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5000 Special Topics

5100 Administrators and Other Persons in Charge as Perpetrators

5110 Repeated Allegations Involving the Same Operation or Person in Charge

CCI November 2020

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

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

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

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

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

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

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

5120 Multiple Referral Investigations

CCI June 2021

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

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

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

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

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

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

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

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

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

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

5200 Handling Obstruction of an Investigation

5210 Obstruction by the Operation

CCI March 2017

Procedure

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

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

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

Human Resources Code §42.04412

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

DFPS Rules, 40 TAC §745.8425

5220 Obstruction by the Alleged Perpetrator

CCI March 2013

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

Texas Family Code §261.309(b)

5230 Obstruction by Regulated Operations

CCI March 2013

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

5240 Obstruction by Unregulated Operations

CCI March 2013

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

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

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

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

5300 Investigations of Fatalities and Near-Fatal Incidents

5310 Investigation of a Child’s Death

CCI January 2024

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

If the fatality occurred while the child was in the care of an operation that is alleged to be operating illegally (without a permit or license), the investigator first determines whether the operation is subject to regulation (see 1152 Determining Whether an Operation Is Subject to Regulation). Then, the investigator does one of the following:

Texas Family Code §264.513

Texas Code of Criminal Procedure, Title 25, Chapter 49

Texas Health and Safety Code §671.001

5311 Actions in the First 24 Hours

CCI January 2024

Within 24 hours after receiving an intake indicating that a child in care has died, the investigator must complete the following additional tasks:

  • Contact law enforcement to request a joint investigation.
  • Notify the medical examiner or justice of the peace and share any known information about the child’s circumstances and medical condition to assist the medical examiner or justice of the peace in determining whether an autopsy is necessary.
  • Make sure the deceased child’s person details and the Fatality Information section of the Person Detail page are completed in IMPACT with as much information as is available.
  • Make sure an appropriate allegation is indicated to be a Child Fatality Allegation on the Allegation Detail page in IMPACT.
  • Notify the Complex Investigations Division.
  • Request a joint investigation with the CPI Special Investigations division before initiating the investigation.
  • Initiate the investigation.
  • Evaluate the safety of any other children in care of the alleged perpetrator and at the operation of concern.

The investigator notifies the supervisor that the tasks listed above are complete. Then, the supervisor does the following:

  • Assesses the operation’s history for concerns related to abuse, neglect, and exploitation.
  • Completes Form 3021A CCI Notification of Child Fatality.
  • Uploads the form to OneCase.
  • Sends the form to the program administrator.

The program administrator reviews the form and sends it to all designees listed on the Fatality Notification List (see CCI Child Fatality Protocol Handbook).

See:

1311 CPI Special Investigators

4510 Evaluating the Need for a Safety Plan

4240 Conducting a Risk Assessment of Regulatory History

2110 Notifications Made at Beginning of Investigation

4310 Initiating the Investigation

Child Protective Services Handbook, 2333 Notifications of a Child Fatality

Child Protective Services Handbook, 6490 If a Child Dies While in Substitute Care

5311.1 Notifications of a Child Fatality
5311.11 Notifying Law Enforcement about a Child’s Death

CCI January 2024

The investigator must contact law enforcement to request a joint investigation immediately upon receiving a child fatality intake.

See 1320 Law Enforcement.

Texas Family Code §261.301

Texas Code of Criminal Procedure, Title I, Chapter 49

5311.12 Notifying the Medical Examiner or Justice of the Peace about a Child Fatality

CCI December 2023

Immediately or no later than 24 hours from learning of the child fatality, the investigator must do the following:

  • Notify the medical examiner or justice of the peace of the county in which the death occurred.
  • Share any known medical and circumstantial information regarding the child to help the medical examiner or justice of the peace determine if an autopsy is necessary.

Known medical and circumstantial information may include but is not limited to the following:

  • Child’s history of abuse or neglect.
  • Child’s medical and mental health history.
  • Family medical history, if known.
  • Facts obtained in the investigation up to that point.

