Child Care Regulation Handbook

1100, HHSC Regulatory Authority

Revision 22-5; Effective Nov. 4, 2022

Certain provisions in Chapter 531 of the Texas Government Code transferred the regulatory functions of the Texas Department of Family and Protective Services (DFPS) to the Texas Health and Human Services Commission (HHSC) on September 1, 2017.  Hence, by default, Chapter 42 of the Texas Human Resources Code now designates HHSC as the agency responsible for protecting the health, safety, and well-being of Texas children by regulating child-care operations that provide assessment, care, training, education, custody, treatment, or supervision:

  • for a child who is not related by blood, marriage, or adoption to the owner of the operation; and
  • for all or part of the 24-hour day.

The same provisions of the Texas Government Code transferred DFPS’s responsibility under Chapter 43 of the Texas Human Resources Code to HHSC. Hence, HHSC is responsible for issuing licenses for child-care and child-placing-agency administrators. This chapter requires HHSC to develop and administer an examination as part of the licensing process for licensed administrators.

HHSC has designated the Child Care Regulation (CCR) Department for being responsible for carrying out the responsibilities outlined in Chapters 42 and 43 of the Texas Human Resources Code.

Texas Government Code Sections 531.02001531.02011531.02013531.02014; and 2401.002 

Texas Human Resources Code Sections 42.00142.00242.052(c)43.00343.004(2); and 43.008

1110 CCR's Regulatory Activities

February 2021

Child Care Regulation's (CCR's) regulatory activities include:

  1. reviewing applications for permits;
  2. determining whether a child care program is subject to regulation or is exempt;
  3. issuing permits to applicants;
  4. inspecting and investigating operations;
  5. developing and administering licensing examinations for child care and child-placing agency administrators;
  6. seeking to ensure ongoing compliance with the requirements in Texas statutes and rules;
  7. providing technical assistance to operations and licensees;
  8. supporting operations in their efforts to improve their programs;
  9. taking administrative, corrective, or adverse action on operations and licensees, as appropriate; and
  10. conducting background checks on persons who are required to have a background check.

1120 Legal Support for Policies and Procedures

September 28, 2018

This handbook is intended primarily for HHSC Child Care Licensing staff. Licensing staff must follow the handbook's policies and procedures, so that HHSC meets the requirements in the Licensing statutes and rules. State statutes and rules that support the policies and procedures are cited in the handbook.

1121 District and Regional Procedures

December 2011

District directors and managers may develop procedures for their staff provided that the procedures:

  • support the provisions in this handbook;
  • do not conflict with Licensing statute, rules, and the policies in this handbook; and
  • have been discussed and approved by the Director of Child Day Care Licensing or the Director of Residential Child Care Licensing.

1122 Child Care Regulation Statutes

Revision 23-4; Effective Nov. 30, 2023

State statutes for Child Care Regulation (CCR) are found in the following:

Human Resources Code

Chapter 40: Although most of the statutes in this chapter relate to DFPS responsibilities, two exceptions are Human Resources Code (HRC): 

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

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

1123 Child Care Regulation Rules (Texas Administrative Code)

Revision 23-4; Effective Nov. 30, 2023

HHSC rules related to CCR are found in 26 TAC Chapter 745. The rules implement the agency's statutory responsibilities and identify and describe the rights and responsibilities of HHSC and the operations HHSC regulates. These rules can be found on the HHS website at Minimum Standards or on the Secretary of State website at Texas Administrative Code.

Before adopting new, amended or repealed rules, HHSC publishes all proposed rule changes in the Texas Register for a 30-day review and comment period.

Chapter 2001Government Code (GC)

Once adopted, rules in the TAC carry the force of law.

1123.1 Chapters of Rules in the Texas Administrative Code Applicable to Child Care Regulation

Revision 23-4; Effective Nov. 30, 2023

The following chapters of rules in Title 26 of the Texas Administrative Code (TAC) apply to the rules for CCR. Once proposed, reviewed and adopted, rules become part of the Texas Administrative Code. Minimum Standards for child care are based on the corresponding chapter of 26 TAC.

Chapter of Rule in Title 26 TACPublication
26 TAC Chapter 742Minimum Standards for Listed Family Homes
26 TAC Chapter 743Minimum Standards for Shelter Care
26 TAC Chapter 744Minimum Standards for School Age and Before or After School Programs
26 TAC Chapter 745Licensing
26 TAC Chapter 746Minimum Standards for Child Care Centers
26 TAC Chapter 747Minimum Standards for Child Care Homes
26 TAC Chapter 748Minimum Standards for General Residential Operations
26 TAC Chapter 749Minimum Standards for Child-Placing Agencies

1130 Ethics of Regulation

September 28, 2018

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

As a government regulator, Licensing is expected to use its authority in a manner that earns the respect, trust, and confidence of the public and consumers.

Even the appearance of an impropriety must be avoided.

Government Code, §§572.001 and 572.051

Penal Code, Chapter 36 (Bribery and Corrupt Influence) and Chapter 39 (Abuse of Office)

Procedure

In all facets of Licensing responsibilities and activities, staff:

  1. enforce licensing regulations in a fair and equitable manner in accordance with state law and HHSC policy and procedures;
  2. inform regulated entities of their rights and responsibilities throughout the regulatory process;
  3. foster a mutual respect among regulated entities, consumers, and HHSC;
  4. provide child care operations with information and assistance to improve their understanding of state regulations for child care and improve their ability to meet those regulations;
  5. provide information to parents and consumers to assist them in making informed decisions about child care; and
  6. are courteous and professional when conducting regulatory actions.

