5000 Special Topics

5100 Administrators and Other Persons in Charge as Perpetrators

5110 Repeated Allegations Involving the Same Operation or Person in Charge

CCI November 2020

When determining the findings, the investigator reviews the prior investigation history at the operation or at other operations supervised by the same administrator, director, owner, or other person in charge.

If abuse, neglect, or exploitation that is the same as, or similar to, the current allegations has been alleged under the supervision of the same person in charge, the investigator evaluates whether the person in charge failed to make a reasonable effort to prevent the allegations from reoccurring.

CCI may investigate as neglect a negligent act or omission by a person in charge that fails to correct behavior at the operation that causes or may cause substantial emotional harm or substantial physical injury to a child.

The investigator adds the person in charge as an alleged perpetrator of neglect in the current investigation, if both of the following apply:

CCI investigated the operation for the same or similar allegations in the 12 months before the current investigation began.
The same person in charge was in a supervisory or administrator role during the earlier investigation.

During the investigation assignment conference and review of history, the investigator and supervisor must discuss the roles that the operation’s leadership may have in the allegations and how the person in charge could affect the safety and well-being of children at the operation.

If concerning trends or patterns are identified in this review, the supervisor and investigator must add an allegation of neglect by the operation’s leadership, so that CCI can formally consider the role the leadership may play in failing to intervene or failing to remove children from situations that cause or may cause abuse, neglect, or exploitation.

5120 Multiple Referral Investigations

CCI June 2021

A multiple referral (M-Ref) indicator is populated on the case summary page in IMPACT when an intake report is received for an operation that has had a high frequency of investigations in the recent past.

Upon receipt of a multiple referral investigation, the CCI supervisor or designee contacts the CCI’s Complex Investigation Division (CID) to initiate a multiple referral review.

CID staff reviews the operation’s investigative history to determine whether additional actions or allegations must be included in the investigative tasks.

Within five calendar days from the date of the intake report, CID will complete the review, document the results of the review as a contact in IMPACT, and email the results of the review to the investigator and supervisor.

As a result of the review, CID may add an administrator, signatory authority, or other person in charge at an operation as an alleged perpetrator of neglectful supervision in the investigation.

For any alleged perpetrator added to the investigation by CID, the investigator must evaluate whether there is a preponderance of evidence that the actions of the person added as an alleged perpetrator meets the criteria for neglect in 40 TAC §707.801(b)(1)(K), (L), and/or (M). This statute includes the following acts or omissions:

(K) Repeated (two or more) violations of any law, rule, or minimum standard, after notice and an opportunity to correct the violation, that may cause substantial emotional harm or physical injury to a child.

(L) Failure to comply with an individual treatment plan, plan of service, or individualized service plan that causes substantial emotional harm or physical injury to a child.; and

(M) Repeated failures (two or more) to comply with an individual treatment plan, plan of service, or individualized service plan, after notice and an opportunity to correct the failure, that may cause substantial emotional harm or physical injury to a child.

After the investigation is approved by a supervisor, the investigation must be routed to the Complex Investigation Division (CID) for secondary approval.

5200 Handling Obstruction of an Investigation

5210 Obstruction by the Operation

CCI March 2017

Procedure

If operation staff refuse, delay, or obstruct investigation attempts after being told the purpose of the investigation, Licensing staff inform the person in charge that Licensing staff have authority to investigate under applicable laws.

The operation must allow the investigator access to all children in care, staff, records, the physical plant, and any other information needed to conduct the investigation.

DFPS Rules, 40 TAC §§745.8401; 745.8415 ; 745.8417

Human Resources Code §42.04412

Enforcement action may be taken against the operation if the person in charge of the operation refuses, prevents, or delays the inspection or investigation.

