Special Investigation Procedures

Compliance Reviews

If a complaint falls within the agency’s jurisdiction, JRU may refer the complaint to the Compliance Review Unit (CRU) or the Self-Reported Data Unit (SRDU) or directly to the Special Investigations Unit (SIU). If referred to CRU or SRDU and authorized by the commissioner of education or his or her designee for further investigation, those units will conduct a compliance review.^[ii]  Superintendents will be notified by email if a compliance review is issued for their LEA. As a part of the compliance review process, CRU or SRDU will request documentation and other information from an LEA to review and determine whether a violation is readily apparent. Both CRU and SRDU will provide notice to the LEA of the general allegations, a copy of these investigative procedures, and a request for an LEA response at the start of their compliance reviews.

The purpose of a compliance review is for investigators to further assess the complaint to determine whether it holds merit by reviewing data available to the agency and gathering information from the LEA, the complainant, or other relevant witnesses. If the complaint is shown to be without merit at this stage, the units may close the investigation, with notice to both the LEA and the complainant, forestalling the need for a larger investigation by the SIU. If the complaint has merit, it will either be resolved through the mechanisms described below or referred to the SIU.

Compliance Review Unit

If a complaint is referred to CRU and the commissioner or his or her designee authorizes an investigation, the unit will begin a compliance review. CRU will provide notice to the LEA superintendent of the compliance review. The notice will include:

• A copy of these procedures;
• The general allegation(s) or matter(s) under investigation;
• Contact information for the appropriate TEA representative to whom requests for, and delivery of, information may be directed;
• A request for updated contact information for the LEA’s governance team (the superintendent and the board of trustees) for future correspondence; and
• A request for identification of the LEA’s legal counsel if the LEA would like them to be copied on correspondence at this stage, as well as notice that the LEA may request their presence during district communications with the agency.

After a CRU compliance review, there are a number of possible next steps for the investigation. These steps include, but are not limited to, an administrative closure if the LEA has a valid exception to the legal or program requirements or if there is insufficient evidence to substantiate the allegation, an attestation if the LEA was out of compliance but can now demonstrate compliance, a corrective action plan (CAP) if the LEA has continued its lack of compliance, or a referral to SIU if the initial investigative work done in the compliance review is not sufficient to reach a satisfactory resolution and/or the LEA is uncooperative.

If an administrative closure occurs due to insufficient evidence identified to substantiate an allegation, investigators will file an internal memorandum to identify the steps taken in the investigation and the reasoning for closure.

Self-Reported Data Unit

The SRDU is unique among the Compliance and Investigations Department in that its investigations most often occur through the identification of data anomalies or concerns by reviewing or monitoring data reported to the agency by LEAs, via authority provided through Tex. Educ. Code § 39.003. These data anomalies or concerns may be identified by SRDU independently, through collaboration with other TEA program areas, or from complaints or concerns from outside the agency. SRDU investigations undergo a jurisdictional review by agency staff but are not necessarily individually processed by the Jurisdictional Review Unit. 

If these data-related matters fall within the agency's jurisdiction and are referred to SRDU as complaints, the commissioner or his or her designee may authorize further investigation.^[iii] SRDU investigators will begin a compliance review to more closely review the LEA’s data reporting and programmatic policies and procedures to ensure that the LEA is in compliance with related state and federal laws, rules, and regulations. SRDU will notify the LEA superintendent and/or appropriate district staff that a data anomaly or concern was identified; and the notice will also include:

• A copy of these procedures;
• The general allegation(s) or matter(s) under investigation;
• Contact information for the appropriate TEA representative to whom requests for, and delivery of, information may be directed;
• A request for updated contact information for the LEA’s governance team (the superintendent and the board of trustees) for future correspondence; and
• A request for identification of the LEA’s legal counsel if the LEA would like them to be copied on correspondence at this stage, as well as notice that the LEA may request their presence during district communications with the agency.

As with other compliance reviews, this stage is intended to allow an LEA to provide an explanation of their local policies and procedures and demonstrate sound data collection and reporting practices and program implementation.

After an SRDU compliance review, there are a number of possible next steps for the investigation. These steps include, but are not limited to, an administrative closure if there is a reasonable explanation for the data anomaly and an expectation that the data reported are accurate and/or related programs are being implemented with fidelity, an attestation if there was a failure in data reporting and/or program implementation but the LEA can now demonstrate fidelity in these areas, a CAP if the LEA has a continued lack of compliance and/or cannot demonstrate compliance, or a referral to SIU if the compliance review does not result in a clear or reasonable explanation for the data anomaly and/or the LEA is uncooperative at any stage of the compliance review.

