have already been investigated in a closed CCI investigation, and there are no new allegations.
- There is insufficient information available to identify the alleged victims, the alleged perpetrators, and the child care operation, and there is no principal or collateral who can provide this information.
When all allegations are assigned a disposition of Administrative Closure, the investigator follows procedures for submitting the investigation for administrative closure (see 4625.1 Investigator Responsibilities When Recommending an Administrative Closure).
4625.1 Investigator Responsibilities When Recommending an Administrative Closure
CCI October 2020
Before submitting the investigation to a supervisor, the investigator must document all contacts, case actions, and supervisor consultations as required in 2240 Documenting the Investigation and 4710 Submitting an Investigation.
The documentation must include the reason an Administrative Closure disposition is appropriate, including all supporting information gathered.
On the Allegation Detail page for each allegation, the investigator selects Admin Closure from the Disposition drop-down menu.
4625.2 Supervisor and Program Administrator Responsibilities When Approving an Administrative Closure
CCI October 2020
If the supervisor agrees that the investigation merits administrative closure, the supervisor reviews the investigation documentation for completion, as described in 4720 Reviewing an Investigation (this also applies to exploitation investigations). On the Licensing Investigation Conclusion page in IMPACT, the supervisor ensures the selected Overall Disposition is Admin Closure.
The supervisor consults with the program administrator for approval to administratively close the investigation. If approved, the program administrator documents the approval in a contact narrative before the supervisor closes the Investigation stage in IMPACT.
See also 4740 After an Investigation Is Approved (also applies to exploitation investigations).
4700 Submitting and Approving Investigations
4710 Submitting an Investigation
CCI September 2024
The investigator submits the investigation to the supervisor for approval in IMPACT on the same day the investigation is completed (see 4600 Completing the Investigation). This date is no later than 30 days after the date DFPS received the intake (or no later than the time frame of an extension, if applicable).
Before submitting the investigation, the investigator makes sure all documentation is completed (see 2240 Documenting the Investigation) and enters the completion date in the Investigation Completed field in IMPACT.
If a supervisor conducted any investigative actions (such as conducting interviews or implementing a safety plan) or is listed as the primary worker for an investigation, the supervisor submits the investigation to a program administrator for review and approval.
A supervisor is not considered to have conducted investigative actions if he or she only documented contacts as part of supervisory responsibilities. This includes but is not limited to documenting staffings or safety plan approvals, or documenting contacts with principals or collaterals regarding a complaint.
4720 Reviewing an Investigation
CCI September 2024
The supervisor takes one of the following actions no later than five days after the investigator submits the investigation:
- Rejects the investigation.
- Approves and closes the investigation.
- Submits the investigation to a secondary approver, if required. (see 4721 Investigations Requiring Secondary Approval).
The supervisor may correct minor documentation errors prior to approving and closing an investigation. Minor documentation errors involve administrative actions that are necessary to maintain the accuracy of the electronic case record but do not involve completing additional investigative actions. This includes completing any of the following to resolve documentation errors:
- Person merges.
- Case merges.
- Editing documentation for minor grammatical, spelling, or formatting corrections.
- Uploading clearer or more legible copies of documents to the electronic case record.
4721 Investigations Requiring Secondary Approval
CCI April 2022
The investigator must submit an investigation for secondary approval if it meets any of the following criteria:
- Child fatality.
- Near fatality.
- Sexual abuse allegation with a disposition of Reason to Believe (RTB).
- Physical abuse allegation with a disposition of RTB, if at least one of the following applies:
- The physical abuse resulted in a serious injury (such as, but not limited to, broken bones or injuries requiring surgery or hospitalization).
- The physical abuse was the result of an alleged perpetrator’s substance use.
- Any allegation with a disposition of RTB, if an operation’s administrator or controlling person is a designated perpetrator. This does not include the owner or permit holder of a listed or registered child care home.
- Overall disposition of Unable to Determine.
- The investigator or supervisor has already consulted with the Complex Investigations Division about this investigation.
- Multiple Referral (M-REF) indicator in IMPACT. See 5120 Multiple Referral Investigations.
4722 Submitting an Investigation for Secondary Approval
CCI July 2021
A staff member in the Complex Investigations Division (CID) is assigned as secondary approver on any investigation that meets the criteria in 4721 Investigations Requiring Secondary Approval.
The supervisor assigns an investigation for secondary approval by sending an email to the designated complex investigation analyst for the region with the subject line “Request for Secondary Approval.”
The complex investigation analyst takes one of the following actions no later than five days after the investigation has been submitted for secondary approval:
- Reject the investigation.
- Approve and close the investigation.
Rejected Investigations
If the complex investigation analyst rejects an investigation because additional actions are required to ensure child safety, the complex investigation analyst documents the required actions in a contact in IMPACT.
When the required actions are completed, and the supervisor approves the investigation for closure, the supervisor again assigns the investigation to the complex investigation analyst for final approval. The complex investigation analyst verifies that all required actions have been completed and documented in the investigation record.
