2000 Notifications, Records, and Requests for Information

2100 Notifications During Investigations

2110 Notifications Made at Beginning of Investigation

CCI December 2012

Notification to law enforcement, the operation, and a child’s conservatorship caseworker should be made before initiation or as soon as is reasonably possible after the initiation, if the notification is required by policy.

2111 Notifying the Operation of an Investigation

CCI December 2012

Policy

The investigator must notify the applicant, permit holder, director, or person in charge at the operation when an investigation is being conducted.

DFPS Rules, 40 TAC §745.8441

Procedure

During the first contact the investigator has with the operation, the investigator must inform the administrator or director:

a. about the purpose of the investigation and nature of the allegations;

b. whether a safety plan is needed;

c. that the operation must not conduct any interview about the alleged incident with staff, children, or witnesses at the operation who may have knowledge of the incident, unless the operation qualifies for an exception.

Exception to Operation Conducting Interviews

State law requires some residential operations to investigate the death of a child and file a report about the death with the attorney general. The operations may conduct interviews about the death of a child in order to file the required report.

These operations may include foster homes, licensed residential facilities that contract with the Texas Youth Commission, and juvenile probation facilities that choose to be licensed.

2111.1 Methods of Notifying the Operation

CCI December 2012

Policy

The investigator may notify the operation via phone, email, inspection, or inspection form depending on the circumstances.

Notifying the Operation Outside of an Inspection

Procedure

The investigator may notify the director or administrator of the operation of the investigation outside of an inspection:

• if the investigator needs to contact the operation to request additional information or a safety plan before conducting an inspection; or

• within a day after conducting an onsite inspection if the director or administrator was not present during the inspection.

DFPS Rules, 40 TAC §745.8443

Notifying the Operation by Inspection or Inspection Form

Procedure

The investigator notifies the director or administrator of the operation of the nature of the investigation in person if the director or administrator is present at the time of the inspection.

If the director or administrator is not present at the time of the inspection, the investigator may leave a copy of the Form 2936 Child-Care Facility Inspection at the operation. The Inspection Form may be used to notify the operation in lieu of another type of contact as long as the inspection form contains a written description of the allegations being investigated and the minimum standards being evaluated for compliance.

The investigator may need to follow up with the director or administrator if the investigator determines that a safety plan should be developed.

2111.2 Exceptions to Notifying the Operation

CCI December 2012

Policy

The investigator may delay notifying the director or administrator of the operation about the nature of the investigation if:

• the allegations are against the director or administrator; or

• the investigator has reason to believe that the notification may compromise the investigation.

DFPS Rules, 40 TAC §§745.8441; 745.8443

Procedure

If the investigator determines that the notification to the operation should be delayed, the investigator:

a. must obtain supervisory approval;

b. document the decision and the supervisory approval as a contact in CLASS; and

c. notify the director or administrator of the operation as soon as the investigator determines the investigation will no longer be compromised.

2112 Notifications of Investigations Involving a Child in DFPS Conservatorship

CCI August 2020

If a child is in the conservatorship of DFPS, the screener, supervisor, or designee must notify the following people within 24 hours of the intake report:

The CPS caseworker and supervisor assigned to the alleged victim.
The CPS caseworkers and supervisors assigned to any other children in a foster home that is under investigation.

The investigator or designee must also notify the CCI program administrator if the investigation involves an allegation of child sexual aggression.

2112.1 How to Notify the CPS Caseworker and Supervisor

CCI August 2020

The screener, supervisor, or designee notifies the CPS caseworker and supervisor for each alleged victim identified in the intake report by completing the Notifications section in IMPACT on the Priority/Closure page, before stage progressing the intake report to an investigation. If additional alleged victims are identified during the investigation, the investigator manually notifies the CPS caseworker and supervisor by email. This notification must be documented as a contact in CLASS. The email must include the following information:

Child’s name.
Name of the operation that is the subject of the investigation.
Name of the foster home, if applicable.
IMPACT case ID number.
A statement of whether or not the allegations involve sexually aggressive behavior or child-on-child physical abuse.
A statement of whether the child is listed as an alleged victim or a household member in the intake report.

2112.2 Maintaining Contact With the CPS Caseworker of Alleged Victims

CCI December 2012

Policy

After the initial notification, the investigator must attempt to maintain contact with the child’s CPS caseworker if the child is listed as an alleged victim in order to:

a. obtain additional information about the child, including the child’s history of abuse or neglect, behavioral patterns, and any other information that provides insight into the investigation;

b. share information with the CPS caseworker about the status of the investigation, including any concerns the investigator may have with the child’s placement and detailed information regarding incidents of child-on-child abuse; and

c. obtain assistance with acquiring the child’s medical records from a doctor’s office or hospital, if necessary.

2112.3 Documenting Contact With the CPS Caseworker

CCI December 2012

Procedure

All contacts with a child’s CPS caseworker must be documented as a contact on the Investigation Conclusion page in the CLASS investigation as soon as possible and no later than the following day.

Unsuccessful attempts to contact a child’s CPS caseworker must also be documented.

2113 Notifying a School District About Allegations Against a Public School Employee

CCI December 2012

Policy

If during an investigation, the investigator determines that the child abuse or neglect involves an employee of a public primary or secondary school, and that the alleged victim is a student at the school, the investigator must verbally notify the superintendent of the employee’s school district about the investigation. For example, if a foster parent who is a school teacher is alleged to abuse her foster child, the investigator notifies the superintendent.

Texas Family Code §261.105(d)

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

CCI August 2020

The investigator must make a reasonable effort to locate and notify a child’s parents, guardians, or managing conservators that a child was interviewed or observed during an abuse, neglect, or exploitation investigation. The notification must occur within 24 hours of the interview or observation.

The investigator must document the notification or attempted notification of the parent, guardian, or managing conservator as a contact on the Investigation Conclusion page in CLASS. The notification must be documented as soon as possible, but no later than the day after the date of the notification.

DFPS Rules, 40 TAC §707.743

HHSC Rules, 1 TAC §351.503(b)(2)

2121 Notifying a Parent of an Alleged Victim

CCI December 2012

Procedure

An investigator is considered to have made a reasonable effort to contact an alleged victim’s parents, guardian, or managing conservator if the investigator has taken at least one of the following actions:

a. Provided verbal notification to the parent via phone call or face-to-face contact

b. Left a message on the parent’s voice mail service

c. Provided notification via email to the child’s CPS conservatorship (CVS) caseworker, if the child is in DFPS substitute care

If an investigator is unable to make verbal contact with the parent and leaves a message on the parent’s voice mail service, the message must include:

• a statement that the child was interviewed because the child was identified as being involved in the incident that is being investigated; and

• the investigator’s name and contact information.

If the parent requests information regarding the nature of the investigation, the investigator:

a. informs the parent of the allegation;

b. shares any other information with the parent necessary for the parent to make decisions regarding their child’s safety; and

c. must protect the confidentiality of the investigation, including the names of alleged perpetrators and other alleged victims.

2122 Notifying a Parent of a Child Interviewed as a Collateral Source During an Abuse or Neglect Investigation

CCI December 2012

Procedure

An investigator is considered to have made a reasonable effort to contact the child’s parents, guardian, or managing conservator if the investigator has taken at least one of the following actions:

a. Mailed notification letter (Form 2867) to the parent’s residential address

b. Left notification letter (Form 2867) for the parent at the operation, if the operation is a day care operation

c. Provided verbal notification to the parent via phone call, face-to-face contact, or by leaving a message on a voice mail service

d. Provided notification via email to the child’s CPS conservatorship (CVS) caseworker, if the child is in DFPS substitute care

If the parent requests information regarding the nature of the investigation, the investigator:

a. informs the parent about the content of the interview;

b. shares any other information with the parent necessary for the parent to make decisions regarding their child’s safety; and

c. protects the confidentiality of the investigation, including the names of alleged perpetrators and other children.

2130 Notifying Relevant Parties of the Results of an Investigation

CCI September 2020

All notifications of the results of investigations of abuse, neglect, or exploitation must be in draft form at the time the investigation is completed and submitted for approval. However, the reporter notification letter cannot be saved in draft form and is only generated when it is being mailed.

Within one business day after the supervisor or secondary approver approves the investigation in IMPACT, the investigator notifies the CCL inspector and supervisor by email.

Within five calendar days after the supervisor or secondary approver approves the investigation in IMPACT, the investigator finalizes and mails the notification letters to the reporter, the victim’s parents, and the alleged perpetrator.