If the data under review are related to the state accountability system, SRDU may enter into an agreement with an LEA to recalculate their state accountability rating to be reflective of the LEA’s actual performance. If an investigation is referred to SIU and is related to data used in the state accountability system, the LEA may receive a temporary “Data Under Review” label, on either a preliminary or final rating, on TXschools.gov and their Texas Academic Performance Reports (TAPR) while under investigation.

The SRDU is also required to investigate data anomalies identified in school districts’ self-reported dropout records and disciplinary alternative education program (DAEP) data.^[iv][v] These processes include an electronic audit of districts’ data and ultimately identifies the districts that are at high risk of having inaccurate data or are not complying with DAEP program requirements.

If a district is identified as at high risk of having inaccurate dropout records, they will be notified of this designation and the commissioner’s determination that on-site monitoring of their dropout records is required. A district will also be provided any recommendation by the commissioner concerning the data. The district will have up to 30 days to provide a response to the commissioner’s determination. If no timely response is submitted, or the commissioner maintains his or her determination, the agency will conduct on-site monitoring of the district’s dropout records. The commissioner will notify the district’s board of trustees of all recommendations and violations found.

If a district is identified as at high risk of having inaccurate DAEP data or of failure to comply with DAEP requirements, they will be notified and provided with any recommendations by the commissioner concerning the data.

The commissioner is entitled to access all district records necessary or appropriate in these processes. Furthermore, if the data in either review reveal that a penal law has been violated, the commissioner will notify the appropriate authorities.

If a matter is referred to the SIU, either directly from JRU or after a compliance review by CRU or SRDU, the SIU will send a written notice to the superintendent and the board president of the LEA, informing them of the investigation. 

This written notification will include:

• A copy of these procedures;

• The general allegation(s) or matter(s) under investigation, including any new matters that may have arisen as a part of an earlier compliance review;

• Contact information for the appropriate TEA representative to whom requests for, and delivery of, information may be directed; 

• A request for updated contact information for the LEA’s governance team (the superintendent and the board of trustees) for future correspondence; and
• A request for identification of the LEA’s legal counsel.

The notification may be accompanied by requests for records and data from the LEA as well as contact information and availability of certain witnesses.  

Amended Notifications:

During the investigation, SIU or other units may obtain information prompting the already initiated special investigation be expanded into new areas of investigation that do not fall under the same categories of allegations cited in the initial notification. Should SIU choose to expand its investigation, it may provide the LEA with an amended notification describing the additional areas of investigation. The effect of multiple notices being issued in one special investigation is cumulative. Unless otherwise described in an amended notice, previously issued notices remain in full force and effect upon the issuance of an amended notice.

Part II. Process of Investigation

Once their investigative stage begins, the SIU may conduct a desk review of records and data provided by the LEA, any third party, or already in possession of TEA. This information includes, but is not limited to, documents, written or electronic communications, aggregated and other forms of data, and witness interviews occurring before, or during, the investigation. The SIU may determine that the results of the desk review are sufficient to resolve the investigation, possibly through a preliminary report. The desk review may lead the SIU to conduct further investigation, including but not limited to additional document requests, interviews, or information gathering.

The SIU may at any time during the investigation determine that an on-site investigation is required. Notice of an on-site visit shall be provided to the LEA.

Interviews may be conducted at any time with the LEA staff, parents, students, and other persons who may possess relevant information relating to the special investigation. If SIU determines the need to interview a student, SIU will contact the parent or guardian of that student. Interviews of a minor child require the written consent and presence of the parent or guardian. If the parent or guardian is unable to attend but gives written consent, the parent or guardian may designate a non-LEA related agent as a representative to be present during the interview.

Legal Counsel:

If the LEA is represented by legal counsel, board members and LEA employees presently having a managerial responsibility with an LEA that relates to the subject of the investigation, and other presently employed persons of an LEA whose act or omission in connection with the subject of the investigation may make the LEA vicariously liable for such act or omission, shall have legal representation for the LEA present during their interview, unless the LEA and its counsel otherwise provides consent to proceed with the interview without legal counsel. This section does not apply if any interviewee elects to bring personal counsel.

For all other interviewees, legal counsel representing the LEA shall not be present during the interview. All interviewees, including board members, managerial LEA employees, or LEA employees who may create potential vicarious liability, may request to have legal counsel present representing the interviewee in the interviewee’s individual capacity. However, in no event shall an attorney jointly representing any individual employee and the LEA be present. If an individual has their own attorney present, LEA counsel may be excluded.

Except for the ability of the LEA to provide legal counsel for certain persons, investigator(s) and the interviewee are the only individuals who may be present during an interview.