Licensing staff must:

  1. avoid the appearance as well as the fact of improper, unfair, or self-serving conduct, including unwarranted discrimination or differential treatment;
  2. behave in a manner that earns respect, trust, and confidence and reflects positively on their profession and HHSC;
  3. promptly disclose any personal or financial interest they have or have had that might appear to influence their actions;
  4. avoid the fact or appearance of using their positions to endorse a particular product, licensee, service provider, or group of licensees or providers;
  5. not allow political or religious affiliations to influence decisions made while in the role of a regulator; and
  6. observe the policies published in the HHS Human Resources Manual.

1140 Operations and Activities Regulated by Licensing

December 2019

Licensing regulates the following:

  1. Child day care — Operations that provide care to children under age 14 less than 24 hours at a time
  2. Residential child care — Operations that provide care to children under 18 years old 24-hours a day
  3. Administrator licensing — Individuals licensed as child-care administrators, child-placing agency administrators, or both

26 TAC §§745.33745.35745.8901, and 745.8903

1141 Types of Child Day Care Operations

Revision 24-2; Effective May 22, 2024

CCR regulates the following types of child day care operations:

  • listed family homes;
  • registered child care homes;
  • licensed child care homes;
  • child care centers;
  • small employer-based child care;
  • shelter care;
  • before or after-school programs; and
  • school-age programs.

Visit 2110 Permits Required for Child Day Care and 26 TAC Section 745.37(2) for descriptions of these operations.

1142 Types of Residential Child Care

Revision 24-2; Effective May 22, 2024

CCR regulates the following types of residential child care operations:

  • general residential operations (GROs); and
  • child-placing agencies (CPAs).

Other types of residential child care operations include:

  • foster homes verified by a CPA to provide foster care; and
  • adoptive homes approved by a CPA for the purpose of adopting a child.

Visit 2120 Permits Required for Residential Child Care and 26 TAC Section 745.37(3) for descriptions of these operations.

1143 Types of Licensed Administrators

December 2019

The following table describes the types of licensed administrators that Child Care Licensing (CCL) regulates. See also 26 TAC §§745.8901, and 745.8903.

Licensed AdministratorsDescription
Child Care Administrator

A person who:

  • supervises and exercises direct control over a general residential child care operation or a residential treatment center; and
  • is responsible for the operation's programs and personnel, regardless of whether the person has an ownership interest in the operation or shares duties with anyone.
Child-Placing Agency Administrator

A person who:

  • supervises and exercises direct control over a child-placing agency, as defined in §745.37(3)(F) (relating to What specific types of operations does Licensing regulate?); and
  • is responsible for the child-placing agency's programs and personnel, regardless of whether the person has an ownership interest in the agency or shares duties with anyone.

See also Section 9000 Licensed Administrators.

1200, Application Security for CLASS and IMPACT

Revision 23-3; Effective Sept. 22, 2023

To preserve the integrity of confidential information within the Child Care Licensing Automation Support System (CLASS) and Information Management Protecting Adults and Children in Texas (IMPACT) system, CCR employees and certain stakeholders:

  • follow HHSC and DFPS policy for application security;
  • are assigned security roles in CLASS; and
  • are granted access to IMPACT by DFPS as needed.

1210 Assigning Security Roles in CLASS

Revision 23-3; Effective Sept. 22, 2023

Each HHSC employee and stakeholder who has approval to use the CLASS is assigned a core security role. The role is based on the employee's job classification, title and duties.

See Appendix 1000-2: Security Roles and Functions in CLASS for:

  1. a list of the core security roles;
  2. the functions performed by persons in those roles; and
  3. the pages in CLASS used to perform the functions associated with the roles.

Requests for roles that require additional security permissions are considered individually, based on the business need.

Examples of tasks that require additional security permissions include:

  1. updating CLASS to reflect changes in the minimum standards;
  2. maintaining information in the Administrators' Licensing System (ALS) in CLASS; and
  3. maintaining the Technical Assistance Library in CLASS.

Additional Roles

Requests for additional security roles are considered individually, based on the business need.

Additional RoleSummaryCLASS Functions
District Director or ManagerProvides all the functionality assigned to the role of Supervisor, plus the District Director or Manager provides the functions described in the CLASS Functions column to the right.
  • Provider Adverse Action Revocation or Denial – Access the Voluntary/Relinquish Withdrawal check box and Reason text box
  • Operation Main – Reopen a closed operation
  • Operation Main – Access the Do not display on the public/provider website check box
  • Application/Closure – Change the decision made on an application
  • User Request Reports – View an At Risk Facilities Report
State Office StaffProvides the functionality assigned to the role of Licensing Representative, plus the functions described in the CLASS Functions column, to the right.CLASS Document Library – view, upload and edit files.
Administrators’ Licensing System (ALS) in CLASSProvides all the functionality assigned to the role of Licensing Inspector, plus the functions described in the CLASS Functions column to the rightAdd and modify information about a licensed administrator.

CLASS Document Library – View all documents. Upload, edit and delete only files on ALS CLASS pages

1220 Assigning a Designee in CLASS

September 28, 2018

An employee may be assigned to perform functions for another employee in the CLASS. Employees assigned designee status are accountable for the responsibilities they are assigned while serving as designees.