Within five calendar days after the supervisor or secondary approver approves an investigation of a residential care operation in IMPACT, CCI administrative staff mail a notification letter to the operation’s controlling person or designee. This letter is not saved in draft form at the time the investigation is completed.

2131 Notification to Parent of an Alleged Victim of the Results of an Abuse or Neglect Investigation

CCI December 2012

The investigator sends notification of the results of an abuse or neglect investigation to the parent of an alleged victim once the investigation is approved by the supervisor and closed in IMPACT. The investigator completes Form 2892a Initial Letter to Parent of Victim with RTB Finding if the finding of the investigation is Reason to Believe. The investigator completes Form 2893 Letter to Parent of Victim UTD or R/O Finding if the finding of the investigation is either Unable to Determine or Ruled Out.

2132 Special Notifications for Investigations Involving Children in DFPS Conservatorship

CCI August 2020

If an investigation involves allegations of child sexual aggression, a sexual behavior problem, or human trafficking, for an alleged victim currently in DFPS conservatorship, the investigator selects from the following alleged behaviors or situations in the Alerts for Alleged Behaviors section in IMPACT at the conclusion of the investigation:

Alleged Victim of Child Sexual Aggression.
Alleged Aggressor of Child Sexual Aggression.
Alleged Sexual Behavior Problem.
Alleged Human Trafficking.

The investigator selects alleged behaviors encountered during the investigation, regardless of whether or not the allegations were confirmed or substantiated. IMPACT sends an alert to the conservatorship caseworker and supervisor of each child for each selected behavior.

For investigations involving allegations of child sexual aggression or child-on-child physical abuse, see 3140 Allegations Involving Child Sexual Aggression or Child-on-Child Physical Abuse.

2133 Notification to the Alleged Perpetrator for an Abuse or Neglect Investigation

CCI December 2012

Policy

The investigator must notify the alleged perpetrator of the findings of the abuse or neglect investigation separately from notification that is sent to the operation.

The notification to the alleged perpetrator may not be released to the public, whereas the notifications to the operation become public information.

Procedure

The notification to the alleged perpetrator of the findings is:

a. generated from the CLASS system;

b. sent by certified mail and regular mail if the finding is Reason to Believe; and

c. by regular mail only for any other finding.

The investigator and supervisor must ensure that all letters are mailed to the perpetrator within five days of closure of the investigation in IMPACT. They must also ensure that all letters to the alleged perpetrator are mailed to the perpetrator’s home address and not to the operation address, unless the alleged perpetrator lives and works at a child care home.

2133.1 For Findings of Reason to Believe

CCI March 2013

If the finding for an investigation is Reason to Believe, the investigator sends CLASS Form 2894 Abuse or Neglect Findings Letter to the Perpetrator, which informs the perpetrator that he or she has been found responsible for abuse or neglect of a child in care.

The letter to the alleged perpetrator must include:

a. the applicable definitions of abuse, neglect, or exploitation from the Texas Family Code §261.401;

b. a brief description of the allegation and the basis of the finding;

c. notification that the individual’s name will be entered into the Central Registry as described in Texas Family Code §261.002;

d. notification that the individual’s name has been released to the employer if an emergency release has been completed; and

e. the right to request an administrative review within 15 days. See 7100 Administrative Reviews and DFPS Rules, 40 TAC §745.8805.

When completing the narrative box for Form 2894 for the allegation description the investigator avoids:

a. including first or last names of children or adults;

b. including specific ages or gender of children, or any other identifying information;

c. using abbreviations of words or phrases;

d. using legal terms, such as “abuse” or “neglect,” that are defined in the Texas Family Code and Texas Administrative Code; and

e. using inflammatory or prejudicial words or phrases.

When writing an allegation, the investigator must:

• use good grammar and proper spelling; and

• be concise, yet descriptive.

If no administrative review is requested within 15 days, the investigator sends Form 2886 Decision Letter to Perpetrator, notifying the perpetrator of his or her right to request a release hearing within 30 days. See:

7131 Determining Whether a Request for an Administrative Review Meets the Due Date

7200 Hearings Concerning Child Abuse or Neglect Findings

If an Administrative Review Is Requested

If an administrative review is requested and the decision is upheld, Licensing staff include in the decision letter the perpetrator’s right to request a due process hearing within 30 days.

If the abuse or neglect determination was overturned in the administrative review, no due process hearing is offered.

See 7160 Deciding the Outcome of an Administrative Review.

2133.2 If the Alleged Perpetrator Is an Employee of the Operation

CCI December 2012

If the alleged perpetrator is an employee of a child-care operation, the letter notifying him or her about the results of the investigation must also explain:

• that the employer will be notified of the finding and that it could affect the alleged perpetrator’s ability to continue to work in child care; and

• whether the findings will be released to the employer before an administrative review or release hearing. See 4541 Emergency Release.

2133.3 If the Alleged Perpetrator Is a Minor (10 to 17 years of age)

CCI December 2012

If the alleged perpetrator is a minor between the ages of 10 and 17, the notification letter is also mailed to the minor’s parent, guardian, or managing conservator via certified and regular mail.

The administrative review of the Reason to Believe finding may be requested by the minor or the minor’s parent, legal guardian, or managing conservator within 15 days of the notification.

See:

7713.1 Determining Whether a Request for an Administrative Review Meets the Due Date

2133.4 If a Due Process Hearing Is Requested

CCI March 2013

After the due process hearing is held and the supervisor is informed of the judge’s decision, the investigator or supervisor must send the final letter, Form 2889 Letter to the Perpetrator – SOAH Decision, that states the judge’s decision.

The supervisor then documents the status of the perpetrator in IMPACT and the status of the due process in CLASS.

See 7220 Documenting the Results of the Due Process Hearing.

2134 Notifying the Residential Care Operation of the Results of an Investigation

CCI September 2020

CCI administrative staff use the Investigation Results to Residential Care Operation letter to notify the operation’s controlling person or designee in writing about the results of the investigation. The notification is sent to the operation by postal mail and email.

The letter must be generated in the CLASS system using FPS Letterhead 2834a and must include the following information:

The allegation or allegations.
The alleged or designated perpetrator or perpetrators.
The investigation findings.
The date the investigation was completed.
The name of the CCI staff who conducted the investigation.

2134.1 Documenting the Notification to the Residential Care Operation

CCI April 2021

The same day the letter is finalized and mailed, the administrative staff documents both of the following in IMPACT and CLASS:

The date the notification was mailed.
The people to whom the notification was sent.

In CLASS, the administrative staff navigates to the Chronology page of the operation and adds an entry labeled Investigation in the Category Type drop-down menu.

In IMPACT, the administrative staff navigates to the Contact Detail page of the investigation and adds a narrative, completing each of the fields as follows:

Closed Stage Addendum in the Type drop-down menu.
CCI Provider Notification in the Purpose drop-down menu.
Letter Sent in the Method drop-down menu.
Other in the Other Contacts drop-down menu.

2134.2 Release of Necessary Information

CCI September 2020

Certain circumstances make the release of information about the alleged perpetrator necessary before the investigation has been completed. Throughout the course of investigations, CCI staff evaluate risk and safety to children in care of the operation. If an alleged perpetrator is determined to pose an immediate risk to the health, safety, or welfare of children in care of the operation, the investigator consults with a supervisor, a DFPS attorney, the Child Care Licensing inspector and supervisor, and a Licensing attorney.

Upon the approval of the DFPS attorney and Licensing attorney, the Licensing Centralized Background Check Unit informs the operation of the change in the alleged perpetrator’s background check eligibility status and that the alleged perpetrator is barred from being present at the operation while children are in the operation’s care.

See 4541 Emergency Release.

2135 Notifying the Reporter of Investigation Results

CCI August 2020

Within five calendar days of the investigation being closed in IMPACT, the investigator sends notification of the completion of the investigation to the reporter or reporters by generating the CCI Reporter Letter in IMPACT, unless any of the following applies:

There is a reasonable likelihood that notifying the reporter will jeopardize the reporter’s safety.
DFPS does not have the reporter’s mailing address.
The reporter is anonymous.

DFPS Rules, 40 TAC §707.745(a)(4)

The investigator does the following:

Generates the CCI Reporter Letter from the Forms drop-down list on the Person Detail page in IMPACT.
Completes the Notification to Reporter date field on the Investigation Conclusion page in CLASS.
Sends the letter to the reporter or reporters by regular mail.