4730 Rejecting and Resubmitting an Investigation
CCI July 2021
When rejecting an investigation, the supervisor or secondary approver marks each applicable reason for rejecting the investigation on the Investigation Conclusion page and enters the date of the rejection in IMPACT.
An investigation may be rejected for the following reasons:
- The documentation is incomplete or has inaccuracies.
- Additional principals must be interviewed.
- The preponderance of evidence statement does not support the disposition.
- There is necessary external documentation that has not been obtained, has not been documented, or both.
- Additional collateral or professional contacts are needed.
- History of abuse or neglect is not documented.
- The documentation does not address all allegations.
- The person list is not complete.
If the supervisor or secondary approver rejects the investigation for a reason other than those listed above, the reason for the rejection must be entered in the Comments field.
The supervisor or secondary approver is not required to reject an investigation in IMPACT for the following reasons:
- Minor documentation errors that the investigator or supervisor can easily correct.
- Required investigation activities were not completed, but conducting the activities would not change the preponderance of the evidence.
At the time the investigation is rejected, the supervisor or secondary approver gives the investigator specific feedback on what information must be corrected and a specific time frame for resubmitting the investigation.
At the time of resubmission, the investigator updates the completion date in the following fields to reflect the new date the completed investigation is being submitted to the supervisor:
- Investigation Complete in CLASS.
- Documentation Complete in CLASS.
- Investigation Completed in IMPACT.
4740 After an Investigation Is Approved
CCI July 2021
Within five days after the supervisor or secondary approver approves the investigation in IMPACT, the investigator or designee finalizes and mails the notification letters (see 2130 Notifying Relevant Parties of the Results of an Investigation).
Child Care Regulation (CCR) closes the investigation in CLASS after due process for any citation is complete.
4741 Reopening a Closed Investigation
CCI March 2024
CCI may reopen a closed investigation only if both of the following apply:
- The reason for reopening is to further investigate or to make a finding of abuse, neglect, or exploitation.
- The reopening occurs within the first 60 days after the investigation’s closure date.
Reopening a closed investigation requires approval from a division administrator. An investigation may be reopened within 60 days of closure if continued investigation is necessary for any of the following reasons:
- Continued investigation is required to determine whether abuse, neglect, or exploitation has occurred.
- Continued investigation is required to determine safety or risk to a child.
- Continued investigation is required because evidence gathered from a professional becomes available and supports further investigation and a change in disposition or a decision about child safety.
After 60 days from the date the investigation was closed, DFPS may not reopen the investigation to find that abuse, neglect, or exploitation occurred or to change a finding that abuse, neglect, or exploitation occurred.
4741.1 Required Notification When an Investigation Is Reopened
CCI March 2024
Residential Child Care Investigation
If an RCCI investigation is reopened, the investigator who is assigned to the reopened case notifies the following people and mailboxes within 24 hours after the reopening:
- The CCI investigator who was assigned to the case before it was reopened. However, if the operation is on Heightened Monitoring, this notification is sent to the Heightened Monitoring mailbox instead.
- The Residential Contracts Investigation Summary mailbox.
- The Child Care Regulation (CCR) inspector assigned to the operation.
- The supervisor of the assigned CCR inspector.
The investigator who is assigned to the reopened case also does the following:
- Sends the additional notifications that are made at the beginning of an RCCI investigation.
- Follows policy in 2110 Notifications Made at Beginning of Investigation.
Day Care Investigation
Within 24 hours after a DCI investigation is reopened, the investigator who is assigned to the reopened case sends all notifications that are made at the beginning of a DCI investigation. See 2110 Notifications Made at Beginning of Investigation.
DFPS Rules, 40 TAC §745.8441
RCCI or DCI Disposition Is Changed
If CCI changes the disposition of an allegation or allegations, the investigator regenerates the required disposition and notification letters in IMPACT and resends them. The investigator must also update all prior case closure notifications in IMPACT and resend them. See 2130 Notifying Relevant Parties of the Results of an Investigation and its subitems.
4741.2 Required Notification When Changes Are Made to a Closed Investigation
CCI March 2024
When CCI makes changes to a closed case, the investigator emails a transfer notification to the following people (and mailbox, if applicable):
- The CCR inspector assigned to the operation.
- The supervisor of the assigned CCR inspector.
- The Residential Contracts Investigation Summary mailbox, if the operation accepts placements of children in DFPS conservatorship.
CCI must complete Form 2957 Notification of Changes Made to Closed Investigation and must send the completed form to the following people to notify them of any edits or corrections (other than spelling corrections, grammar corrections, and data corrections) that CCI makes to a closed investigation:
- The victim child’s parent or legal guardian.
- The reporter.
- The alleged perpetrator.
- The attorney representing the child’s parent or legal guardian, if the parent or legal guardian is represented by an attorney.
- The attorney ad litem for the child, if the child has one.
- The guardian ad litem for the child, if the child has one. This includes a volunteer advocate, if applicable.
- Any other person the court determines has an interest in the child’s welfare.
CCI must upload a copy of the completed Form 2957 Notification of Changes Made to Closed Investigation into OneCase.
DFPS Rules, 40 TAC §745.8441