If the designee performs casework for another employee, the designee is expected to produce the same quality of work that would be produced if the designee were working on his or her own caseload.

1221 Maximum Number of Designees in CLASS

September 28, 2018

Managers and Directors

Managers and directors may assign up to three designees each in CLASS.

Supervisors

Supervisors may assign up to two designees in CLASS.

Inspectors

A Child Care Licensing inspector may assign designee status to another Licensing inspector only for the purposes of:

  • completing a specific task; or
  • temporarily covering a caseload.

Once the specific task is completed, the designee status must be deactivated.

Examples of the tasks appropriate for assignment to a designee include:

  1. conducting courtesy interviews during an investigation;
  2. sharing inspection responsibilities, temporarily, for a vacant caseload; or
  3. completing other specific tasks assigned by a supervisor, manager, or district director.

Designees

A Licensing staff person may be appointed as a designee for up to five people.

1222 Time Limitations for Designees in CLASS

September 28, 2018

Child Care Licensing staff may only assign a designee in the CLASS for up to 90 days.

1230 Reassigning Cases, Deactivating Accounts, and Removing Roles in CLASS and IMPACT

September 28, 2018

Directors, managers, and supervisors manage and monitor the workloads of Child Care Licensing employees.

When the employment status of a Licensing employee changes, the employee's director, manager, or supervisor submits a Move, Add, or Change form (known as an eMAC) to request a change in the employee's access to systems such as CLASS and IMPACT.

To maintain security, the eMAC form must be submitted in a timely manner.

1231 Reassigning Cases in CLASS

September 28, 2018

Before an employee's access to CLASS may be removed, all of the employee's cases must be transferred to other employees.

Procedure

When possible, an employee's cases must be reassigned in CLASS before the employee's position is vacated. This includes the reassigning of operations, agency homes, and investigations.

When cases cannot be reassigned before an employee's position is vacated, the cases must be transferred in CLASS no later than five days after the position is vacated.

1232 Removing Rights to CLASS When an Employee Transfers Within HHSC

September 28, 2018

When a Child Care Licensing employee transfers to a new position within HHSC, the employee's rights to the CLASS must be removed at the time of the transfer.

Procedure

No later than the day after a Licensing employee transfers to a new position within HHSC, the employee's supervisor submits a Move, Add, or Change form (known as an eMAC) to request that the employee's rights to CLASS be removed.

1233 Removing Rights to CLASS When an Employee Voluntarily Leaves HHSC Employment

September 28, 2018

When a Child Care Licensing employee voluntarily leaves HHSC employment, all of the employee's rights to the network, including rights to CLASS, must be removed unless the employee is transferring to DFPS and needs to maintain access to CLASS.

Procedure

No later than the day after a Licensing employee voluntarily leaves HHSC employment, the employee's supervisor submits an eMAC (Move, Add, or Change form) to request that the employee's rights to CLASS be removed.

If the employee is transferring to DFPS and needs to maintain access to CLASS as part of the employee's DFPS job duties, the employee's supervisor reviews the employee's assigned security roles and submits an eMAC to request a different security role, if needed.

1234 Removing Rights to CLASS and IMPACT When an Employee is Involuntarily Terminated

September 28, 2018

When an employee is involuntarily terminated from HHSC employment, all of the employee's rights to the network, including rights to the CLASS and IMPACT systems, must be removed immediately.

Procedure

When an employee is involuntarily terminated, the supervisor immediately takes the following actions:

  • Transfers all of the open cases assigned to the former employee in CLASS to another Licensing employee
  • Submits an eMAC (Move, Add, or Change form) to request that all of the former employee's rights to any HHSC and DFPS systems (including CLASS and IMPACT) be removed
  • Requests the former employee's rights be removed immediately by contacting:
    • CLASS Program Support; and
    • IMPACT Application Security Administrator.

If the employee's cases cannot be transferred to another employee immediately in order to terminate the employee's rights to all systems:

  • the employee's supervisor requests that the employee's access to the CLASS and IMPACT systems be suspended by contacting:
    • CLASS Program Support; and
    • IMPACT Application Security Administrator.

1300, Child Care Regulation Records

Revision 23-3; Effective Sept. 22, 2023

The purpose of retaining Child Care Regulation (CCR) records is to:

  1. document that staff have followed the policies and procedures required by statute, administrative rules and the policies in this handbook;
  2. maintain a chronology of an operation's regulatory history with CCR; 
  3. maintain a chronology of a licensed administrator's regulatory history with CCR; and
  4. maintain a background check subject’s background check records submitted and processed in CLASS.

1310 Content and Organization of Child Care Regulation Records

Revision 23-4; Effective Nov. 30, 2023

A CCR record consists of:

  • a hard copy record (if applicable);
  • electronic records maintained in CLASS, including files uploaded to CLASS Document Library. CLASS Document Library replaced CCR Digital Storage SharePoint site and Neubus system for licensed administrators on Aug. 6, 2023; and
  • digital files maintained on the CCR Digital Storage SharePoint site or in the digital Neubus system for licensed administrators (prior to Aug. 6, 2023).

26 TAC Section 745.8481

The documentation in CCR records must be legible, objective, concise and clear. After uploading a file to CLASS Document Library, CCR staff should verify the file uploaded correctly and is legible.