2136 Notification to Child Care Licensing

CCI April 2021

Within one business day after the date the CCI supervisor approves the investigation, the CCI investigator notifies the CCL inspector assigned to the operation of the investigation findings.

The CCI investigator sends an email to the CCL inspector that includes all of the following information:

A summary of the allegations.
A copy of the disposition summary.
A summary of any possible minimum standards violations observed, and any evidence related to minimum standards violations gathered during the investigation.
If the investigation took place at a residential care operation, a summary of any suspected or confirmed concerns that caregivers are failing to remain awake to provide 24-hour awake night supervision.

The investigator documents this notification as a contact in the investigation on the Investigation Conclusion page in CLASS, and as a contact in IMPACT.

If the operation accepts the placement of children in DFPS conservatorship, this notification is also sent to the Residential Contracts Investigation Summary mailbox.

2200 Maintaining Evidence and Other Confidential Records

2210 Licensing Records

CCI December 2011

Policy

The purpose of retaining Licensing records is to:

a. document that Licensing staff have followed the policies and procedures required by law, the DFPS rules, and the policies in this Licensing handbook;

b. maintain a chronology of an operation’s regulatory history with Licensing; and

c. maintain a chronology of a licensed administrator’s regulatory history with Licensing.

2211 The Content and Organization of Licensing Records

CCI December 2011

Policy

A Licensing record consists of:

• a hard copy record; and

• electronic records maintained in the CLASS and IMPACT systems.

The documentation in Licensing records must be legible, objective, concise, and clear.

Upon receiving an application, inquiry, or report, Licensing staff must establish a record:

a. for each regulated operation;

b. for each operation that is exempt from regulation; and

c. for each individual who applies to become a licensed administrator.

Records for Abuse or Neglect Investigations

For abuse or neglect investigations:

• hard copy records are maintained separately from other records; and

• electronic records are maintained in both the IMPACT and CLASS systems.

See 2220 Maintaining an Investigation File.

Records for Non-Abuse or Neglect Investigations

For non-abuse or neglect investigations:

a. hard copy records are maintained separately from other records until the investigation is complete;

b. the entire file for the investigation becomes part of the hard copy record, after the investigation is completed; and

c. electronic records are maintained in the CLASS system.

See 2220 Maintaining an Investigation File.

Procedure

Case records are maintained according to the guidelines in Appendix 1000-2: Organization of Case Records.

2212 Custody of Licensing Records

CCI December 2011

Policy

The hard copy record is kept in the custody of the Licensing employee assigned to the operation.

Each Licensing office must establish procedures to track the location of hard copy records. The district director or manager must approve the tracking procedures.

2212.1 Assigning, Reassigning, and Transferring Records

CCI December 2011

Policy

Electronic records are assigned, reassigned, and transferred in the CLASS system. See 1430 Application Security for CLASS and IMPACT.

In CLASS, a record is always assigned to the Licensing employee who is responsible for regulating the operation or administrator, even though different Licensing employees may be assigned to complete an investigation or inspection.

The hard copy record is transferred when the electronic record is assigned or reassigned in CLASS. When a Licensing employee vacates his or her Licensing position, the employee’s supervisor ensures continuous custody of the hard copy records until the record is reassigned to another Licensing employee.

2220 Maintaining an Investigation File

CCI January 2022

The investigator develops a confidential investigation file that includes notes and documents obtained during the investigation.

The investigation file is primarily maintained in a digital format in IMPACT and OneCase. Physical investigation files only consist of documents that are unable to be converted to a digital format and stored in the electronic file.

CCI staff do not create physical duplicates of any digital file unless there is a specific business need for physically transferring the data. Convenience copies are destroyed when no longer needed unless the copy contains handwritten notes that must be maintained.

In the Records Management Group Handbook, see:

1200 Definition of a DFPS Record

1210 Electronic File

1220 Physical File

2221 Maintaining Electronic Investigation Files

CCI January 2022

Before submitting an investigation, CCI staff ensure the electronic record of the investigation is complete. This includes:

Ensuring investigation contacts in IMPACT are complete and accurate.
Ensuring audio and video recordings are uploaded into OneCase.
Ensuring photographs and other imaged or scanned documents are uploaded into OneCase and meet DFPS imaging standards.
Ensuring mailed and telephonic correspondence (such as phone calls, voicemails, and text messages) is documented in IMPACT or scanned and uploaded in OneCase.
Ensuring all records uploaded to OneCase are complete and accurate.

See 2230 Documenting and Storing Digital Photographs, Audio, Video, and Scanned Information.

In the Records Management Group Handbook, see:

1310 Imaging Standards (Electronic Files)

2310 Electronic Records

2221.1 Electronic Documents Finalized After Investigation Approval

CCI January 2022

Findings notification letters are not finalized until after the investigation has been approved and closed.

These notification letters are generated within IMPACT or CLASS and do not require additional steps to add them to the investigation record in most cases. However, a copy of a mailed notification letter must be uploaded to the investigation record in OneCase in the following situations:

The letter is not available in IMPACT.
The letter is resent to a recipient due to a correction.

If a letter or related document must be uploaded to OneCase, one of the following people uploads it:

CCI staff responsible for mailing the letter.
Other staff as designated by the supervisor.

2221.2 Documents Received After Investigation Closure

CCI January 2022

CCI occasionally receives documents that are relevant to an investigation record after an investigation has been approved and closed. This occurs because the information was not available or the documents were not finalized at the time of the investigation’s approval and closure. These documents may include:

A Certified Mail Return Receipt from sent or received correspondence regarding the investigation.
A finalized copy of a law enforcement report regarding the incident under investigation.
A finalized copy of a medical examiner’s report regarding injuries under investigation.

When CCI staff receive one of these documents, CCI staff complete the following steps:

Scan the complete document (including both sides of a Certified Mail Return Receipt).
Upload the scan to the investigation record in OneCase.
Add a contact as a closed stage addendum to the investigation’s IMPACT record to provide a summary of the received information.

2222 Managing Physical Investigation Files

CCI January 2022

Before submitting an investigation, the investigator does the following:

Reviews any physical files or documents received or created for the investigation.
Confirms the investigation records in IMPACT and OneCase are up to date and meet DFPS standards for imaged records.

DFPS standards for imaged records include the following:

Scan documents at a sufficient resolution to ensure type or handwriting is legible.
Scan photos at a sufficient bit depth to ensure the quality of the image.
Use an open standard (universal) format.
Appropriately capture and index metadata.

Paper documents that are properly scanned and uploaded become the original record. Any convenience copies of files or documents already stored in the investigation record are confidentially destroyed after confirming the electronic record is complete, viewable, and legible.

Texas Government Code §441.189

See:

2232 Storage of Digital Photographs, Audio, Video, and Scanned Information

2233 Printing or Destroying Photographs

In the Records Management Group Handbook, see:

1310 Imaging Standards (Electronic Files)

4100 Authority to Destroy Records

2222.1 Managing Information That Cannot Be Converted to Electronic Records

CCI January 2022

Physical records are maintained in the following situations:

CCI staff is unable to convert physical files to digital files.
CCI staff is unable to upload digital files to OneCase and must create a physical media copy of the digital file by burning the data to a compact disc (CD) or other physical media storage device.

The physical file is mailed to the local Record Imaging Operations (RIO) office within 30 days of investigation closure so that Records Management Group (RMG) staff can store or image the physical files.

CCI staff do not create physical duplicates of any digital file unless there is a specific business need for physically transferring the data. Prior to sending physical records to RMG, CCI staff ensure that all convenience copies have been removed and confidentially destroyed.

See:

2232 Storage of Digital Photographs, Audio, Video, and Scanned Information

2233 Printing or Destroying Photographs

In the Records Management Group Handbook, see:

1320 Physical File Standards

2612 Handling Physical Case Files

2612.1 Organizing a Physical Case File

2612.2 Submitting a Physical Case File to RMG

2223 Records Retention

CCI June 2012

Policy

Every electronic and hard copy record created in the course of business must be retained for a specific period of time. The amount of time Licensing records are retained is listed in the DFPS Records Retention Schedule, which is approved by the Texas State Library and Archives Commission.

No records or documents may be destroyed before the time designated in the retention schedule.

Under certain circumstances, the retention period may be extended, if approved by:

a. a district director (or designee);

b. the director of Child Day Care Licensing (or designee);

c. the director of Residential Child Care Licensing (or designee);

d. the assistant commissioner of licensing (or designee);

e. a licensing attorney; or

f. the DFPS records management officer.

The extension may be granted for as long as needed. The reason for the extension and the approval must be documented in the operation’s electronic record.