DFPS Rules, 40 TAC §745.8425

5220 Obstruction by the Alleged Perpetrator

CCI March 2013

During the investigation, an alleged perpetrator may request clarification about the status of the investigation or file a complaint about the conduct of the investigation. If this occurs, the supervisor must conduct an informal review within 15 days after receiving the request or complaint. The review may not be used to delay or obstruct the investigation.

Texas Family Code §261.309(b)

5230 Obstruction by Regulated Operations

CCI March 2013

If a regulated operation obstructs the investigation, the investigator leaves an Inspection Form (Form 2936) citing HRC §42.04412(a) for obstruction of an investigation, violation of Licensing rules allowing inspection, and the possible consequences of the violation.

5240 Obstruction by Unregulated Operations

CCI March 2013

In an unregulated operation, the investigator notifies the person in charge of Licensing’s authority to investigate under the law. If the person remains uncooperative, the investigator leaves the operation. If possible, the investigator documents:

a. any evidence of violation of the Human Resources Code or Texas Administrative Code;

b. any observed hazards to children or situations that would be a violation of standards if the operations were registered or licensed; and

c. any child care practice that puts children at risk.

5300 Investigating Fatal or Near Fatal Injuries

5310 Investigation of a Child’s Death

CCI April 2022

If a child dies while in the care of an operation subject to regulation by Child Care Regulation, CCI investigates to determine whether abuse or neglect was a factor in the child’s death.

The investigator coordinates the investigation with the following people and entities, as applicable:

The law enforcement agency investigating the child’s death.
The district attorney or other prosecuting attorney, if an arrest occurs or charges are taken to a grand jury.
The medical examiner, if an autopsy was or is performed.
The justice of the peace, if an inquest was or is held.
The child’s primary caseworker.
CPI special investigators.

If the death occurred while the child was in the care of an operation that is alleged to be operating illegally (without a permit or license), the investigator first determines whether the operation is subject to regulation. Then, the investigator does one of the following:

If the operation is subject to regulation, the investigator investigates the death.
If the operation is not subject to regulation, the investigator follows the requirements in 1152 Determining Whether an Operation Is Subject to Regulation.

5311 Actions in the First 24 Hours

CCI June 2021

Within 24 hours of receiving an intake report indicating that a child in care has died, the investigator does all of the following:

Ensures that the victim’s details are entered in IMPACT.
Ensures that the Fatality Information section of the victim’s Person Detail page is completed in IMPACT with preliminary information.
Ensures an appropriate allegation is indicated to be a Child Fatality Allegation on the Allegation Detail page in IMPACT.
Requests a joint investigation with the CPI Special Investigations division prior to initiating the investigation.
Notifies law enforcement.
Notifies the medical examiner, as applicable.
Notifies the Complex Investigations Division.
Initiates the investigation.
Evaluates the safety of any other children in care.

After notification from the investigator, the Complex Investigations Division assesses the operation’s history and completes the preliminary Child Death Report (Form 2899e) in CLASS.

See:

1311 CPI Special Investigators

4510 Evaluating the Need for a Safety Plan

4250 Risk Assessment of Regulatory History

2110 Notifications Made at Beginning of Investigation

4310 Initiating the Investigation

5311.6 Completing the Preliminary Child Death Report (Form 2899e) in CLASS

5311.1 Entering Person Details in IMPACT

CCI June 2021

The investigator enters all of the following information about the deceased child on the Person Detail page, if the information is not already entered in the intake report:

The child’s name.
The child’s gender.
The child’s date of birth (or the child’s approximate age, if the date of birth is unknown).
The date of the child’s death (must be entered to activate the Fatality Information section).

5311.2 Answering the Question About the Child Fatality Allegation in IMPACT

CCI June 2021

The investigator reviews each allegation on the Allegation Detail page that involves the deceased child as an alleged victim and answers the question about the child fatality allegation as follows:

If the allegation is not related to the child’s death, the investigator selects No.
If the allegation possibly caused or contributed to the child’s death, the investigator selects Yes.