CCR staff establish operation and licensed administrator records according to the following table:

Program AreaHard Copy recordCLASS Record
Day CareIf staff receive a paper copy, the document is retained in the hard copy record until added to the CLASS record.
  • An operation is established in CLASS when an application or inquiry is received.
  • The application is uploaded to CLASS Document Library when accepted.
Residential CareNot used. All records are maintained in the CLASS record or digital records.An operation is established in CLASS and the application is uploaded to CLASS Document Library when an application or inquiry is received.
Unregulated OperationsNot used. All records are maintained in CLASS record or digital records.
  • An inquiry or report of an alleged unregulated operation is received.
  • A search is conducted by staff and a possible unregulated operation is identified.
Exempt OperationsNot used. If staff receive a paper copy, the document is scanned and a CLASS record is created.An application, inquiry or report is received.
Licensed AdministratorsIf staff receive a paper copy, the document is retained in paper file system.When an application and payment of the application fee is received, the applicant information is added to Administrator Licensing System (ALS) in CLASS.

Procedure

Records are maintained according to the guidelines in Appendix 1000-1: Organizing Child Care Regulation Records.

See:

1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 

1311 Records for Investigations

Revision 23-3; Effective Sept. 22, 2023

For investigations:

  1. records are confidential until the investigation is complete;
  2. any document that must be retained as a hard copy record becomes part of the operation hard copy record, after the investigation is complete;
  3. electronic records are maintained in CLASS; and 
  4. all external documentation, including digital photographs, videos, scanned documents, digital files and audio files are uploaded:
    • onto the CCR Digital Storage SharePoint site if the investigation was initiated prior to Aug. 6, 2023; and
    • to CLASS Document Library if the investigation was initiated on or after Aug. 6, 2023.

See: 

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool  
1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 
6740 Maintaining an Investigation File.

1320 Custody of Child Care Regulation Records

May 2020

Each office must establish procedures to track the location of and store hard copy records. The district director must approve the tracking procedures.

1321 Assigning, Reassigning, and Transferring Records

Revision 23-3; Effective Sept. 22, 2023

Electronic records are assigned, reassigned and transferred in CLASS. See 1200 Application Security for CLASS and IMPACT.

In CLASS, the electronic record is assigned to the CCR staff who is responsible for regulating the operation, even though different CCR employees may be assigned to complete an investigation, inspection or other regulatory activities.

CCR licensed administrator staff are responsible for maintaining the electronic records in the Administrator Licensing System (ALS) in CLASS.

Access to the CCR Digital Storage SharePoint site or the digital Neubus system is granted to CCR staff and to stakeholders as needed.

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

1330 Records Retention

Revision 23-4; Effective Nov. 30, 2023

Every electronic and hard copy record created in the course of business must be retained for a specific period, as listed in the HHSC Records Retention Schedule, located on the HHS Connection intranet and 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.

Procedure

CCR staff follow the following policies, available on the Records Management page of the HHS Connection intranet pages:

  • retention schedule for HHSC Regulatory Services – Childcare Regulation Records Retention Schedule;
  • HHS Records Management policy document (c-065); and
  • policy and procedures outlined in the HHS Records Management Operating Policy.

Extending the Record Retention Period

All records and documents must be kept at least as long as the retention period stated in the HHSC Regulatory Services – Childcare Regulation Records Retention Schedule, available on the HHS Connection intranet schedule. If there is a business need to keep a record longer than the time specified in the retention schedule, CCR staff must receive approval to extend the retention period of that record from:

  1. a regional director (or designee) or above; or
  2. an HHSC attorney.

The extension to retain a record or document may be granted for as long as needed. After receiving approval to extend the retention schedule, CCR staff document the following in the operation's record as a Chronology in CLASS:

  1. The reason for the extension.
  2. The name of the approver.
  3. The date of the approval.

Government Code, Chapter 441, Subchapter L

13 TAC Sections 6.7 and 6.8

26 TAC Section 745.8481(c)

1400, State-Issued Equipment, Photographs, Video, Audio and Digital Files

Revision 23-3; Effective Sept. 22, 2023

CCR staff use state-issued equipment to document the conditions that exist when conducting regulatory activities by:

  • taking photographs;
  • recording video and audio;
  • creating digital files; 
  • obtaining digital files from the operation, law enforcement or another person, agency or entity; and
  • converting paper documents or photos of a paper document received to an approved digital file.

See:

1427  Using Scanned Documents and Other Digital Files as a Regulatory Tool

1410 Use of State-Issued Equipment

May 2021

CCR staff are provided with state-issued equipment such as computers, tablets and mobile phones to complete regulatory activities. CCR staff must:

  • ensure the security of the equipment both in the office and in the field, according to the HHS Asset Management Guide and Policy;
  • use equipment in accordance with the HHS Information Security Acceptable Use Policy; and
  • ensure only authorized CCR staff use the equipment.

When taking photographs, video or audio, CCR staff must use the equipment issued to them. CCR staff may not use other personal devices.

Before using the state-issued equipment for documentation, CCR staff must:

  • be instructed in the equipment's use; and
  • become familiar with the equipment to learn its advantages and limitations.

1420 Using Photographs and Video as a Regulatory Tool

Revision 24-1; Effective Feb. 20, 2024

CCR staff notify the operation before taking photographs or video, except when a supervisor has determined that taking photographs or video as part of surveillance is necessary.