Procedure

Licensing staff follow the:

• retention schedule for Licensing records in the DFPS Records Retention Schedule; and

• policy and procedures outlined in Operating Policy OP-4201 Retention and Disposal of DFPS Records.

Extending the Record Retention Period

All records and documents must be kept at least as long as the retention period stated in the schedule. If there is a business need to keep a record longer than the time specified in the retention schedule, Licensing staff must receive approval to extend the retention period of that record from:

a. a district director (or designee);

b. the director of day care licensing (or designee);

c. the director of residential child care licensing (or designee);

d. the assistant commissioner of licensing (or designee);

e. a licensing attorney; or

f. the DFPS records management officer.

After receiving approval to extend the retention schedule, Licensing staff document the following in the operation’s record in Chronology field in the CLASS system:

a. The reason for the extension

b. The name of the approver

c. The date of the approval

CCL Closed Record Storage

When hard copy records need to be stored outside of the district or state office, Licensing staff prepare and send records according to the CCL Closed Records Storage Process, which is located on the Records Management Group intranet website.

2230 Documenting and Storing Digital Photographs, Audio, Video, and Scanned Information

CCI August 2020

Photographs, audio, video, and scanned information for abuse, neglect, or exploitation investigations may be taken by DFPS staff or given to DFPS by an outside source.

Photographs, audio, video, and scanned information must be stored in IMPACT or in the OneCase application within IMPACT, and they must be documented as a contact in CLASS.

If the person taking the photograph, audio, or video, or scanning the information, is someone other than the investigator, the documentation must also include the name of the person who took the photograph, audio, or video, or who scanned the information. Digital photographs, audio, video, and scanned information do not replace written documentation in the case record in CLASS and IMPACT; they only supplement the narrative description.

See:

2232 Storage of Digital Photographs, Audio, Video, and Scanned Information

2231 Documenting Photographs, Audio, Video, and Scanned Information

In the Records Management Group Handbook, see 2511 Documentation of Instant Messages, Text Messages, and Voice Mails for information on handling text messages, instant messages, and voicemail.

2231 Documenting Photographs, Audio, Video, and Scanned Information

CCI August 2020

The investigator must document in a contact on the Investigation Conclusion page in CLASS when photographs, audio, video, and scanned information are taken or received.

The investigator documents the following information:

The name of the person who took the photograph, audio recording, or video or scanned the information.
When the photograph, audio recording, or video was taken or the information was scanned.
A brief description explaining the information documented in the photograph, audio recording, video, or scanned information.

2232 Storage of Digital Photos, Audio, Video, and Scanned Information

CCI March 2022

As soon as possible, but no later than one day after the date that DFPS takes photos, audio, or video or scans information (or receives these items from an outside source), the investigator does as follows:

Renames the digital photos, audio, video, and scanned information that DFPS took, using the appropriate naming convention.
Uploads all digital photos, audio, video, and scanned information to the OneCase application in IMPACT.
Verifies that the photos, audio, video, and scanned information are stored as described in this section and that the files are playable or viewable from within IMPACT and OneCase before deleting the originals on the state-issued equipment.

Step 1: Renaming Digital Photos, Audio, Video, and Scanned Information

Before uploading electronic files that DFPS made, the investigator renames each file using the naming convention described in the table below. However, CCI does not rename files that an outside source gives to DFPS.

How many files are there with the same file type? (photo, audio recording, video, or scan)	Main Subject of the File	Parts of File Name (must be in this order)	Example (for photos with file type .jpg)
One	An object, environment, or multiple people	IMPACT investigation number (Note: The investigator may choose to add an underscore and the number 1, in case more files are added later.)	12345678.jpg (or 12345678_1.jpg)
One	One person, which may include a close-up of a person’s injury	IMPACT investigation number Underscore Person’s first initial and last name	12345678_AAdams.jpg
More than one	An object, environment, or multiple people	IMPACT investigation number Underscore Number for each file	12345678_1.jpg and 12345678_2.jpg
More than one	The same person is the subject of more than one file	IMPACT investigation number Underscore Person’s first initial and last name, or enough of the person’s name to differentiate from others in the investigation Another underscore Number for each file	12345678_AAdams_1.jpg and 12345678_AAdams_2.jpg
More than one	One person per file, but different people in different files	IMPACT investigation number Underscore Person’s first initial and last name, or enough of the person’s name to differentiate from others in the investigation	12345678_AAdams.jpg and 12345678_JDoe.jpg

Step 2: Saving the Digital Photos, Audio, Video, and Scanned Information

The investigator uploads digital files to the OneCase application in IMPACT by following these steps:

Click Case File Location and then click Launch OneCase.
Click Upload, choose the appropriate investigation number from the drop-down menu, and choose the appropriate file type.
Click to open the file browsing window.
Select the files to upload.
Enter username (the same one used for logging into IMPACT).
Click Upload.

Storage on Compact Disc (CD)

CCI stores files on a compact disc (CD) in the following situations:

The files are not viewable or playable after being uploaded to OneCase.
The files cannot be uploaded to OneCase because of incompatible file types.
The DFPS network or servers are not readily accessible.

The investigator labels the CD with the following information:

Name of the operation.
Operation number.
IMPACT investigation number.
CLASS investigation number.
A number to identify the specific CD, if more than one CD is needed to store all the files (for example, 1 of 3, 2 of 3, and 3 of 3).

To store the CD, the investigator does the following:

Places the CD in a paper sleeve.
Files the CD in the confidential hard copy investigation record.
Lists the CD on the External Documentation page in IMPACT.

Step 3: Deleting Digital Photos, Audio, Video, and Scanned Information from State-Issued Equipment

After verifying that the photos, audio, video, and scanned information are stored as described in this section, the investigator deletes these files from the state-issued equipment.

2233 Printing or Destroying Photographs

CCI August 2020

CCI staff print digital photographs:

Only as needed; and
When permission is granted by a CCI director, manager, or a DFPS attorney.

When printing photographs, CCI staff:

Preserve the original digital image and save the image as Read Only.
Use the DFPS-approved online photo processing service to obtain prints of digital photographs.
Label the prints with the following information:

The name and number of the operation.
The investigation number.
A brief description of the photograph.

Photographs that are taken and printed by DFPS staff are not required to be stored in the hard copy record of the investigation, since the photographs are stored in IMPACT.

When and How to Destroy Photos

If the printed photographs are not stored in the hard copy record, CCI staff must destroy them.

Acceptable methods of destruction include:

Shredding
Tearing
Burning
Pulping

2240 Documenting the Investigation

CCI December 2012

Policy

Investigations are documented to record the investigation activities and conclusions related to findings with statute, administrative rules, or minimum standards.

Investigation contacts must be documented in the CLASS system on the same date as the contact or by the next day. This applies to both abuse and neglect investigations and non-abuse or neglect investigations.

Activities related to all investigations are documented in CLASS. Additional detailed information regarding abuse, neglect, and exploitation investigations is documented in IMPACT.

Procedure

The amount of documentation needed is determined by the complexity of the investigation. Documentation may be brief and succinct but must adequately describe or explain the situation

2241 Documentation of Case Notes

CCI January 2022

All notes that are related to an investigation are considered part of the investigation’s documentation and must be included in the investigation record in IMPACT or OneCase, as applicable.

Case notes include any written notes, comments, explanations, and observations documented for an investigation, regardless of whether the notes were originally recorded on paper or computer.

Notes that are only transitory in nature and do not provide substance to the investigation record may be confidentially destroyed after the investigation is closed (see 1230 Transitory Records in the Records Management Group Handbook). During the dispositional staffing (see 4123 Dispositional Staffing and Determining the Findings), the supervisor and investigator discuss the notes taken during the investigation and determine which, if any, may be confidentially destroyed due to being a transitory record.

Any investigation records that are subject to a litigation or administrative hold must not be destroyed.

See also 4100 Authority to Destroy Records in the Records Management Group Handbook.

2242 Confidentiality of the Reporter’s Identity

CCI December 2012

Policy

The name of the person who made the report is confidential and may not be revealed. If multiple reporters report the same or similar information, all are considered to be reporters and have the right to confidentiality.

Persons who supply new allegations or identify new alleged victims or perpetrators during an investigation are also considered to be reporters and have the right to confidentiality.