5311.3 Assessing the Safety of Other Children in Care

CCI June 2021

During the investigation of a fatality, the investigator must assess the safety of any other children in care. The investigator determines whether there is immediate danger to those children.

The investigator must document in the investigation record a completed safety assessment within 24 hours and determine if a safety plan or other safety intervention is necessary to protect the other children in care.

See 4500 Assessing the Immediate Safety of Children.

5311.4 Notifications of a Child’s Death

5311.41 Notifying Law Enforcement About a Child's Death

CCI August 2014

The investigator contacts law enforcement to request a joint investigation.

See 1320 Law Enforcement.

5311.42 Notification Regarding the Death of a Child Younger Than Age 6

CCI August 2014

If a child younger than age 6 dies, the investigation caseworker reports the death to the medical examiner of the county in which the death occurred. The death must be reported to the medical examiner whether or not the death is alleged to be the result of abuse or neglect.

Exceptions:

• If the child dies as the result of a motor vehicle accident, the caseworker is not required to report the death.

• If the county does not have a medical examiner, the caseworker must report the death to a justice of the peace in the county in which the death occurred.

Texas Family Code §264.513

5311.43 Notifications Within DFPS

CCI June 2021

Within 24 hours of being notified about a child’s death, the investigator notifies the Complex Investigations Division (CID) by email.

CID does the following:

Reviews the investigation information currently available.
Completes and sends the Child Death Report (Form 2899e) in CLASS, noting the preliminary cause and manner of death.
Notifies other DFPS programs and departments, as needed.

See 5311.6 Completing the Preliminary Child Death Report (Form 2899e) in CLASS.

5311.5 Entering Preliminary Findings Related to a Child's Death

CCI June 2021

The investigator enters into IMPACT the information that is known within the first 24 hours after being notified of the child’s death. The investigator may update the information as the investigation progresses and upon completion of the investigation.

The investigator makes the following selections in the Fatality section on the Person Detail page in IMPACT, as explained in the table below:

From the drop-down-menu titled …	the investigator chooses the following …
Manner of Death	Pending investigation, unless the manner of death is known at the beginning of the investigation. In that case, the investigator chooses either natural causes or unnatural causes, whichever best describes the cause of death.
Cause of Death	The specific disease, illness, or injury that best describes the cause of death.
Reason for Death (CPS)	Not A/N Related.
Reason for Death (Non-CPS)	Left blank until the investigation can be disposed.
Findings	Preliminary.
Death Certificate/Autopsy	Pending.

5311.6 Completing the Preliminary Child Death Report (Form 2899e) in CLASS

CCI June 2021

Within five calendar days of the date of an intake report regarding a child’s death, Complex Investigations Division (CID) staff does both of the following:

Completes a preliminary version of the Child Death Report in CLASS.
Sends a copy of the report to appropriate DFPS staff.

The child fatality information entered in IMPACT automatically transfers to the Preliminary Child Death Report in CLASS. The investigator may update the information in IMPACT as the investigation progresses.

To complete the Child Death Report in CLASS, CID staff does all of the following:

Selects the Preliminary radio button.
Enters the case name of the IMPACT investigation.
Enters a summary of the allegations in the narrative box Brief Incident Summary.

The summary of the allegations includes the information that is known, up to that point, about the circumstances surrounding the child’s death, including all of the following:

Where the incident occurred.
Who was present.
The events leading up to the child’s death.
The suspected cause of the child’s death, if known.

5312 Staffing an Investigation of a Child's Death

CCI June 2021

During the course of an investigation involving the death of a child, the investigator keeps the supervisor apprised of all investigation-related activities.

The investigator must conduct a minimum of one interim staffing with the supervisor and the special investigator no later than the 5th day after the intake report is received. See 4122 Interim Staffing With Supervisor.

Upon completion of the investigation, a final staffing includes all of the following individuals:

The investigator.
The supervisor.
The program administrator.
The DFPS attorney, as needed.