CCR staff primarily use photographs and video to document conditions that exist when CCR regulatory activities are conducted. Photographs and video help CCR with documenting and identifying patterns in an operation's compliance history.

Procedure

Photographs may be useful in various circumstances, such as:

  1. when a written description alone cannot provide a clear picture of what is observed;
  2. documenting evidence of a deficiency discovered during an inspection;
  3. documenting repeated deficiencies;
  4. documenting evidence of care being provided at an unregulated operation;
  5. supporting or refuting an allegation of a deficiency during an investigation;
  6. documenting a good practice at an operation;
  7. documenting evidence to support an action that will be taken against an operation;
  8. supporting due process, including serving as evidence; 
  9. consulting with a supervisor before making a determination about a deficiency; 
  10. supporting an issued citation when under administrative review by Child Care Enforcement; or
  11. capturing information on a paper document if a document scanner is not readily available. CCR staff use approved software to convert the photo of the paper document to a PDF file.

Video may be useful in various circumstances, such as:

  • capturing a 360-degree view; or
  • walking the path a child took to show hazards, such as traffic conditions.

References:

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool 
6535 Obtaining Consent to Enter an Unregulated Operation 
6540 Investigations Conducted as Desk Reviews 
7442 Conducting Surveillance During Probation

1421 Using Audio as a Regulatory Tool

Revision 23-3; Effective Sept. 22, 2023

When recording during an inspection, CCR staff inform the operation of the recording at the beginning of the inspection. The recording of the inspection must be accurate, unaltered and without interruption.

Procedure

Audio recording an inspection may be useful in various circumstances, such as:

  • recording interviews of individuals to determine if a violation occurred; or
  • documenting to support upholding a finding.

1422 Photographs and Video of Children

December 2019

Photos and videos that include children should be taken only when there is a necessary business purpose. Photographs and videos that include children are confidential.

Instances when taking photos of children may be useful include, but are not limited to, the following:

  1. Documenting the particular physical condition of the child;
  2. Documenting a child's reach;
  3. Documenting scale of an object or area in relation to a child;
  4. Occasions when it is necessary to photograph the child to document a deficiency;
  5. Occasions when moving the child or group of children to not be in the photo would disturb their activities;
  6. Occasions when delaying taking the photo until a time when children are not present would delay Licensing's ability to accurately document conditions or items being photographed; and
  7. Documenting an injury or the lack of injury when an injury is alleged.

Instances when taking video of children may be useful include, but are not limited to, the following:

  1. Obtaining a more accurate picture of marks or bruises when a photo alone is not clear;
  2. Recording when children are out of control and the caregiver's response to them; and
  3. Recording children outside without supervision.

See 8210 Confidential Information Not for Release to the Public.

Procedure

When photographing a child to document an injury or the particular physical condition of the child, Licensing staff do as follows:

  1. Take all photographs against a neutral, uncluttered background.
  2. Attend to the lighting, focus, and the distance from the child to obtain clear photographs. A camera flash that is used too close to an injury may bleach the injury out of the photograph.
  3. Start by taking an identifying photograph of the child.
  4. Continue by taking photographs that identify the child and pinpoint the location of the child's injury or particular physical condition.
  5. Follow with close-up shots of the particular injury.

1422.1 Taking Sensitive Photographs

December 2014

If an alleged victim's injury or alleged injury is in a private area of the body, the investigator must assess whether taking a photograph is appropriate and necessary. The investigator takes into consideration:

  • the age and maturity of the child;
  • any objections by the child or parent; and
  • whether any other evidence exists to verify the existence or extent of the injury that might make the photograph unnecessary.

If photographs are taken, a witness must be present when clothing is removed and the investigator photographs the child.

If there is other evidence, such as medical reports or pictures taken by law enforcement or a sexual assault nurse examiner (SANE) that documents the extent of the injuries to a child's private area, then taking pictures is not necessary.

Procedure

The investigator includes the witness's name and job title in the documentation.

If evidence other than photographs is used to document the extent of a child's injury in a sensitive area, the investigator documents that the evidence was sufficient and that photographs were not necessary.

1423 Photographs of a Facility, House, Room, or Outdoor Area

March 2014

Procedure

It is impossible for one photograph to depict an entire room without distortion.

When taking a photograph of a facility, house, room, or outdoor area, Child Care Licensing staff follow these guidelines:

  1. Plan the photographs carefully and take them from a good vantage point.
  2. Take a series of three or four photos in a clockwise sequence, covering the entire area.
  3. Take photographs from eye level to achieve the proper perspective.
  4. Photograph the general area, first, to identify a particular area that must be shown in a detailed close-up.

As an alternative, Licensing staff may take video depicting a 360-degree view of the room or outdoor area.

1424 Inappropriate Use of Photographs or Video

June 2015

It is not appropriate to use photos or video to document an operation's:

  1. violation of the child-caregiver ratio;
  2. violation of the group size; or
  3. deficiencies in record keeping.

Such violations are best documented with:

  • clear, concise descriptions; and
  • copies of relevant records, when appropriate.

1425 Taking Photographs That Present Better Evidence

December 2019

To be used as evidence in an administrative review or a court hearing, a photograph must satisfy the following requirements:

  1. The subject of the photograph must be shown from a normal perspective. Photographs must be taken from a normal eye-level viewpoint and under the same lighting conditions that existed at the time of the incident, if possible.