Texas Human Resource Code §40.005

Texas Government Code, Title 5, Ch. 552, Texas Public Information Act

DFPS Rules, 40 TAC §745.8483

2242.1 Responding to Requests for the Reporter’s Identity

CCI December 2012

Procedure

If an operation’s director, administrator, or staff members know or suspect a reporter’s identity, the investigator does not confirm or deny the identity of the reporter. Under law, the reporter’s name and any identifying information about the reporter are protected.

If any employee of an operation requests the identity of the reporter, the investigator refers the employee to:

• the Attorney General’s Opinion, Open Records Decision No. 176, for non abuse or neglect reports; or

• the Texas Family Code, §261.201(a), for abuse or neglect reports.

2243 Documentation of All Investigations

CCI December 2021

CCI staff document the following information in CLASS:

Allegations in the intake report by selecting the correct Allegation Type checkboxes.
A description of the allegation.
The identity of the agency home that is the subject of the investigation, if the investigation is of an agency foster or group home.
Location of documentation outside of CLASS, including audiotapes or videotapes.
Information on the Risk Factors page, including a safety plan if applicable.
Victim information, including injury information if the child has been injured.
Staffings and all other consultations.
All contacts made during the course of an investigation.
An explanation of how the evidence supports the findings.

See:

3332 CLASS Allegation Types

4414 Documenting Whether an Interview Was Recorded

4522 Documenting the Safety Plan

4122 Interim Staffing With Supervisor

2244.4 Investigation Findings

2243.1 Additional Documentation for Abuse or Neglect Investigations

CCI December 2012

Procedure

For abuse or neglect investigations, the investigator documents additional information in CLASS, including:

a. how the evidence supports the preponderance of the evidence;

b. risk assessment information (see 4243 Documenting the Risk Assessment);

c. the child death report if the investigation involves the death of a child in CLASS;

d. information regarding law enforcement involvement on the Investigation Victim and Parent Details page (see 1323 Documenting Contact With Law Enforcement).

The investigator documents the following information in the IMPACT system:

a. The Licensing Investigation Report (LIR)

b. The Allegation List in IMPACT

c. The Person List in IMPACT

2244 Documentation on the Investigation Conclusion Page in CLASS

CCI December 2012

All of the information used to determine a finding in an investigation must be documented in CLASS on the Investigation Conclusion page.

2244.1 Initiation of Investigation Field

CCI December 2012

Procedure

All pertinent information must be completed in the Initiation of Investigation section.

2244.2 Observation Made During Inspection Field

CCI October 2017

Procedure

The inspector documents any observation made during the initial investigation inspection in the Observation Made During the Inspection field on the Investigation Conclusion page in CLASS.

The documentation in the narrative box must include:

• the date the inspection was conducted;

• specific observations of the operation related to the allegations; and

• the specific area in which the incident being investigated occurred.

The inspector may document additional inspections conducted during the investigation as separate contacts in the contact list on the Investigation Conclusion page in CLASS.

2244.3 Contact List

CCI December 2021

CCI staff enter a contact by selecting Add New under the Contact List section of the Investigation Conclusion page. Details of the following types of contacts are entered on the Add/View Contacts page:

Face-to-face contacts.
Telephone conversations and attempted telephone calls.
Correspondence sent or received.
All staffings or consultations including interim staffings, dispositional staffings, and risk assessments.
Any approvals received from management regarding the investigation.

Face-to-Face Contacts

During the course of an investigation, all face-to-face contacts are documented in the following manner on the Add/View Contacts page in CLASS:

Choose Face-to-Face from the Contact Type drop-down box.
If a face-to-face contact is attempted but not conducted, CCI staff choose Other from the drop-down box and note that it was an attempted face-to-face interview in the subject line of the contact.

See:

4400 Conducting Interviews

4320 Collecting Evidence

4122 Interim Staffing With Supervisor

4240 Conducting a Risk Assessment of Regulatory History

2244.4 Investigation Findings

CCI April 2017

Procedure

The investigator completes the Investigations Findings section on the Investigation Conclusion page in CLASS for all investigations.

2244.41 Findings Involving Child Sexual Aggression

CCI August 2020

If the preponderance of the evidence indicates a child in DFPS conservatorship exhibited child sexual aggression, and the staffing requirements outlined in 3140 Allegations Involving Child Sexual Aggression or Child-on-Child Physical Abuse have been met, the CCI program administrator selects the Child Sexual Aggression checkbox on the Investigation Main page in CLASS in the Allegation Type section.

See 2132 Special Notifications for Investigations Involving Children in DFPS Conservatorship.

2244.42 Findings Involving Child-on-Child Physical Abuse

CCI April 2017

Procedure

If the preponderance of the evidence indicates child-on-child physical abuse has occurred and there is a Reason to Believe (RTB) finding for Neglectful Supervision (NSUP), the investigator selects the corresponding checkbox.

2244.43 Explanation of Disposition Based on Preponderance

CCI April 2017

Procedure

For a non abuse or neglect investigation, this documentation explains how the investigator evaluated the evidence and determined whether the operation was in compliance with the relevant standards. For abuse or neglect investigations, the documentation includes whether the evidence meets the preponderance of the evidence threshold for each element of each allegation. This information must be consistent with the preponderance statement in the Licensing Investigation Report (LIR) in IMPACT.

2244.44 Final Disposition and Summary of Due Process

CCI April 2017

Procedure

If each designated perpetrator involved in the abuse or neglect investigation waives his or her right to a due process hearing, the assigned Licensing supervisor:

a. selects Reason to Believe from the Final Disposition drop-down menu on the Investigation Conclusion page in CLASS; and

b. documents the reason for the final disposition, including the designated perpetrator's decision to waive his or her right to the due process hearing, and the date the decision became final in the Summary of Due Process narrative box in CLASS.

See:

7212 Waiving the Right to a Due Process Hearing

7223 Sustaining a Perpetrator in IMPACT

2244.5 Notification Dates

CCI December 2012

Procedure

The following dates are entered:

Notification to Provider – the date the 2936 or investigation letter was sent to the provider notifying them of the outcome of the investigation and any citations issued;

Notification to Reporter – the date the notification letter to the reporter was sent. If no notification is required this field is left blank;

Investigation Complete – the date all actions in the investigation were taken and a determination was made. This date must match the date the investigation was submitted to the supervisor in IMPACT if this is an abuse or neglect investigation.

Documentation Complete – the date that all documentation pertaining to the investigation has been completed. This date must match the Investigation Complete date.

Investigation Closed – the date the investigation is closed in CLASS and no further action regarding this investigation is needed including due process actions for the operation. For abuse or neglect investigations this field is not completed and the investigation is not closed in CLASS before the investigation is closed in IMPACT.

2244.6 Updating the Person Detail Page

CCI March 2013

By the conclusion of the investigation, the investigator must ensure that identifying information and certain other information has been obtained and updated for each alleged victim and alleged perpetrator involved in the investigation.

Any child identified through the process of an abuse or neglect investigation or a non abuse or neglect investigation as being directly involved in the allegations of the investigation is listed as a victim on the Investigation Persons list in CLASS.

2244.7 Extension Approval

CCI December 2012

Procedure

All pertinent information must be entered in the Extension Approval any time an extension has been approved for an investigation. See 4611.2 Documenting an Extension.

2300 Responding to Requests for Information

CCI December 2009

Policy

Licensing records are considered open records, with certain exceptions.

Upon written request, information that is not considered confidential must be released to the public.

Texas Government Code, Title 5, Ch. 552, Public Information Act

Licensing staff provide information about child care and regulation upon request. Making the community aware of the minimum level of care required by licensing increases the safety of the children in the community:

Staff respond to inquiries from:

· persons subject to regulation;

· parents;

· DFPS staff;

· staff from other agencies;

· the media;

· legislators; and

· the public.

The method the worker uses to release information depends on:

· the source of the request;

· the type of information requested;

· the amount of information requested; and

· the resources DFPS has available.

Charging for Materials

Licensing must sometimes charge a fee when providing printed copies of DFPS materials. For the amounts charged, see Form 4885 Request for Case Records.

2310 Protecting Confidential Information

CCI December 2009

If Licensing staff receive a request for printed information and the printed information includes confidential information, Licensing staff:

· give the requestor Form 4885 Request for Case Records; and

· explain that the information must be screened and the confidential material must be removed before the information can be released.

2320 Confidential Information Not for Release to the Public

CCI March 2014

Policy

A judge may order the release of confidential material in a court hearing or by court order. If the request for records is the result of a subpoena, the Licensing staff handling the subpoena discusses the release of information with the deidentifier. For policy and procedures regarding receipt of a subpoena, refer to the DFPS Subpoena Policy.

