1000 Legal Basis, Regulated Programs, Records, and Technology

1100 DFPS Authority to Investigate Abuse, Neglect, and Exploitation

CCI July 2022

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

Federal Law

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

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

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

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

See:

U.S. Constitution

Social Security Act

Child Abuse Prevention and Treatment Act (CAPTA)

State Law

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

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

See:

Texas Family Code, Chapter 261

Texas Human Resources Code, Chapter 42

Texas Administrative Code, Title 40, Part 19

1110 Federal Laws and Requirements

1111 The United States Constitution

CCI July 2022

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

The following constitutional protections are of particular importance to DFPS:

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

1112 The Social Security Act

CCI July 2022

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

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

1113 The Child Abuse Prevention and Treatment Act

CCI July 2022

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

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

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

1120 State Laws Supporting Child Care Investigations

CCI July 2022

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

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

1121 Texas Human Resources Code

CCI July 2022

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

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

Chapter 42 of HRC does the following:

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

Child care programs are required by chapter 42 to:

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

1122 Texas Family Code

CCI July 2022

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

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

1123 Texas Administrative Code

CCI July 2022

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

Texas Human Resources Code §40.027

Texas Government Code §2001.023

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

1124 State Laws and Rules Regulating Child Care

CCI July 2022

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

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

Texas Human Resources Code

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

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

Texas Administrative Code

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

Licensing, Chapter 745

Minimum Standards for Shelter Care, Chapter 743

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

Minimum Standards for Child-Care Centers, Chapter 746

Minimum Standards for Child-Care Homes, Chapter 747

Minimum Standards for General Residential Operations, Chapter 748

Minimum Standards for Child-Placing Agencies, Chapter 749

1130 CCI Ethics

CCI July 2022

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

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

Government Code §572.001

Government Code §572.051

Penal Code, Chapter 36 (Bribery and Corrupt Influence)

Penal Code, Chapter 39 (Abuse of Office)

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

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

CCI staff must also do all of the following:

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

1140 Child Care Operations and Activities Subject to Regulation

CCI July 2022

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

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

DFPS Responsibilities

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

HHSC Responsibilities

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

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

Unlicensed or Unregulated Operations

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

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

1141 Types of Child Day Care Operations

CCI July 2022

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

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

HRC Operation Type

CCR Operation Type

Description

Family home

§42.002(9)

Listed family home

The primary caregiver does all of the following:

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

Family home

§42.002(9)

Registered child care home

The primary caregiver does all of the following:

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

Family home

§42.002(9)

Licensed child care home

The primary caregiver does all of the following:

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

Day-care center

§42.002(7)

Child care center

The operation does all of the following:

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

Employer-based day-care facility

§42.151(1)

Employer-based child care

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

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

Shelter day-care facility

§42.201(3)

Shelter care

An operation that does all of the following:

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

Before-school or after-school program

§42.002(20)

Before or after-school program

An operation that does all of the following:

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

School-age program

§42.002(21)

School-age program

An operation that does all of the following:

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

1142 Types of Residential Child Care

CCI July 2022

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

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

HRC Operation Type

CCR Operation Type

Description

General residential operation

§42.002(4)

General residential operation

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

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

Child-placing agency

§42.002(12)

Child-placing agency (CPA)

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

Agency foster home

§42.002(11)

CPA foster family home

A home that is all of the following:

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

1143 Types of Licensed Administrators

CCI July 2022

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

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

HRC License Types

CCR Administrator Licenses

Description

Child-care administrator

§43.001(2)

Child-Care Administrator

A person who meets the following criteria:

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

Child-placing agency administrator

§43.001(4)

Child-Placing Agency Administrator

A person who meets the following criteria:

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

1150 Investigation Jurisdiction

CCI July 2022

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

Types of Child Care Outside of CCI Jurisdiction

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

Texas Human Resources Code §42.041(b)

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

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

1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation

CCI July 2022

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

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

Texas Family Code §261.103

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

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

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

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

1152 Determining Whether an Operation Is Subject to Regulation

CCI July 2022

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

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

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

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

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

1153 Obtaining Consent to Enter an Unregulated Operation

CCI September 2022

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

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

1154 Actions When Entry to an Unregulated Operation Is Refused

CCI September 2022

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

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

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

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

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

See 4540 Handling Immediate Danger to Children.