Avoid the distortion caused by:

  • wide-angle lenses; and
  • shooting from odd vantage points.
  1. The object of the photograph must be material to the case and must not incite prejudice.
  2. At least one photograph taken during the inspection or investigation must contain proof of the identity of the operation in which the photograph is being taken, such as:
  • a sign bearing the operation's name; or
  • the presence of the director or owner in the photograph.
  1. The Licensing staff person taking the photographs must attest to the accuracy of the photographs.
  2. Photographs of injuries or alleged injuries must be taken in a timely fashion. Photographs must not be altered in any manner. The photograph must show a true and accurate account of the subject of the photograph. If enhancements are needed for clarity (such as enlarging, cropping, or brightening), Licensing staff must obtain photographic services outside of HHSC. See 1440 Printing and Destroying Digital Photographs.

1426 Overcoming an Operation's Resistance to Being Photographed

December 2019

Child Care Licensing staff have the authority to:

  • inspect an operation; and
  • document the inspection of an operation.

Human Resources Code §42.044

Procedure

If the operation objects to having photographs taken of the operation or the children in care, Licensing staff:

  1. explain that Chapter 42 of the Human Resources Code allows Licensing to inspect the operation and document the inspection;
  2. explain that it can be to the operation's advantage for Licensing to take photographs that document the situation; and
  3. explain, as appropriate, the purpose of the photographs, such as to:
  4. document deficiencies when their validity may be questioned by a supervisor;
  5. enable adequate consultation with a supervisor; or
  6. document that deficiencies do not exist.

If the operation is still resistant to having photographs taken of the operation or the children in care, Licensing staff consult with the supervisor.

For policy regarding allowing review of photos or audio or video recordings, see 8210 Confidential Information Not for Release to the Public.

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool

May 2021

CCR staff notify the operation before scanning copies of operation records.  

When conducting regulatory activities and making regulatory decisions, CCR staff may create digital files or use digital files provided to CCR.  Examples of digital files include:

  1. email communications;
  2. PDF documents created with approved computer applications; and
  3. digital photographs and videos provided to CCR by the operation, law enforcement or another person, agency or entity.

The primary use of scanned documents and other digital files is to document conditions that exist when CCR activities are conducted. Scanned documents and other digital files may be useful in circumstances, including:

  • identifying patterns in an operation’s compliance history;
  • documenting evidence of part of an inspection or investigation;
  • identifying and documenting evidence associated with falsification of records; and
  • documenting conditions associated with following-up on a deficiency.

1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files

Revision 23-3; Effective Sept. 22, 2023

Photographs, video, audio, scanned documents and other digital files do not replace written documentation in the case record in CLASS; they supplement the narrative description.

All photographs, video, audio, written documentation, scanned documents and other digital files taken by CCR staff or received from persons outside of HHSC must be:

  • documented in the CLASS system; and
  • uploaded to CLASS document library.

See:

6423  Recording Interviews 
Appendix 1000-1  Organizing Child Care Regulation Records

1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files

Revision 23-3; Effective Sept. 22, 2023

Procedure

Photographs, video, audio, scanned documents and other digital files created by CCR staff or received from sources outside of HHSC are documented as follows:

  1. upload the file to CLASS Document Library from the appropriate CLASS page;
  2. if related to an investigation, document the item in the Contact field of the CLASS Investigation Conclusion page;
  3. if related to an inspection, assessment or foster home random-sampling inspection, complete the Photos Taken by CCR During the Inspection radio buttons, Other Documents/Photos Obtained radio buttons, or a combination of the two, to be included on CLASS Form 2936 (operation inspections), CLASS Form 2939 (assessments) or CLASS Form 2979 (foster home random-sampling inspections); and
  4. if related to other regulatory activities, document the item in a Chronology in CLASS.

If the CCR inspector receives the item from another person, the inspector documents the name of the individual who took or provided the item to CCR.

1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

Revision 23-3; Effective Sept. 22, 2023

Procedure

As soon as possible, but no later than the next business day from the date that CCR staff take, obtain or create photographs, video, audio, scanned documents or other digital files, staff upload the photographs, video, audio, scanned documents or other digital files to CLASS Document Library from the appropriate CLASS page. When uploading files to CLASS Document Library, staff add a new folder from the appropriate Document Library page and enter a description of the contents of the folder in the Summary of Documents text box. The description includes:

  • the name and title of the person providing the document(s), photo(s) or other file(s), if applicable;
  • the date the photo(s), document(s) or other file(s) was received or taken; and
  • a brief summary of the files being included in the folder.

Before saving the uploaded files, staff complete the Document Details fields for each file, including the Document Type and Description of the file content. For documentation regarding children, staff only include the first name and last initial of the child.

For additional details, see the CLASS: Document Library Tip Sheet located on the CCR Digital Storage SharePoint site.

See: 

1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1440  Printing and Destroying Digital Photographs and Other Hardcopy Documents
4161.22  Limits to Documenting Names of Children
4161.23  Limits to Documenting Names of Persons in CLASS 

1440 Printing and Destroying Digital Photographs and Other Hardcopy Documents

May 2020 

1441 Printing Digital Records

Revision 23-3; Effective Sept. 22, 2023

Procedure

CCR staff print digital photographs, documents or other records:

  • after obtaining permission or directive from a regional director, a manager, CCR state office staff or an HHSC attorney; or
  • as convenience copies, if needed, to support the performance of their tasks.