If it appears necessary to share information with a permit holder that is not subject to disclosure, Licensing staff consults with the supervisor and the state office attorney.

The table below identifies the information that must not be released to the public, provides the rationale for not releasing the information, and lists any applicable exceptions to the restrictions:

Confidential (Not for Release)	Exceptions
The name of reporter and the reporter’s identifying information Rationale The Attorney General’s Open Records Decision No. 176, September 9, 1977, states that the identity of a reporter alleging a possible violation of minimum standards at a child-care operation may not be disclosed.	Information identifying the person who made a report resulting in an investigation may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.
The name and identifying information about someone contacted during an investigation who makes a new allegation that is unrelated to the report being investigated See 2242 Confidentiality of the Reporter’s Identity. Rationale This person is a reporter with respect to the new allegation, so Open Records Decision No. 177 is applicable, even if Licensing investigates the new allegation as a part of the original investigation.	Information identifying the person who made a report resulting in an investigation may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.
Children’s last names and identifying information, regardless of whether the children are victims. Rationale The Public Information Act (Texas Government Code, Title 5, Chapter 552, Public Information) excludes certain information from disclosure, based on the constitutional and statutory rights of the individuals. Case law supports the exclusion of children’s names, based on their right to privacy.	The identity of a child or information identifying the child in an abuse or neglect investigation is confidential and may not be released except: • as provided in 2321 Confidential Information That May Be Released in Certain Situations; or • to the following persons: 1. the child’s parent or prospective adoptive parent; 2. the operation that was cited for a deficiency as a result of the investigation; or 3. the single-source continuum contractor (SSCC) for foster care redesign when: a. the SSCC subcontracts with the operation; b. the operation has signed a release of information; and c. the operation was cited for a deficiency as a result of the investigation. DFPS Rules, 40 TAC §745.8491
Information obtained through criminal history checks regarding conviction, indictment, criminal complaint, or deferred adjudication Rationale Government Code §411.114 prohibits the release of criminal history checks to unauthorized persons or entities.	Authorized persons or entities may receive criminal history information in certain situations. See Government Code §411.114(a)(6) and (7).
Information received from another agency, division, or person, if that information is confidential under law Examples are: • CPS and APS files on abuse or neglect investigations, including the name of the alleged, designated, or sustained perpetrator in an abuse or neglect report; • police investigation reports; and • medical records, including records of psychological examinations Rationale The information is confidential according to statutes and may not be released.	The findings related to child and adult protective services are released to a child-care operation, when appropriate. See: 1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation 2133 Notification to the Alleged Perpetrator for an Abuse or Neglect Investigation 4541 Emergency Release
Certain private information may be constitutionally protected, including: • documentation for risk evaluations; and • information pertaining to pending court cases to which the state is a party. When requests for this information are received, the worker must immediately ask a Licensing attorney to send a written request to the Office of the Attorney General for an opinion on the private nature of the information. Rationale Government Code, Title 5, Chapter 552, Public Information Act prohibits the release of certain private information to unauthorized persons or entities.	Exceptions to the Public Information Act may include the release of: • private information to certain authorized persons or entities; • information related to litigation of a criminal or civil nature; and • settlement negotiations to which the state is a party.
Pending investigations Rationale Government Code, Title 5, Chapter 552, Public Information Act prohibits the disclosure of information pertaining to an open investigation, but does require disclosure of investigations upon completion of the investigation.	See 8122 Providing Details About an Operation’s Deficiencies to determine what can be released about a pending investigation.
The Social Security number of anyone in an operation. Rationale Due to identity theft concerns, social security numbers are confidential.	N/A
Licensing files on abuse or neglect investigations, including the name of the alleged, designated, or sustained perpetrator in an abuse or neglect report. Rationale Licensing’s investigations of abuse or neglect are generally confidential based on Human Resources Code §40.005 and Licensing confidentiality rules.	a. Licensing’s investigations of abuse or neglect may be released to the following parties in the relevant situations: 1. DFPS staff, including volunteers, as necessary to perform their assigned duties; 2. the parent of the child who is the subject of the investigation or the alleged perpetrator in the investigation; 3. an attorney ad litem, guardian ad litem, or court appointed special advocate of an alleged victim of child abuse or neglect; 4. the alleged perpetrator; 5. law enforcement; 6. a member of the state legislature when necessary to carry out that member’s official duties; 7. an operation cited for a deficiency as a result of the investigation; 8. a single-source continuum contractor (SSCC) for foster-care redesign that subcontracts with the operation that is cited for a deficiency as a result of the investigation, but only with a signed release from the operation; 9. an administrative law judge, or a judge of a court of competent jurisdiction in a criminal or civil case arising out of an investigation of child abuse or neglect, if he or she: A. provides notice to DFPS and any other interested parties; B. determines, after reviewing the information, including audio or videotapes, that the disclosure is essential to the administration of justice and will not endanger the life or safety of any individual; and C. includes in his disclosure order any safeguards that the court finds appropriate to protect the interest of the child involved in the investigation; and 10. a prospective adoptive parent of the child who is the subject of the investigation or who is the alleged perpetrator in the investigation, according to the Texas Family Code §162.006. b. The parent of a child who is not the subject of or the alleged perpetrator in the investigation but was a collateral witness during the investigation is entitled to the portion of the investigation record related to their child. (c) A social study evaluator may obtain a complete, unredacted copy of any investigative report regarding abuse or neglect that relates to any person residing in the residence subject to the social study, as provided by Texas Family Code §107.05145. DFPS Rules, 40 TAC §745.8491 The findings of an abuse or neglect investigation are released to a child-care operation, when appropriate. See: 1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation 2134 Notifying the Residential Care Operation of the Results of an Investigation 2133 Notification to the Alleged Perpetrator for an Abuse or Neglect Investigation 4541 Emergency Release
Information that may interfere with an ongoing law enforcement investigation or prosecution. Rationale 40 TAC §745.8493 indicates CCL may not release portions of Licensing records to anyone if the information may interfere with an ongoing law enforcement investigation or prosecution.	Any information in a Licensing record that may interfere with an ongoing law enforcement investigation or prosecution may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations. DFPS Rules, 40 TAC §745.8493(a)(1)
The location of a family violence shelter or information pertaining to a person who was provided family violence services Rationale Information pertaining to the location of a family violence shelter or a person who was provided family violence services is confidential according to 40 TAC §745.8493.	Information pertaining to the location of a family violence shelter or a person who was provided family violence services may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations. DFPS Rules, 40 TAC §745.8493(a)(3) and (4)
The location of a “victims of trafficking shelter center” (as defined in Government Code §552.138) or information about a person who was provided services at a victims of trafficking shelter center. Rationale Information pertaining to the location of victims of trafficking shelter center or a person who was provided services at a victims of trafficking shelter center is confidential according to 40 TAC §745.8493.	Information pertaining to the location of a victims of trafficking shelter center or a person who was provided services at a victims of trafficking shelter center may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations. DFPS Rules, 40 TAC §745.8493(a)(5) and (6)
Photographs or audio or visual recordings, depictions, or documentations of a child in Licensing records Rationale Photographs or audio or visual recordings, depictions, or documentations of a child in Licensing records are confidential according to 40 TAC §745.8495.	We may provide a copy of a photograph or an audio or visual recording, depiction, or documentation of a child in Licensing records to the following parties in the relevant situation: 1. DFPS staff, including volunteers, as necessary to perform their assigned duties; 2. law enforcement for the purpose of investigating allegations of child abuse or neglect, failure to report child abuse or neglect, or false or malicious reporting of alleged child abuse or neglect; 3. an administrative law judge or a judge of a court of competent jurisdiction in a criminal or civil case to which the inspection or investigation is relevant; 4. the parent of the child; and 5. any other person authorized by state or federal law to have a copy. The following persons may review a photograph or an audio or visual recording, depiction, or documentation of a child in Licensing records, but may not have a copy: 1. an attorney ad litem, guardian ad litem, or court appointed special advocate of the child; 2. the operation; 3. a single-source continuum contractor (SSCC) for foster-care redesign that subcontracts with the operation, but only with a signed release from the operation; and 4. a prospective adoptive parent of the child, as provided in Texas Family Code §162.006. DFPS Rules, 40 TAC §745.8495

Confidential (Not for Release)

Exceptions

The name of reporter and the reporter’s identifying information

Rationale

The Attorney General’s Open Records Decision No. 176, September 9, 1977, states that the identity of a reporter alleging a possible violation of minimum standards at a child-care operation may not be disclosed.