5313 Documenting the Investigation of a Child’s Death

CCI June 2021

The investigator documents the investigation according to the requirements for abuse and neglect investigations.

See:

2240 Documenting the Investigation

2220 Maintaining an Investigation File

5314 Completing the Investigation of a Child's Death

CCI June 2021

When the investigator has completed all investigation activities, and sufficient evidence has been gathered to reach a disposition, the investigator consults with the supervisor. The investigator and supervisor determine the disposition. The Complex Investigations Division (CID) conducts a secondary review and approves the investigation.

The investigator updates documentation about the child’s death in both IMPACT and CLASS.

If the final autopsy report or death certificate has not been received when the investigation is completed, the investigator enters the preliminary autopsy findings. The investigator requests, on agency letterhead and by email or mail, that the final autopsy report or death certificate be sent when it is available. The investigator documents this request in a contact in IMPACT and CLASS and uploads a copy of the request to the OneCase application within IMPACT.

If the final autopsy report or death certificate is received after the investigation has been closed, it is uploaded to OneCase and documented in the investigation as a closed stage addendum.

5314.1 Documenting the Cause of a Child’s Death

CCI June 2021

At the conclusion of the investigation, the investigator updates the reason for a child’s death under the Non-CPS Reason for Death drop-down menu on the Person Detail page in IMPACT.

The table below explains the Reason for Death codes used under the Non-CPS Reason for Death drop-down menu.

The investigator chooses a Reason for Death code for abuse or neglect, if all of the following apply:

The disposition is Reason to Believe.
The severity is Fatal.
The answer is Yes to the IMPACT question Is this a child fatality allegation?

The reason for death entered in IMPACT automatically transfers to the Investigation Victim and Parent Details page in CLASS.

The Reason for Death Code	Applicable Dispositions	Circumstances Surrounding the Child's Death	Involvement With DFPS
NAB Not Abuse/Neglect Related	Any disposition, as long as the severity is not Fatal (that is, as long as the abuse or neglect was not the cause of death).	Either of the following: A cause other than abuse or neglect. There is not enough evidence to confirm abuse or neglect.	The child or perpetrator was or is involved with a DFPS investigation.
ABN Abuse/Neglect In Open Case	RTB - Fatal	The child died due to abuse or neglect.	An unrelated investigation involving the child was open when a report of the child's death was received.
ABO Abuse/Neglect In Closed Case	RTB - Fatal	The child died due to abuse or neglect.	Both of the following are true: The deceased child was a victim in a prior investigation or the person responsible for the death (the designated perpetrator) was an alleged or confirmed perpetrator in a closed investigation conducted by CCI. There was no open investigation involving the child when the report of the child’s death was received.
ABP Abuse/Neglect and No Prior Case	RTB - Fatal	The child died due to abuse or neglect.	Both of the following are true: The child and designated perpetrator have not been involved with a DFPS investigation. There was no open investigation involving the child when the report of the child’s death was received.

5314.2 Assigning the Severity of Allegations When a Child Dies

CCI June 2021

If the investigator concludes that abuse or neglect caused or contributed to a child’s death, the investigator does as follows in IMPACT on the Allegation page:

Assigns the disposition as Reason to Believe.
Assigns the severity as Fatal.

If the investigator concludes that abuse or neglect has occurred but did not cause or contribute to the child’s death, the investigator does as follows in IMPACT on the Allegation page:

Assigns the disposition as Reason to Believe.
Assigns the severity as Mild, Moderate, or Serious (the investigator does not assign the severity as Fatal).

5314.3 Final Medical Examiner's Findings

CCI June 2021

After the death certificate or autopsy is received, the investigator updates the manner and cause of death, if needed, and does the following on the Fatality Information section on the Person Detail page in IMPACT:

Selects Final from the Findings drop-down menu.
Selects Received from the Death Certificate/Autopsy drop down menu.