See:

1330  Records Retention

1442 When and How to Destroy Photos and Other Hardcopy Documents

May 2020

Procedure

If the printed photographs and other hardcopy documents are not stored in the hard copy record, CCR staff must destroy them.

If there is an active litigation hold, CCR must maintain the physical copies of any document related to the hold, even if the document has been uploaded to the CCL Digital SharePoint site. Otherwise, CCR staff may destroy hardcopies of documents that have been uploaded to the CCL Digital Storage SharePoint site.

Acceptable methods of destruction include:

  1. shredding;
  2. tearing;
  3. burning; and
  4. pulping.

1500, Conducting a Search in CLASS

1510 Types of Searches in CLASS

October 1, 2013

There are four primary searches available in CLASS:

  1. Operation Search
  2. Background Check – Results Search
  3. Controlling Person Search
  4. Global Person Search

1520 When to Conduct Searches in CLASS

 

1521 When to Conduct an Operation Search in CLASS

October 1, 2013

Licensing staff conduct an Operation Search:

  1. to verify whether a provider is operating with or without a permit or to determine whether the provider has a history of operating illegally;
  2. to search for the operation for the purposes of linking an intake, investigation, or e-application to the operation; and
  3. to review an operation’s compliance history.

1522 When to Conduct a Background Check Results Search in CLASS

October 1, 2013

Licensing staff may conduct a Background Check – Results Search to review an individual’s background check records in CLASS. A Global Person Search may also be conducted in this circumstance.

Residential Licensing inspectors must conduct a Background Check – Results Search when a child-placing agency (CPA) or general residential operation (GRO) designates a new administrator. The search is conducted so that any criminal history matches for the new administrator may be evaluated. See 10311 Determining Appropriate Actions Based on Criminal History.

1523 When to Conduct a Controlling Person Search in CLASS

October 1, 2013

Controlling Person Search is conducted in CLASS when:

  • an operation submits the name of a new controlling person; or
  • Licensing staff need to review an individual’s record as a controlling person in CLASS.

See 5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation.

1524 When to Conduct a Global Person Search in CLASS

September 28, 2018

Licensing staff must conduct a Global Person Search in the CLASS under these circumstances:

  1. When an application is submitted – To determine whether the applicant is eligible to receive a permit. (See 3222 How to Determine Whether the Applicant Is Eligible to Apply.
  2. When an operation submits the name of a new controlling person – To determine whether the person is eligible to serve in the role of a controlling person. (See 5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation.
  3. When an operation submits the name of a new director – To determine whether the director is serving as a director at another operation.
  4. When an applicant for an administrator’s license submits an application – To determine whether the applicant is a sustained controlling person and to review other relevant history in CLASS.

1530 How to Conduct a Search in CLASS

October 1, 2013

To obtain the most accurate search results, it may be necessary to conduct multiple searches using a variety of approaches, including the following:

Phonetic Searches

Conduct a phonetic search when searching by an operation’s name, a person’s name, or an address. A phonetic search involves using exact spelling but selecting the Phonetic option so that the results include phonetic similarities. See 1531 Conducting a Search in CLASS That Yields Phonetic Search Results.

Narrowed Searches

To narrow the results of a search:

  • Begin searching by entering fewer search criteria in the fields on the search page; and
  • Narrow the results by entering additional search criteria or different combinations of search criteria.

Social Security and Driver License Searches

When searching by a Social Security number (SSN) or driver license number (DLN), conduct follow-up searches using additional criteria to find records in which the SSN or DLN are incorrect or blank.

1531 Conducting a Search in CLASS That Yields Phonetic Search Results

October 1, 2013

The phonetic search feature is the default search option in CLASS.

When conducting a CLASS search using the phonetic search feature, Licensing staff receive a broader set of results. A phonetic search captures more results by searching for words or names that sound similar to or are spelled slightly differently than the search criteria and words or names that contain typographical (data entry) errors that are common to the search criteria.

Before conducting a phonetic search, Licensing staff must ensure that the Phonetic check box is selected.

Before searching by Operation Number, Licensing staff must uncheck the Phonetic check box.

Procedure

With the exception of the operation number, Licensing staff can enter any search criteria when conducting a phonetic search.

Certain search criteria are treated as an exact filter (explained in more detail below). An exact filter filters out, or removes, any search result that does not exactly match the search criteria that are treated as exact filters.

Operation Search

Licensing may conduct a phonetic search on the Operation Search page by entering any of the search criteria, except for the operation number.

When a phonetic search is performed, the following fields are treated as exact filters:

  1. County
  2. Operation Type
  3. Care Type

Background Check Results Search

Licensing may conduct a phonetic search on the Background Check Results Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

  1. Operation Number
  2. Batch Number
  3. Licensing Representative ID
  4. Employee ID
  5. Region
  6. Batch Date
  7. Status

Controlling Persons Search

Licensing may conduct a phonetic search on the Controlling Persons Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

  1. State
  2. Phone Number

Global Person Search

Licensing may conduct a phonetic search on the Global Person Search page by entering any of the search criteria. When a phonetic search is performed, only Date of Birth is treated as an exact filter.

All Searches

When conducting a phonetic search, the best results are obtained by entering the operation’s full name, the person’s full name, or the full street name.