The death must be reported to the medical examiner or justice of the peace whether or not the death was alleged to be the result of abuse or neglect.

Exceptions

The investigator is not required to report the death of a child to the medical examiner of the county in which the death occurred when the situation meets any of the following criteria:

  • The death is a result of a motor vehicle accident (unless abuse or neglect is suspected, such as if the parent or legal caregiver was under the influence of alcohol or drugs).
  • The county in which the death occurred does not have a medical examiner or is not part of a medical examiner’s district. In this case, the investigator reports the death to a justice of the peace in the county where the death occurred.
  • The death is already being investigated by the medical examiner or justice of the peace when the investigator initiates the investigation.

Texas Family Code §264.513

5311.13 Notifications within DFPS

CCI January 2024

Immediately after being notified of a child fatality, the CCI supervisor notifies the CCI program administrator.

Within 24 hours after being notified of a child fatality, the supervisor or program administrator completes Form 3021A CCI Notification of Child Fatality, notifies the Complex Investigations Division (CID) by email, and sends the form to all designees listed on the Fatality Notification List. The list is located in the CCI Child Fatality Protocol Handbook.

Within five calendar days after the CCI supervisor is notified of a child fatality, a staffing (meeting) with CID must occur. The complex investigation analyst completes Form 3021B CCI Notification of Child Fatality, uploads it to OneCase as part of the case record, and documents a staffing contact in IMPACT.

5312 Final Findings of the Medical Examiner

CCI January 2024

After CCI receives the death certificate or autopsy report, the investigator updates CCI’s documentation of the manner and cause of death, if needed, and completes the following in the Fatality Information section on the Person Detail page in IMPACT:

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

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

If CCI receives the death certificate, medical examiner’s findings, or autopsy report after the investigation has been closed, the investigator documents the receipt in a closed stage addendum contact. The investigator must notify the required people and entities of the edits or corrections made using Form 2957 Notification of Changes Made to a Child Care Investigation Report.

See 4741.2 Required Notification When Changes Are Made to a Closed Investigation.

5313 Requesting an Extension Due to Pending Autopsy or Criminal Investigation Results

CCI January 2024

The investigator must request an extension from the supervisor if both of the following apply:

  • CCI has requested but not yet received autopsy results or information from an active criminal investigation.
  • CCI needs the requested information in order to reach a disposition for the allegations.

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

If the investigator and supervisor are able to reach a disposition without this information, an extension is not needed. The investigator adds the finalized autopsy results or criminal investigation report to IMPACT in a closed stage addendum and uploads the results or report to OneCase. The investigator must notify the required people and entities of the edits or corrections made using Form 2957 Notification of Changes Made to a Child Care Investigation Report.

See 4741.2 Required Notification When Changes Are Made to a Closed Investigation.

5320 Investigation of a Child’s Near Fatality

CCI January 2024

If a child suffers a near fatality while in the care of an operation subject to regulation by Child Care Regulation (CCR), CCI investigates to determine whether abuse, neglect, or exploitation was a factor in the child’s near fatality.

If the near fatality occurred while the child was in the care of a residential child care operation, the investigator must do the following:

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

If the treating physician is not a physician who specializes in child abuse and neglect, the investigator may request consultation with a Forensic Assessment Center Network (FACN) health care practitioner in order to do the following:

  • Determine whether to assign a severity level of Near Fatal to an allegation.
  • Determine whether the injury or medical condition was a result of abuse, neglect, or exploitation.

5321 Actions in the First 24 Hours

CCI January 2024

Within 24 hours after receiving an intake indicating that a child in care suffered a near fatality, the investigator must complete the following additional tasks:

  • Contact law enforcement to request a joint investigation.
  • Make sure that the alleged victim’s person details are entered in IMPACT.
  • Notify the Complex Investigations Division.
  • Request a joint investigation with the CPI Special Investigations division before initiating the investigation.
  • Initiate the investigation.
  • Evaluate the safety of any other children in care of the alleged perpetrator and at the operation of concern.