Part III. SIU Investigation Resolutions

Administrative Closure:

At any point during an investigation, the SIU may determine that an administrative closure is appropriate. For example, if the LEA has a valid exception to the legal or program requirements, there is insufficient evidence to substantiate the allegation, or the LEA has instituted sufficient changes/precautions to remedy the current issue and/or prevent future violations. If an administrative closure occurs, the LEA and the complainant will be issued closure notices. Any special investigation may be reopened at any time if it is determined to be necessary based on new or additional evidence, a new complaint, or review of data from another program area within TEA. If an administrative closure occurs due to insufficient evidence identified to substantiate an allegation, investigators will file an internal memorandum to identify the steps taken in the investigation and the reasoning for closure.

The SIU may require the LEA to provide documentation attesting to the truthfulness of their responses prior to an administrative closure. This document is known as an attestation.

If the investigators find no violation of law, rule, or policy, the SIU may issue a report of findings to the LEA prior to the closure of an investigation. This report will describe the scope of the investigation, the findings, and the analysis. The report of findings, once issued, is not audit working papers and should be released by the LEA pursuant to Texas Public Information Act requirements, if requested.

Agreement of the Parties:

TEA may enter into an agreement with the LEA at any time during the process described by these procedures. This agreement may include any terms that the agency and the LEA may agree to unless prohibited by law. A material breach of any agreement entered into between TEA and the LEA may lead to a reinitiated special investigation based upon the underlying facts prompting the agreement. Whether a material breach of an agreement between the LEA and TEA has occurred shall be at the sole discretion of the commissioner of education or his or her designee. Agreements made between an LEA and TEA are not subject to judicial review.

Corrective Action Plan:

As provided by statute, at any time prior to the issuance of a final report, the commissioner of education may defer taking actions listed under Tex. Educ. Code § 39.003(d) and may, among other things, require the LEA complete a CAP.^[vi] Depending on the successful completion of the CAP, which is determined solely by the commissioner, the commissioner may decline to take the deferred action(s).

Preliminary Report:

Upon completion of the special investigation, SIU will issue a preliminary report in accordance with Tex. Educ. Code § 39.004. The preliminary report is a draft and audit working paper of the investigation.

The preliminary report will be provided to the LEA and any person TEA finds to have violated a law, rule, or policy and will:

• Provide a written report of the agency’s preliminary findings;
• Describe the factual and legal basis for each violation;
• Provide any evidence relied on by the agency in making the preliminary findings;
• Disclose the identity of any witness whose statements the agency relied on in making findings;
• Not include recommended sanctions or interventions;

Not later than 30 days of receipt of the preliminary report, the LEA may accept TEA’s findings or respond to the agency, in writing, by submitting any items and information to be considered before the agency issues a final report to the LEA.^[vii]

The preliminary report and all associated material produced by the agency in support of the report are audit working papers. The LEA may publicly release the preliminary report only if the release is approved by an affirmative vote of the board of trustees of the LEA. All evidence collected by the agency in connection with a special investigation is confidential and not subject to disclosure under Chapter 552 of the Texas Government Code except to a person with a legitimate interest in the investigation or in connection with an administrative or other legal proceeding under this title.^[viii]

Final Report:

Following a review of the LEA’s response to the preliminary report, the agency may issue a final report. The final report may include changes or additions to the preliminary report (or action) and will recommend corrective actions and/or sanctions if appropriate.

The issuance of a final report does not preclude the agency from taking further action relating to the same transaction of events that prompted the special investigation should additional material facts come to light that show, in the judgment of the commissioner or designee, that the LEA is in breach of any agreement, corrective action plan, or any other sanction resulting from the special investigation.   

Before the commissioner determines to order a sanction or intervention based on a final report, the commissioner or designee will provide statutorily required due process. The agency will notify the LEA of their right to an informal review, if applicable and desired, and who to contact to request an informal review.

If the recommendations of the final report entitle the LEA to a hearing under Tex. Educ. Code § 39.005, the LEA may request a hearing not later than 15 days after the LEA’s board of trustees receives the final report.

Special Investigations, at all stages, shall be conducted in such a way that allows the agency to obtain information from district employees in a manner that prevents a district or campus from screening the information.

Recording of witness interviews and release of evidence:

Investigators may record interviews with witnesses, including current and former board members, school administrators and staff, parents, complainants, and other parties during the investigation. LEA board members, administrators, and staff may not record any confidential interviews associated with the special investigation.