The investigator enters a summary of the medical examiner’s findings in the text box Medical Examiner Findings in the Fatality Information section on the Person Detail page in IMPACT.

If the death certificate or autopsy is received after the investigation has been closed, the investigator documents the receipt in a closed stage addendum contact.

5314.4 Death Related to Restraints

CCI June 2021

If the child’s death was related to the use of restraints, the investigator chooses one of the following types of restraints located on the Types of Restraints section of the CCL Investigation Conclusion page in IMPACT:

Chemical Restraint
Emergency Medication
Mechanical Restraint
Personal Restraint
Seclusion

If the death was not related to restraints, the investigator checks No Restraints.

5314.5 When an Extension Is Needed for Autopsy Results or Criminal Investigation

CCI January 2021

If pending autopsy results or information pending from an active criminal investigation are necessary to reach a disposition for the allegations, the investigator requests an extension from the supervisor. The supervisor does the following:

Approves the extension request in IMPACT on the Approval Status – Approve Contacts/Summaries page.
Documents the reason for the extension in the Supervisor Extension Approval field in CLASS.

See 4611.1 Criteria for Requesting Additional Time to Complete the Investigation.

If the investigator and supervisor are able to reach a disposition while this information is pending, an extension is not needed. The finalized autopsy results or criminal investigation report are added to IMPACT in a closed stage addendum and uploaded to OneCase.

5315 Supervisory Approval of the Investigation of a Child's Death

CCI January 2021

When the investigator is ready to submit the case for approval in IMPACT, the investigator also does the following:

Sends a completed Form 2858 Child Death Documentation Checklist to the supervisor.
Documents in CLASS that the checklist was provided.

If CPI and CCI are both investigating the death of a child, the investigator must ensure that the information entered in in the Fatality Information section in IMPACT matches the information that is in CLASS by coordinating the following:

The handling of the investigation with the CPI worker.
The closure of the investigation in IMPACT with CPI staff.

Once the supervisor has approved the investigation in IMPACT, the supervisor must do both of the following:

Add an investigation review specialist as a secondary approver.
Send the secondary approver a copy of the Child Death Documentation Checklist.

The secondary approver then has five days to review and either approve or reject the investigation in IMPACT.

5315.1 Completing the Confirmed Child Death Report (Form 2899e) in CLASS

CCI June 2021

Upon receipt of a final autopsy report or a death certificate, the investigator does both of the following:

Updates the information about the child’s death on the Person Detail page in IMPACT.
Notifies the Complex Investigations Division (CID) by email.

CID staff complete the confirmed Child Death Report (Form 2899e) by doing the following:

Selects the Confirmed radio button.
Enters the case name of the IMPACT investigation.
Enters a summary of results of the investigation in the Brief Incident Summary narrative box.

The summary of the investigation includes the following:

The events leading up to the child’s death.
The cause of the child’s death.
The finding of the investigation.

5320 Investigation of a Child’s Near Fatality

CCI June 2021

Any time a child suffers a near fatality while in care, CCI investigates to determine whether abuse or neglect was a factor in the child’s near fatality.

When the investigation of a child’s near fatality occurs in a residential child care facility, the investigator must do the following:

Add the facility’s administrator as an alleged perpetrator of neglectful supervision.
Determine if there is a preponderance of evidence that the administrator engaged in a negligent act or omission that contributed to the near fatality.

If the treating physician is not a child abuse pediatrician, the investigator may request consultation with a Forensic Assessment Center Network (FACN) physician in order to do the following:

Assign a severity level of Near Fatal.
Determine whether the injury or medical condition was a result of abuse or neglect.

5321 Actions in the First 24 Hours

CCI June 2021

Within 24 hours of receiving an intake report indicating that a child suffered a near fatality while in care, the investigator does all of the following:

Ensures that the victim details are entered in IMPACT.
Notifies law enforcement.
Notifies the Complex Investigations Division.
Requests a joint investigation with the CPI Special Investigations division prior to initiating the investigation.
Evaluates the safety of the other children in care.