After notification from the investigator, the Complex Investigations Division assesses the operation’s history.

See:

1311 CPI Special Investigators

4510 Evaluating the Need for a Safety Plan

4240 Conducting Risk Assessment of Regulatory History

2110 Notifications Made at Beginning of Investigation

4310 Initiating the Investigation

5322 Supervisory Approval of the Investigation of a Near Fatality

CCI January 2024

The supervisor completes all of the following:

  • Reviews the gathered evidence with the investigator.
  • Helps the investigator determine the disposition.
  • Follows normal procedures for reviewing completed investigations (see 4720 Reviewing an Investigation).

Once the supervisor has approved the investigation in IMPACT, the supervisor must send the investigation to a complex investigation analyst for secondary approval.

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

On the same day that the analyst approves a near fatality investigation, the complex investigation analyst notifies the following people by email:

  • CCI investigator.
  • Investigator’s supervisor.
  • Program administrator.
  • Complex Investigations Division administrator.

5330 Releasing Information about an Investigation of a Child’s Death or Near Fatality

CCI January 2024

When CCI is investigating a fatality or near fatality that is alleged to be the result of abuse, neglect, or exploitation, the public may request and receive information about the child’s death or near fatality.

Texas Family Code §261.203

DFPS Rules, 40 TAC Chapter 702, Subchapter D

CCI uses the following reports to provide this information:

See also 5334 Legal Review of Information to Be Released.

5331 Information Required to Be Released before the Investigation Is Complete

CCI January 2024

No later than the fifth day after DFPS receives a request for information about the death or near fatality of a child, the designated CCI staff member completes Form A Child Fatality Report – Release of Information to the Public and sends the form to the requestor.

The report provides the following information:

  • The DFPS person identification number of the deceased child.
  • The age and sex of the deceased child.
  • The date of the child’s death or near-fatal incident.
  • Whether the child was in DFPS conservatorship at the time of the death or near-fatal incident.
  • The type of living arrangement that the child was in at the time of the death or near-fatal incident. This is one of the following:
    • With the child’s parent, managing conservator, legal guardian, or other person entitled to possession of the child.
    • In a child-placing agency (CPA) foster home, CPA foster group home, independent foster home, independent foster group home, or general residential operation.
    • In another living arrangement.

5332 Time Frame for Releasing Information If the Fatality or Near Fatality Resulted from Abuse, Neglect, or Exploitation

CCI January 2024

Fatality

The designated CCI staff member must complete and provide Form B Child Fatality Report – Release of Information to the Public if both of the following apply:

  • CCI determines that the child’s fatality was the result of abuse, neglect, or exploitation.
  • A member of the public requests information about the case.

The requested information must be released within 10 days after CCI completes the investigation or within 10 days after DFPS receives the request for information about the child’s death, whichever is later.

Near Fatality

The designated CCI staff member must complete and provide Form C Child Near Fatality Report – Release of Information to the Public if both of the following apply:

  • CCI determines that the child’s near fatality was the result of abuse, neglect, or exploitation.
  • A member of the public requests information about the case.

The requested information must be released within 10 days after CCI completes the investigation or within 10 days after DFPS receives the request for information about the child’s near fatality, whichever is later.  

5333 Information Released If the Fatality or Near Fatality Resulted from Abuse, Neglect, or Exploitation

CCI January 2024

This section describes the types of information that are included on Form B Child Fatality Report – Release of Information to the Public and Form C Child Near Fatality Report – Release of Information to the Public.

The designated CCI staff member must provide a summary of each abuse, neglect, or exploitation investigation in which the deceased or nearly deceased child was an alleged victim. For details about what information the summary must include, see the subheadings below in this section.

