Revision 23-4; Effective Nov. 30, 2023

All reports that allege failure to comply with statutes, administrative rules or minimum standards require some degree of investigation, except when specific conditions exist as noted within policy.

The investigator must complete an investigation of a report alleging possible risk to children promptly and thoroughly to ensure that children who are or will be in care at the operation are protected. This applies to child care operations that HHSC regulates or is responsible for regulating under Chapter 42, Human Resources Code.

Human Resources Code Section 42.044(c)

26 TAC Section 745.8405

6110 Types of Investigations

Revision 23-4; Effective Nov. 30, 2023

There are two types of intake reports:

Reports of Abuse, Neglect, or Exploitation: The Department of Family and Protective Services (DFPS) investigates reports of abuse, neglect or exploitation that allege a child in care of an operation was or may be harmed because of an act or omission by a person working under the supervision of a child care operation. Such harm must meet the definitions of abuse, neglect or exploitation, as described in the Family Code and Texas Administrative Code. (DFPS also investigates reports of exploitation that allege a person working under the auspices of an operation engaged in illegal or improper use of a child or used a child’s resources for monetary or personal benefit, profit or gain.) The operation where the alleged abuse, neglect or exploitation occurred may also be violating statutes, administrative rules or minimum standards.

Within this policy, any investigation that includes an allegation of abuse, neglect or exploitation is a "DFPS investigation."

Reports of Non-Abuse, Neglect, or Exploitation: HHSC investigates reports that allege statute, administrative rules or minimum standards have been or are in violation. No allegation of abuse, neglect or exploitation is involved.

Within this policy, an investigation that only includes an allegation of statute, administrative rules or minimum standards, with no allegation of abuse, neglect or exploitation is an “investigation.”

Human Resources Code Section 42.044(c)

Family Code Section 261.001

26 TAC Sections 745.8401; 745.8403; 745.8405; 745.8407

6120 Principals and Collaterals

Revision 22-5; Effective Nov. 4, 2022

Principals and Alleged Victims

A principal is any adult or child directly involved in an incident that CCR is investigating.  

A principal child is also known as “an alleged victim”.  Not all non-abuse and neglect investigations involve alleged victims.

Examples of non-abuse and neglect investigations with alleged victims:

1. a child injured while in care;
2. an allegation that a caregiver’s actions placed a specific child at risk, such as leaving a child unsupervised in a classroom;
3. an allegation that an operation did not give a child medication as prescribed; and
4. an unregulated operation investigation with an allegation that a specific child was physically disciplined.

Examples of non-abuse and neglect investigations without alleged victims:

1. an investigation of an unregulated operation and the only allegation is that the operation is operating without a permit;
2. an allegation of a physical site violation that did not cause harm or injury to specific children; and
3. failure to obtain a fire inspection within the required time frame.

Collaterals

A collateral includes any adult or child who is not directly involved in the incident but may be able to provide information regarding:

1. the incident under investigation;
2. a child or adult who was directly involved in the incident; or
3. type of care and supervision provided at the operation.

6130 Role of the Inspector

Revision 22-4; Effective Sept. 20, 2022

A CCR inspector who conducts an investigation becomes an investigator for purposes of CCR policies and procedures and:

1. responds to reports of possible violations of statute, administrative rules, or minimum standards that do not allege abuse, neglect, or exploitation (an investigation);
2. receives information about possible deficiencies a DFPS investigator noted during a DFPS investigation and cites deficiencies when warranted; and 
3. follow ups on deficiencies cited during investigations and DFPS investigations and completes entries related to the follow-up in CLASS.

6140 Role of the Supervisor and the Supervisor’s Designee

Revision 22-4; Effective Sept. 20, 2022

Other staff involved in an investigation may include the CCR supervisor and the supervisor’s designees.

CCR Supervisor

The supervisor is responsible for all of the following:

1. coordinating the assignment of intakes to investigative staff;
2. approving the administrative closure of intake reports;
3. approving a change in priority for an investigation;
4. approving intensified monitoring or surveillance;
5. approving a recommended plan of action; 
6. approving requests for assistance from other HHSC divisions or government agencies when the expertise of CCR staff is requested, such as providing guidance regarding when an unregulated entity may be subject to regulation;
7. ensuring that a safety plan is implemented, when the circumstances call for taking immediate safety measures; 
8. ensuring that investigators conduct and document investigations according to policies and procedures;
9. ensuring that the inspector and supervisor follow procedures for recommending corrective action, adverse action, and judicial action;
10. arranging for other HHSC divisions or government agencies to review an investigation, as necessary;
11. approving extensions of time to complete an investigation, in accordance with policies and procedures; and
12. evaluating the need to upgrade an investigation to a DFPS investigation. 

Supervisor’s Designee

A supervisor may assign another supervisor or tenured inspector as a designee for the purposes of acting as a supervisor, including providing required supervisory approvals in the supervisor’s absence.

A supervisor may assign a router or inspector as a designee for the purposes of routing and processing intakes under the supervisor’s guidance.

See:

1220 Assigning a Designee in CLASS
1221 Maximum Number of Designees in CLASS