As the interview is considered confidential evidence, investigators will not provide a copy of the interview to the LEA unless it is evidence relied on for a conclusion in a preliminary report. The preliminary and final reports may refer to students or parents by anonymized identifiers. However, the exhibits will contain TEA’s evidence and information on the identity of these individuals. All evidence collected in connection with a special investigation, including the exhibits of a preliminary report, is confidential as a matter of law and may not be disclosed.^[ix]

Subpoena Authority^[x]:

The commissioner or his or her designee may subpoena a current or former employee, agent, or official of the LEA to attend a deposition or produce documents reasonably necessary for the investigation.^[xi] Failure to comply with a subpoena under this section may result in a suit in district court.^[xii]

Reliance on evidence from confidential sources:

At any time prior to disclosure witnesses may request that their identity be kept confidential and not associated with portions of, or all, the information they provide during their interviews. TEA is not required to disclose the identity of any witness during the pendency of an special investigation.^[xiii] An investigative unit may provide a summary or excerpts from the complaint in their respective notice to the LEA to maintain the confidentiality of the complainant or other witnesses. However, upon completion of the special investigation, the agency may issue a preliminary report and at that point must disclose the identity of any witness whose statements the agency relies on in making its findings to the LEA.

Investigators shall not sustain an allegation exclusively from confidential sources. Except when the information obtained from a confidential source is itself corroborating evidence of an allegation, investigators shall obtain corroborating evidence concerning information obtained from confidential sources before relying upon it in the preliminary or final reports and shall consider the confidential nature of the information when assigning it its due weight.

Cooperation and candor to the agency:

The LEA shall be cooperative, candid, and honest in all matters related to any stage of an special investigation. Willful failure on the part of any of the LEA’s employees or agents to provide any document or reply candidly to requests for information may result in a negative presumption against the LEA wherein investigators may view the contents of the withheld document or answer to the evaded question in the light least favorable to the LEA.

Knowingly supplying false information to investigators during a special investigation may be considered interference with the investigation and may result in the agency issuing an amended notice including additional grounds for investigation and possible sanctions.

An LEA whose employee or other agent knowingly supplies false information to investigators, or who performs any act that has the effect, or attempted effect, of intimidating, retaliating against, or in any way influencing the candid testimony of any witness or otherwise interfering with an special investigation may be issued an amended notice expanding the special investigation. 

Part II. Deferred Actions^[xiv]

Prior to a special investigation report with final findings, under Tex. Educ. Code § 39.003(e), the commissioner may require:

1. a third party, selected by the commissioner, to review programs or other subjects of an investigation and submit a report identifying problems and proposing solutions;
2. the LEA to complete a Corrective Action Plan developed by the commissioner; or
3. both (1) and (2).

Based on the results of an action taken under Tex. Educ. Code § 39.003(e), the commissioner may decline to take the deferred action.

Part III. Release of Information, Referrals, Procedural Matters

Any unit with the Compliance and Investigations Department may refer allegations, evidence, or investigative findings to other departments in the agency, to other state or federal agencies, or to appropriate law enforcement at any time during an investigation or after a preliminary or final report is issued. If the report includes suspected criminal violations, the report and underlying evidence may be submitted to the appropriate law enforcement authority, including the county district attorney. Evidence that one or more educators violated a state or federal law may be referred to the Educator Investigations Division or to the Student Assessment Division for further review and determinations.

The review of a complaint or an investigation may temporarily be suspended if there is a pending criminal or administrative matter related to the alleged act of misconduct that gives rise to the investigation. A criminal or administrative matter includes an audit by a state or federal agency, an arrest, an investigation, related litigation or other enforcement action brought by a state or federal administrative agency, or a prosecution by a criminal law enforcement agency. As part of its procedure, staff will attempt to make regular contact with the agency where a related matter is pending to determine whether the related matter has been closed or otherwise resolved.

TEA complies with the Texas Public Information Act (TPIA) for releasing information in response to public requests. Information can only be kept confidential to the extent allowed by law. If the public requests audit working papers and drafts relating to the investigation, TEA will seek to withhold them from release through the Office of the Attorney General.

Media inquiries will be directed to the TEA Office of Communications. During an ongoing investigation, no information will be released until a final report is issued or an investigation is otherwise closed.

These procedures are available to the complainant and the public via the TEA website.

Investigative staff will be trained in these procedures and will follow them in conducting special investigations.

Any modifications to these procedures or the complaint resolution procedures may be ratified by the commissioner or the commissioner’s designee at any time.
 

Effective March 19, 2025.

 

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ⁱⁱ Tex. Educ. Code § 39.003

ⁱⁱ Tex. Educ. Code § 39.003

ⁱⁱⁱ Tex. Educ. Code § 39.003

^iv Tex. Educ. Code § 39.308

^v Tex. Educ. Code § 37.008(m-1)

^vi Tex. Educ. Code § 39.003(e)

^vii Tex. Educ. Code § 39.004(f)

^viii Tex. Educ. Code § 39.004(d)

^ix Tex. Educ. Code § 39.004(e)

^x Tex. Educ. Code §§ 39.004(i) and 39.0302(a)

^xi Tex. Educ. Code § 39.004(i)

xii Tex. Educ. Code § 39.004(j)

^xiii Tex. Educ. Code § 39.004(a-1)

^xiii Tex. Educ. Code § 39.003(e)