Information identifying the person who made a report resulting in an investigation may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.

The name and identifying information about someone contacted during an investigation who makes a new allegation that is unrelated to the report being investigated See 2242 Confidentiality of the Reporter’s Identity.

Rationale

This person is a reporter with respect to the new allegation, so Open Records Decision No. 177 is applicable, even if Licensing investigates the new allegation as a part of the original investigation.

Information identifying the person who made a report resulting in an investigation may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.

Children’s last names and identifying information, regardless of whether the children are victims.

Rationale

The Public Information Act (Texas Government Code, Title 5, Chapter 552, Public Information) excludes certain information from disclosure, based on the constitutional and statutory rights of the individuals. Case law supports the exclusion of children’s names, based on their right to privacy.

The identity of a child or information identifying the child in an abuse or neglect investigation is confidential and may not be released except:

• as provided in 2321 Confidential Information That May Be Released in Certain Situations; or

• to the following persons:

1. the child’s parent or prospective adoptive parent;

2. the operation that was cited for a deficiency as a result of the investigation; or

3. the single-source continuum contractor (SSCC) for foster care redesign when:

a. the SSCC subcontracts with the operation;

b. the operation has signed a release of information; and

c. the operation was cited for a deficiency as a result of the investigation.

DFPS Rules, 40 TAC §745.8491

Information obtained through criminal history checks regarding conviction, indictment, criminal complaint, or deferred adjudication

Rationale

Government Code §411.114 prohibits the release of criminal history checks to unauthorized persons or entities.

Authorized persons or entities may receive criminal history information in certain situations. See Government Code §411.114(a)(6) and (7).

Information received from another agency, division, or person, if that information is confidential under law

Examples are:

• CPS and APS files on abuse or neglect investigations, including the name of the alleged, designated, or sustained perpetrator in an abuse or neglect report;

• police investigation reports; and

• medical records, including records of psychological examinations

Rationale

The information is confidential according to statutes and may not be released.

The findings related to child and adult protective services are released to a child-care operation, when appropriate.

See:

1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation

2133 Notification to the Alleged Perpetrator for an Abuse or Neglect Investigation

4541 Emergency Release

Certain private information may be constitutionally protected, including:

• documentation for risk evaluations; and

• information pertaining to pending court cases to which the state is a party.

When requests for this information are received, the worker must immediately ask a Licensing attorney to send a written request to the Office of the Attorney General for an opinion on the private nature of the information.

Rationale

Government Code, Title 5, Chapter 552, Public Information Act prohibits the release of certain private information to unauthorized persons or entities.

Exceptions to the Public Information Act may include the release of:

• private information to certain authorized persons or entities;

• information related to litigation of a criminal or civil nature; and

• settlement negotiations to which the state is a party.

Pending investigations

Rationale

Government Code, Title 5, Chapter 552, Public Information Act prohibits the disclosure of information pertaining to an open investigation, but does require disclosure of investigations upon completion of the investigation.

See 8122 Providing Details About an Operation’s Deficiencies to determine what can be released about a pending investigation.

The Social Security number of anyone in an operation.

Rationale

Due to identity theft concerns, social security numbers are confidential.

N/A

Licensing files on abuse or neglect investigations, including the name of the alleged, designated, or sustained perpetrator in an abuse or neglect report.

Rationale

Licensing’s investigations of abuse or neglect are generally confidential based on Human Resources Code §40.005 and Licensing confidentiality rules.

a. Licensing’s investigations of abuse or neglect may be released to the following parties in the relevant situations:

1. DFPS staff, including volunteers, as necessary to perform their assigned duties;

2. the parent of the child who is the subject of the investigation or the alleged perpetrator in the investigation;

3. an attorney ad litem, guardian ad litem, or court appointed special advocate of an alleged victim of child abuse or neglect;

4. the alleged perpetrator;

5. law enforcement;

6. a member of the state legislature when necessary to carry out that member’s official duties;

7. an operation cited for a deficiency as a result of the investigation;

8. a single-source continuum contractor (SSCC) for foster-care redesign that subcontracts with the operation that is cited for a deficiency as a result of the investigation, but only with a signed release from the operation;

9. an administrative law judge, or a judge of a court of competent jurisdiction in a criminal or civil case arising out of an investigation of child abuse or neglect, if he or she:

A. provides notice to DFPS and any other interested parties;

B. determines, after reviewing the information, including audio or videotapes, that the disclosure is essential to the administration of justice and will not endanger the life or safety of any individual; and

C. includes in his disclosure order any safeguards that the court finds appropriate to protect the interest of the child involved in the investigation; and

10. a prospective adoptive parent of the child who is the subject of the investigation or who is the alleged perpetrator in the investigation, according to the Texas Family Code §162.006.

b. The parent of a child who is not the subject of or the alleged perpetrator in the investigation but was a collateral witness during the investigation is entitled to the portion of the investigation record related to their child.

(c) A social study evaluator may obtain a complete, unredacted copy of any investigative report regarding abuse or neglect that relates to any person residing in the residence subject to the social study, as provided by Texas Family Code §107.05145.

DFPS Rules, 40 TAC §745.8491

The findings of an abuse or neglect investigation are released to a child-care operation, when appropriate.

See:

1151 Referring Additional Allegations to Appropriate Agencies During an Ongoing Investigation

2134 Notifying the Residential Care Operation of the Results of an Investigation

2133 Notification to the Alleged Perpetrator for an Abuse or Neglect Investigation

4541 Emergency Release

Information that may interfere with an ongoing law enforcement investigation or prosecution.

Rationale

40 TAC §745.8493 indicates CCL may not release portions of Licensing records to anyone if the information may interfere with an ongoing law enforcement investigation or prosecution.

Any information in a Licensing record that may interfere with an ongoing law enforcement investigation or prosecution may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.

DFPS Rules, 40 TAC §745.8493(a)(1)

The location of a family violence shelter or information pertaining to a person who was provided family violence services

Rationale

Information pertaining to the location of a family violence shelter or a person who was provided family violence services is confidential according to 40 TAC §745.8493.

Information pertaining to the location of a family violence shelter or a person who was provided family violence services may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.

DFPS Rules, 40 TAC §745.8493(a)(3) and (4)

The location of a “victims of trafficking shelter center” (as defined in Government Code §552.138) or information about a person who was provided services at a victims of trafficking shelter center.

Rationale

Information pertaining to the location of victims of trafficking shelter center or a person who was provided services at a victims of trafficking shelter center is confidential according to 40 TAC §745.8493.

Information pertaining to the location of a victims of trafficking shelter center or a person who was provided services at a victims of trafficking shelter center may only be released as provided in 2321 Confidential Information That May Be Released in Certain Situations.

DFPS Rules, 40 TAC §745.8493(a)(5) and (6)

Photographs or audio or visual recordings, depictions, or documentations of a child in Licensing records

Rationale

Photographs or audio or visual recordings, depictions, or documentations of a child in Licensing records are confidential according to 40 TAC §745.8495.

We may provide a copy of a photograph or an audio or visual recording, depiction, or documentation of a child in Licensing records to the following parties in the relevant situation:

1. DFPS staff, including volunteers, as necessary to perform their assigned duties;

2. law enforcement for the purpose of investigating allegations of child abuse or neglect, failure to report child abuse or neglect, or false or malicious reporting of alleged child abuse or neglect;

3. an administrative law judge or a judge of a court of competent jurisdiction in a criminal or civil case to which the inspection or investigation is relevant;

4. the parent of the child; and

5. any other person authorized by state or federal law to have a copy.

The following persons may review a photograph or an audio or visual recording, depiction, or documentation of a child in Licensing records, but may not have a copy:

1. an attorney ad litem, guardian ad litem, or court appointed special advocate of the child;

2. the operation;

3. a single-source continuum contractor (SSCC) for foster-care redesign that subcontracts with the operation, but only with a signed release from the operation; and

4. a prospective adoptive parent of the child, as provided in Texas Family Code §162.006.

DFPS Rules, 40 TAC §745.8495

2321 Confidential Information That May Be Released In Certain Situations

CCI March 2014

Policy

The following information is confidential and may not be released except in certain situations:

1. the name of the reporter and the reporter’s identifying information, including anyone who makes new allegations during the course of the investigation that are unrelated to the report being investigated;

2. any child’s last name or information identifying the child in an abuse or neglect investigation, regardless of whether the child is a victim;

3. information that may interfere with an ongoing law enforcement investigation or prosecution;

4. the location of a family violence shelter or information pertaining to a person who was provided family violence services; or

5. the location of a “victims of trafficking shelter center” (as defined in Government Code §552.138) or information pertaining to a person who was provided services at a victims of trafficking shelter center.