Foster Home

If the child was placed in a foster home verified by a child-placing agency at the time of the fatality or near fatality, the summary includes the following information:

  • The name of the child-placing agency that most recently verified the home.
  • The date of the most recent verification.
  • If the home was previously verified by the same or another child-placing agency, the following information:
    • The name of each prior child-placing agency that verified the home.
    • The dates on which each prior verification began and ended.
    • The reason for any prior closure of the home, if that information is documented in DFPS’s records.
  • For each allegation of abuse, neglect, or exploitation investigated against a person in the same home in the five-year period ending with the child fatality or near fatality, the following information:
    • The date on which the investigation was initiated.
    • The type of alleged abuse, neglect, or exploitation.
    • The disposition of the investigation.
    • Whether an appeal of the disposition is pending.
    • Whether the deceased child was an alleged victim of any of the prior allegations of abuse, neglect, or exploitation.
  • Any violations of minimum standards at the same home in the five-year period ending with the child fatality or near fatality.
  • A description of the types of training required to be completed by the foster parents, employees, or other people providing care or supervision of a child in the same home.
  • A summary of any training standards that the home violated in the five-year period ending with the child fatality or near fatality, to the extent documented in DFPS’s records.
  • A summary of any remedial actions against the home or the child-placing agency that verified the home in the five-year period ending with the child fatality or near fatality.

General Residential Operation or Residential Treatment Center

If the child was placed in a general residential operation or residential treatment center at the time of the fatality or near fatality, the summary includes the following information:

  • The date on which the operation became licensed.
  • For each allegation of abuse, neglect, or exploitation investigated against a person in the same operation in the five-year period ending with the child fatality or near fatality, the following information:
    • The date on which the investigation was initiated.
    • The type of alleged abuse, neglect, or exploitation.
    • The disposition of the investigation.
    • Whether an appeal of the disposition is pending.
    • Whether the deceased child was an alleged victim of any of the prior allegations of abuse, neglect, or exploitation.
  • Any violations of minimum standards at the operation in the five-year period ending with the child fatality or near fatality.
  • A description of the types of training required to be completed by a caregiver, employee, director, or other person providing care or supervision of a child in the operation.
  • A summary of any training standards that the operation violated in the five-year period ending with the child fatality or near fatality, to the extent documented in DFPS’s records.
  • A summary of any remedial actions taken against the operation in the five-year period ending with the child fatality or near fatality.

DFPS Rules, 40 Texas Administrative Code (TAC) §702.311

5334 Legal Review of Information to Be Released

CCI January 2024

The designated CCI staff member compiles the information described in 5333 Information Released If the Fatality or Near Fatality Resulted from Abuse, Neglect, or Exploitation and completes Form B Child Fatality Report – Release of Information to the Public or Form C Child Near Fatality Report – Release of Information to the Public.

Then, the designated CCI staff member sends the completed form to the DFPS open records attorney for review and redaction.

After the open records attorney approves the information for release, the attorney sends a copy of the form to the child’s attorney ad litem, if one has been appointed.

Texas Family Code §261.203

DFPS Rules, 40 TAC Chapter 702, Subchapter D

5400 Special Considerations for Certain Types of Reports

5410 Conducting Surveillance (Day Care Only)

Policy

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

a.   a program or caregiver is subject to regulation;

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

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

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

Procedure

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

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

See 1400 Technology Supporting Investigations.

5420 Investigations Involving DFPS Employees

CCI August 2022

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

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

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

DFPS Employees as Alleged Perpetrators

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

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

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

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

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

5430 OAG Address Confidentiality

CCI January 2024

A case involving a participant in the Office of the Attorney General (OAG) Texas Address Confidentiality Program is a sensitive case. The CCI investigator must not disclose the participant’s physical address to any other person or entity, including other DFPS programs. The OAG-issued post office (P.O.) box address must be the participant’s recorded address in DFPS records. Any written communication from DFPS, including legal communication, must be sent to that address, not the participant’s physical address. The investigator must request the physical address only to investigate abuse, neglect, or exploitation. The investigator requests the address through the OAG’s public information coordinator or Crime Victims’ Services division.

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