After notification from the investigator, the Complex Investigations Division conducts an assessment of the operation history.

See:

1311 CPI Special Investigators

4510 Evaluating the Need for a Safety Plan

4250 Risk Assessment of Regulatory History

2110 Notifications Made at Beginning of Investigation

4310 Initiating the Investigation

5322 Supervisory Approval of the Investigation of a Near Fatality

CCI June 2021

When the investigator is ready to submit the case for approval in IMPACT, the investigator also does the following:

Sends a completed Form 2858 Child Death Documentation Checklist to the supervisor.
Documents in CLASS that the checklist was provided.

The handling of the investigation with the CPI worker.
The closure of the investigation in IMPACT with CPI staff.

Once the supervisor has approved the investigation in IMPACT, the supervisor must do both of the following:

Add an investigation review specialist as a secondary approver.
Send the secondary approver a copy of the Child Death Documentation Checklist.

The secondary approver then has five days to review and either approve or reject the investigation in IMPACT.

5330 Release of Information for a Child Death or Near Fatality at a Residential Care Operation

CCI June 2021

Federal and state law includes specific information and instructions for DFPS about releasing to the public certain summary information about a child fatality. CCI must respond to the request according to the requirements of statute and rule.

Texas Family Code §261.203

5400 Special Considerations for Certain Types of Reports

5410 Conducting Surveillance (Day Care Only)

Policy

An investigator or supervisor may determine that surveillance is necessary to determine whether:

a. a program or caregiver is subject to regulation;

b. an operation is complying with a safety plan that requires the operation to cease operating;

c. can operation is providing care to more children than the permit allows; or

d. allegations of abuse or neglect or violations of minimum standards have a factual basis

Procedure

An investigator must receive supervisory approval to conduct surveillance. All decisions regarding conducting surveillance must be documented as a contact on the Investigation Conclusion page in CLASS.

Upon receiving the necessary approval, the investigator may conduct surveillance at the location of the operation or at other locations where children in care are transported by the operation. The investigator should take photographs or video recordings as necessary during the course of the surveillance to support violations or a lack of violations.

See 1400 Technology Supporting Investigations.

5420 Investigations Involving DFPS Employees

CCI August 2022

DFPS employees, contracted staff, volunteers, or interns may be affiliated with a child care operation due to any of, but not limited to, the following reasons:

The DFPS employee is the parent or guardian of a child attending a day care.
The DFPS employee regularly volunteers at the child care operation.
The DFPS employee is a parent volunteer for a one-time event with the child care operation, such as a field trip.
The DFPS employee has been licensed by the child-placing agency as a foster or adoptive parent.

If a member of DFPS staff becomes involved with a CCI investigation as a collateral or a principal with no role, then the CCI investigator and supervisor must:

Ensure the investigation is marked Sensitive in IMPACT.
Ensure information about the investigation is not shared with the DFPS staff member, except as provided by other policies (for example, 2120 Notifying Parents, Guardians, or Managing Conservators of Interview With Child.

DFPS Employees as Alleged Perpetrators

An investigation is assigned to the Special Investigations division when both of the following are true:

A DFPS employee, contracted staff, volunteer, or intern is alleged to have perpetrated abuse, neglect, or exploitation of a child.
The allegations fall within DFPS jurisdiction.

See CPS Handbook, 2121.1 DFPS Employee or Single Source Continuum Contractor (SSCC) Abuse or Neglect Investigations.

The CCI supervisor notifies the Special Investigations program director for the region if either of the following happens during a CCI investigation:

An alleged perpetrator is confirmed to be a DFPS employee, contracted staff, volunteer, or intern.
Allegations are raised regarding a DFPS employee, contracted staff, volunteer, or intern who was previously involved in the investigation as a collateral or a principal with no role.

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Child Care Investigations Handbook