1200 Program Organization

CCI July 2022

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

1210 CCI State Office

CCI July 2022

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

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

1220 Complex Investigations Division

CCI October 2024

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

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

Offering consultations.
Reviewing documentation.
Providing a secondary level of approval for certain investigations.
Reviewing closed cases for adherence to policy and accurate dispositions.

1230 Field Program Administrators

CCI July 2022

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

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

1240 The Role of the Supervisor

CCI July 2022

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

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

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

1241 Supervisor Experience and Training

CCI July 2022

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

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

DFPS Rules, 40 TAC §707.713

Texas Family Code §261.310

1250 The Role of the Investigator

CCI July 2022

CCI investigators are responsible for both of the following:

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

DFPS Rules, 40 TAC §707.711

1251 Worker Safety

CCI July 2022

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

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

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

Staff consider their own safety before, during, and after visits to child care operations and their interactions with others. In addition to precautions described in OP-6115 DFPS Employee Personal Safety policy (available on the DFPS intranet only), safety precautions may include any of the following:

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

1252 Investigator Training Curriculum

CCI July 2022

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

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

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

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

DFPS Rules, 40 TAC §707.713

Texas Family Code §261.310

1253 Guidelines for Average Caseloads

CCI July 2022

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

Texas Government Code §531.048

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

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

Graduated Caseloads

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

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

Graduated Caseload Exceptions

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

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

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

1300 Working with Other Agencies, Departments, or Programs

CCI September 2022

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

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

42 United States Code §5106a

40 Texas Administrative Code §707.765

Texas Family Code §261.301(f) and (h)

Texas Family Code §261.3011

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

1310 Other DFPS Programs

CCI September 2022

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

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

1311 CPI Special Investigators

CCI September 2024

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

A child is an alleged victim of physical abuse and has received serious injuries.
A professional reporter reports that a child is an alleged victim of sexual abuse, and there is indication that additional evidence is likely available or an active law enforcement investigation is underway.
An alleged victim child makes an outcry of sexual abuse, and a facility staff member or foster parent is the alleged perpetrator.
A child under the age of 11 has a sexually transmitted disease (STD), regardless of allegations.
A child dies, and the death is believed to be caused by abuse or neglect. See 1311.3 Special Investigations Assistance When Investigating Death or Near-Fatal Injuries.
A child receives a near-fatal injury, meaning that the child likely would have died as a result of the injury if the child had not gotten medical attention. See 1311.3 Special Investigations Assistance When Investigating Death or Near-Fatal Injuries.
A child is alleged or suspected to be a victim of sex or labor trafficking. See 3131 Informing Special Investigations of Child Sex or Labor Trafficking.

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

Texas Family Code 262.010

1311.1 Assigning a CPI Special Investigator

CCI April 2022

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

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

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

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

1311.2 Special Investigations Assistance When Investigating Trafficking Allegations

CCI April 2022

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

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

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

CCI January 2024

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

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

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

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

See 5300 Investigations of Fatalities and Near-Fatal Incidents.

1312 Heightened Monitoring (Residential Child Care Only)

CCI September 2023

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

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

The investigator must document the following:

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

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

1313 DFPS Residential Contracts (Residential Child Care Only)

CCI September 2022

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

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

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

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

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

CCI July 2022

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

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

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

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

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

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

1313.2 Notifying the Contract Manager of Investigation Findings

CCI April 2021

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

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

1314 Caseworkers for Children in DFPS Care

CCI May 2022

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

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

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

The supervisor documents the following in the same contact:

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

Special Circumstances

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

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

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

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

See:

2112 Notifications of Investigations Involving a Child in DFPS Conservatorship

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

2132 Special Notifications for Investigations Involving Children in DFPS Conservatorship

3130 Allegations of Child Trafficking (Sex and Labor Trafficking)

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

4540 Handling Immediate Danger to Children

5300 Investigations of Fatalities and Near-Fatal Incidents

1320 Law Enforcement

CCI November 2020

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

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

Texas Family Code §261.301(f)-(g)

1321 Notifying Law Enforcement

CCI November 2020

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

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

Reporting Criminal Activity That Does Not Require a Joint Investigation

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

Texas Family Code §261.105

Texas Family Code §261.402(b)

1322 Conducting a Joint Investigation with Law Enforcement

CCI September 2022

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

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

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

When Law Enforcement Chooses Not to Conduct a Joint Investigation

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

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

1323 Documenting Contact with Law Enforcement

CCI September 2022

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

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

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

1330 HHSC Child Care Regulation

CCI November 2024

CCI works in partnership with the Child Care Regulation (CCR) division of the Health and Human Services Commission (HHSC) during investigations because CCR regulates child care operations. CCI communicates with CCR about information obtained during investigations.

During investigations, the CCI investigator does the following:

Determines whether a child care operation is regulated by CCR, is subject to regulation by CCR, or is exempt from regulation by CCR.
Evaluates any immediate safety concerns about children in care of the operation and ensures child safety prior to departure.
Confirms that principals involved in the investigation who are working under the auspices of the operation have an active background check in CLASS with an eligibility status of Eligible, Provisional, or Conditional.

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

The investigator identifies any concerns impacting the immediate safety of children in care of the operation.
CCI makes a disposition for an investigation. (See 2136 Notification to Child Care Regulation.)

During an investigation of abuse, neglect, or exploitation, the CCI investigator or supervisor does both of the following:

Completes the CCI portion of the Risk Assessment template.
Requests a risk assessment of the operation’s regulatory history from the CCR representative within 10 days after the date DFPS received the intake report. (See 4240 Conducting a Risk Assessment of Regulatory History.)

1340 Family Advocates and Other Advocacy Organizations

CCI September 2022

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

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

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

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

This policy does not apply to the following:

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

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

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

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

40 Texas Administrative Code §§707.761-707.769

1341 Case Records

CCI October 2021

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

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

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

Texas Human Resources Code §40.005

Texas Human Resources Code §42.004

40 Texas Administrative Code §§707.761-707.769

1342 Communication

CCI October 2021

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

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

Verbal Communication

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

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

Written Communication

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

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

1343 Participation in Meetings

CCI May 2022

Meetings that DFPS Facilitates

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

Court Proceedings, Settlement Conferences, and Court-Ordered Mediation

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

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

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

1344 Participation in Interviews

CCI October 2021

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

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

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

Texas Human Resources Code §42.04412

Texas Family Code §261.303

1400 Technology Supporting Investigations

1410 Use of State-Issued Equipment

CCI September 2022

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

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

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

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

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

1420 Legal Requirements to Take Photos

CCI September 2022

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

Texas Family Code §261.302

Texas Family Code §261.3021

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

Texas Human Resources Code §42.004

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

Texas Family Code §261.303-3032

1430 Information Systems

CCI January 2025

DFPS and Texas Health and Human Services (HHS) information systems consist of computer-based databases and applications that are used to store, manage, and review various types of information, including confidential records. Access to information in these systems is managed according to DFPS Information Technology Services (ITS) policies and applicable agreements with HHS.

Data stored in these information systems includes the following:

Documentation of case actions.
Personally identifiable information about people involved in or contacted during a case.
Automated systems and data entry points (such as checkboxes, text boxes, buttons, and so forth) for collecting and storing information about case actions, including approvals and rejections.
History of active and closed cases.

IMPACT

CCI uses DFPS’s IMPACT (Information Management Protecting Adults and Children in Texas) database system to document all actions taken in an investigation and all information and other evidence gathered. CCI’s use of IMPACT includes neuDocs, a file storage application that staff members access within IMPACT. See 2200 Maintaining Evidence and Other Confidential Records for more information on the content of investigation records in IMPACT.