This information may only be released to the following parties in the relevant situations:

a. to DFPS staff, including volunteers, as necessary to perform their assigned duties;

b. to law enforcement for the purpose of investigating allegations of child abuse or neglect or false or malicious reporting of alleged child abuse or neglect;

c. to a member of the state legislature when necessary to carry out that member’s official duties; and

d. to any other individuals ordered by an administrative law judge or judge of a court of competent jurisdiction.

CCL staff, in consultation with the Office of the General Counsel, may withhold any information in its records if the release of that information would endanger the life or safety of any individual.

DFPS Rules, 40 TAC §745.8493

2322 How to Determine if a Person is a Prospective Adoptive Parent

CCI March 2014

Policy

Before releasing any confidential information listed in 2320 Confidential Information Not for Release to the Public to a prospective adoptive parent, DFPS staff must first determine that the requestor is a prospective adoptive parent by verifying with the CPA:

• that the person has been selected as the prospective adoptive parent for the child; or

• that the person has shown interest in being the prospective adoptive parent of the child.

2330 Information for General Release

2331 Providing the Minimum Standard Rules

CCI December 2009

Procedure

When Licensing staff receive a request for the minimum standard rules, staff:

· refer the requestor to the Minimum Standards page on the HHSC website; or

· send the requestor summaries of the standards, rather than providing the standards in their entirety.

Licensing encourages providers to print out their own set of standards. However, Licensing staff may provide new child care providers with a full set of standards, if requested, and then provide replacement changes as changes occur.

2332 Providing Information About Child-Care Operations

2332.1 Providing Information About Child-Care Options

CCI December 2009

In response to requests for information about child care options, Licensing staff may provide the following:

· A current list of child care operations

The list must include a statement that registered child-care homes are inspected at least every three years.

The list must also include a statement that listed homes are not inspected and are investigated only when a report of abuse or neglect is received or when the listed home is subject to registration or licensure.

· Brochures on choosing child care and information on 24-hour care facilities (see 2340 Responding to Requests From Parents and Managing Conservators)

2333 Referring Requestors to the DFPS Website

CCI December 2009

Licensing staff may refer requestors to the HHSC website, for topics such as:

· rulemaking;

· minimum standard rules and guidelines for child day care;

· minimum standard rules and guidelines for residential child care;

· information on child care services;

· information for all child care operations in Texas;

· the results of inspections and investigations for all child-care operations;

· addresses and phone numbers for local Licensing offices; and

· the Licensing Policy and Procedures Handbook.

2340 Responding to Requests From Parents and Managing Conservators

CCI March 2014

Policy

Licensing staff assist parents and managing conservators by providing information to help them make informed decisions.

Licensing staff or trained volunteers respond to parents’ or a managing conservator’s request for information about how an operation is regulated.

Staff also provide information when parents report alleged violations of the law or rules.

Procedure

Licensing staff provide certain types of information, as explained in the table below.

If parents …	then Licensing staff …
request educational materials …	follow the procedures explained in Appendix 2000-3: Educational Materials.
need permits or forms …	• refer parents to the DFPS Web site for permit and inspection, appropriate; or • advise parents to request from the permit holder or operator a copy of the operation inspection forms or follow-up letters.
have a child in DFPS conservatorship …	must share all information with CPS staff.
need general information …	must follow the procedures in 2330 Information for General Release.
allege that a child care operation has violated the law or minimum standard rules …	must follow the procedures in 3300 Assessing and Processing Intake Reports. When forwarding a request for details about an abuse or neglect investigation to the deidentifier for the region, staff must follow the procedures in 2310 Protecting Confidential Information.

See 2320 Confidential Information Not for Release to the Public if a parent requests information related to:

a. an investigation;

b. a photograph,

c. an audio or visual recording; or

d. other depictions or documentations of a child.

2350 Responding to Requests From DFPS Staff and Other Agencies

CCI December 2009

Policy

Licensing staff do not require a formal request in order to provide information to other DFPS staff or to respond to routine requests from other government agencies (including law enforcement) when there is a job-related need for the information.

2351 Releasing to DFPS Staff

CCI December 2009

Licensing staff may share any information with any other DFPS staff person who makes the request for the information without redacting confidential information.

2352 Releasing to Other Agencies

CCI December 2009

Licensing staff may share information with other government agencies, as long as the requestor provides assurance that any confidential information will be protected and that the information will be used only for the purpose and function of the division or agency requesting it.

Licensing staff note in the record:

· the information provided;

· to whom the information was provided; and

· the purpose of providing it.

Questionable Requests

For requests for information from other governmental agencies (including law enforcement) that are questionable, not job-related, unusual, unclear, or not routine, staff must:

· obtain a written request on the requesting agency's letterhead; and

· verification from a regional attorney that the release is authorized.

2360 Releasing Information to the Media

2361 When to Contact a Regional Public Information Officer (PIO)

CCI December 2009

Policy

Licensing staff must contact the regional public information officer (PIO) when:

· the office is contacted by any media outlet;

· a case is of community interest; or

· A DFPS employee is accused of committing a felony, especially one involving offenses against children.

2362 Requests Beyond General Release

CCI December 2009

If a representative of a news organization contacts Licensing staff with questions beyond what is afforded in accordance with 2330 Information for General Release, Licensing staff refer the representative to:

· the regional PIO; or

· the state office PIO, in the absence of the regional PIO.

If Licensing staff refer the news representative to the state office PIO, staff report the contact to the regional PIO as soon as possible.

Only the regional or state PIO, or that person's designee, may release information to the media that goes beyond what is afforded in 2330 Information for General Release. Before obtaining information that goes beyond general release, the requestor must complete Form 4885 Request for Case Records.

2363 Other Reasons to Contact a Regional PIO

CCI December 2009

Licensing staff may contact the regional public information officer for other reasons, such as when:

· consultation is needed or desired;

· a situation has occurred and media interest is anticipated;

· staff want to share a local story with the news media; or

· staff have an idea for a feature story.

2364 When the Regional PIO Is Unavailable

CCI December 2009

If the regional PIO is unavailable, Licensing staff may contact the following about any media-related concerns, including those listed above:

· the regional PIO’s designated backup; or

· the PIO at the state office in Austin.

2365 When to Contact the State Office PIO

CCI December 2009

Licensing staff must contact the public information office (PIO) in the state office in Austin when a story requires information and comment from state office staff because it relates to:

· policy;

· legislation;

· procedures;

· funding;

· statewide statistics;

· an action of a DFPS advisory council; or

· a statewide issue.

Licensing staff may also contact the state office PIO in lieu of the regional PIO under the circumstances explained in 2361 When to Contact a Regional Public Information Officer (PIO).

2370 Responding to Requests From Legislators

CCI December 2009

Policy

Licensing staff must respond to a request for information from a member, agency, or committee of the Texas Legislature as soon as possible, but no later than 10 business days from receiving the request, if possible.

2380 Responding to Requests From Disability Rights Texas

CCI March 2014

Policy

Disability Rights Texas is the federally funded and authorized protection and advocacy system for Texans with disabilities.

The federal Developmental Disabilities Assistance and Bill of Rights Act allows DFPS to release confidential records to Disability Rights Texas when it is representing an individual or investigating crimes related to:

• a complaint about the treatment of a DFPS client; or

• a complaint about a DFPS client’s abuse or neglect case (including APS, CCL, and CPS cases).

The Act grants Disability Rights Texas staff special access to Licensing records to carry out their duties, including access to records on abuse and neglect investigations. Employees of Disability Rights Texas are not required to formally request information related to a Disability Rights Texas client.

42 USC §§15041-15045

Procedure

Licensing staff must take the following steps:

• Respond promptly when Disability Rights Texas requests information related to a Disability Rights Texas client. Expedite the response, regardless of whether Disability Rights Texas requests an expedited response.

When it is not clear whether a request for information is client-related, contact the program specialist responsible for releasing information. (Disability Rights Texas staff do not have the same rights to Licensing records when they request information on behalf of a friend or family member, rather than as part of their work with Disability Rights Texas)

• Send all Disability Rights Texas requests through the regional de-identifier.

• Do not charge Disability Rights Texas for copies.

• Note in the record:

• the information provided;

• to whom the information was provided; and

• the purpose of providing it.

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Child Care Investigations Handbook