CLASS

CLASS (Child-care Licensing Automated Support System) is a database system maintained by HHS’s Child Care Regulation (CCR) division for documenting information about child care operations, especially their compliance with minimum standards and other regulations.

CCI uses CLASS to review supplemental background information about an operation that CCI is investigating, including the operation’s employees and volunteers, and the operation’s history of compliance.

CCR enters and maintains information about child care operations in CLASS. CCI investigation documentation that is necessary for CCR’s reporting needs is copied into CLASS from IMPACT through an automated batch process.

Information Security

Staff members must make sure case records are secure in order to protect against the unauthorized disclosure of confidential information, as required by the Texas Family Code, Section 261.201. Staff members must also prevent unauthorized alterations to or early destruction of the case record.

In the event of unauthorized disclosure of confidential information, see DFPS’s internal policy on this subject, OP-4103 Breaches of Confidential Case Records or Sensitive Personal Information.

Staff members resigning from DFPS or transferring to other positions relinquish all case records and case documentation to their supervisor by the end of their last working day or a date approved by the supervisor.

1431 Personally Identifiable Information

CCI January 2025

During CCI investigations, staff members document or review personally identifiable information to do the following:

Confirm the identity of people contacted during the investigation.
Identify any related DFPS cases that the person may have been involved in.
Request background checks, or review background check results, for the purpose of assessing child safety.

In addition to entering personally identifiable information in IMPACT during an investigation, CCI may review the following information:

Information that SWI entered in IMPACT during an intake or other report.
Information that staff members entered in IMPACT or CLASS during past DFPS investigations or cases.
Information that CCR collected in CLASS.

This personally identifiable information may include any or all of the following about a person:

Name
Date of birth
Social Security number
Address
Phone number

IMPACT Person List

During an investigation, CCI makes sure the correct information about the following people is included on the Person List page in IMPACT:

All alleged victims.
All alleged perpetrators.
All other principals (for example, household members living in a home-based operation where the investigation is occurring, such as a foster home or registered day care home).
All collaterals contacted during the investigation, including both adults and children.

CLASS People List

The People List page in CLASS lists employees, volunteers, and other people associated with the child care operation. CCR maintains this information, and CCI does not enter any information on this page.

CCI staff members review this information to do the following:

Identify staff members at the child care operation.
Review alleged perpetrators’ background check history.

CLASS Investigation Persons

The Investigation Persons page in CLASS lists information about the reporter, alleged victims, and alleged perpetrators. The Investigation Victim and Parent Details page and the Investigation Perpetrator Details page are connected to the Investigation Persons page.

The information on these three pages is generated through an automated batch process between CLASS and IMPACT. For investigations conducted by CCI, the information comes from what CCI entered in IMPACT.

1432 Supervisory Approval Process in IMPACT

CCI January 2025

The CCI supervisor is responsible for approving certain case actions in IMPACT. Examples of case actions that require supervisory approval in IMPACT include, but are not limited to, the following:

Completed investigations.
Safety plans.
Investigation extension requests (requests for extra time to complete an investigation).

When an investigator submits a case action for approval in IMPACT, the supervisor accesses the case action through the Staff To Do List. The supervisor reviews the case action and takes one of the three actions in the following table:

Supervisory Approval Action	Additional Action of Supervisor
Approve the case action.	None.
Modify the case action, then Approve it.	Notify the investigator of any substantive changes that the supervisor has made. A substantive change is a significant modification or expansion of the nature or scope of the case action, such as a change to the disposition or type of abuse. Corrections to spelling or grammar are not substantive.
Reject the case action.	Request that the investigator complete the identified changes and resubmit the case action for approval.

1433 Closing Cases in IMPACT

CCI January 2025

A CCI case ends when the investigator and supervisor, and any secondary approvers as applicable, determine the investigation is complete.

This means all of the following have occurred:

All case actions have been completed.
The supervisor has approved the case for closure in IMPACT.
The secondary approver has approved the case for closure in IMPACT, if applicable.

Child Care Investigations Handbook