To search by entering partial information, see 1532 Conducting a Search in CLASS That Yields Exact Search Results.

1532 Conducting a Search in CLASS That Yields Exact Search Results

October 1, 2013

The purpose of conducting a search that yields exact results, or an exact search, is to identify a smaller set of results that exactly or partially match the search criteria that were entered.

Before conducting an exact search, Licensing staff must uncheck the Phonetic check box.

Procedure

Licensing staff must conduct an exact search when searching by the operation number. Licensing staff are able, but not required, to conduct an exact search on any other search criteria.

1533 Conducting a Global Person Search in CLASS to Obtain All Records on an Individual

October 1, 2013

The purpose of conducting a Global Person Search is to identify each record related to an individual in CLASS. See 1520 When to Conduct Searches in CLASS.

Procedure

Global Person Search in CLASS, may pull up records for the following roles:

  1. Background Check
  2. CEO
  3. Designee
  4. Director
  5. Second Director
  6. Program Director
  7. Site Director
  8. Partner
  9. Perpetrator (Intake or Investigation)
  10. Controlling Person
  11. Administrator

Handling Errors in Data

When conducting a Global Person Search, Licensing staff may detect errors in data entry in an individual’s various records in CLASS.

When staff detect variations in an individual’s records, such as inconsistent Social Security numbers, staff attempt to verify and correct the records in CLASS only if correcting the records is within the staff person’s responsibility.

Licensing staff do not submit a formal request to correct data or ask other Licensing staff to correct data that is outside of the staff person’s responsibility.

1600, Validating an Address in CLASS

1610 When and How to Validate an Address in CLASS

October 1, 2013

Licensing staff complete the address validation process in CLASS to ensure that addresses entered into CLASS conform to the standards of the United States Postal Service (USPS).

Except for addresses entered as part of an intake or investigation, Licensing staff must attempt to validate all location and mailing addresses stored in CLASS, including the addresses found on the following pages:

  1. Main page for all operations
  2. Application page for all operations
  3. Exemption Requests & Background Check Only Entities
  4. Illegal Operation
  5. Controlling Person Details
  6. Governing Body Designation
  7. Administrator Details
  8. Background Check – Person Details
  9. Agency Home

Procedure

Licensing staff must select Validate Location Address or Validate Mailing Address each time a location address or mailing address is entered for the first time or is updated in CLASS.

After selecting the appropriate validation button, Licensing staff are given the following options:

  • Accept the USPS standardized format, if one is found.
  • Correct the address and re-validate.

Use the address which was originally entered and explain the reason the address is not validated in the text box Reason Location Address Not Validated or in the text box Reason Mailing Address Not Validated.

If a USPS standardized address is found, CLASS displays a Validated status for the address.

If a USPS standardized address is not found, CLASS displays a Not Validated status for the address.

1620 Addresses That Are Not Validated

October 1, 2013

In some cases, the United States Postal Service (USPS) does not return a valid address when Validate Location Address or Validate Mailing Address is selected.

The reasons that a validated address may not be returned include, but are not limited to, the following:

  1. The location address is an area of new construction.
  2. The location address is in a rural are
  3. USPS cannot determine in which county the address is located.
  4. The address that was entered is incomplete or otherwise incorrect.

1621 When a Validation Check in CLASS Does Not Return a Valid Address

October 1, 2013

Procedure

If, after entering an address in CLASS and selecting Validate Location Address or Validate Mailing Address, a validation check does not return a validated address, Licensing staff contact the applicant or operation to determine whether the address is correct.

If the address is not correct, Licensing staff:

  1. obtain the correct address;
  2. enter the correct address in CLASS; and
  3. attempt to validate the address again.

If the address is correct, Licensing staff:

  1. attempt to determine why the address may not be recognized as correct;
  2. accept the address in CLASS, even though it is not validated; and
  3. enter in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated the reason that the address may not be recognized as correct and the date the reason was entered.

See 1630 How to Enter a Valid Address.

1622 When an Address that is Not Validated is Submitted Through the Child Care Licensing Account Website

September 28, 2018

Procedure

If a provider submits an address with a Not Validated status through the Child Care Licensing Account website, Licensing staff contact the applicant or operation if:

  1. the reason that is entered in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated is not clear; or
  2. the address appears to be obviously incorrect.

If the address is not correct, Licensing staff:

  1. obtain the correct address;
  2. enter the correct address in CLASS; and
  3. attempt to validate the address again.

If the address is correct, Licensing staff:

  1. attempt to determine why the address may not be recognized as correct;
  2. accept the address in CLASS, even though it is not validated; and
  3. enter in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated the reason that the address may not be recognized as correct and the date that the reason was entered.

See 1630 How to Enter a Valid Address.

1623 Routinely Attempting to Validate Addresses Not Validated in CLASS

October 1, 2013

Because the USPS system is routinely updated with new addresses, a Licensing inspector must attempt to validate an operation’s location or mailing address at each monitoring inspection, if either address has a status of Not Validate. See 4171 Discussing the Results of an Inspection.

1630 How to Enter a Valid Address

October 1, 2013

Licensing staff must enter only valid addresses in the Location Address and Mailing Address fields in CLASS.

The address fields must not contain the following types of information:

  1. Phone numbers
  2. Directions
  3. More than one address

Procedure

Licensing staff do as follows when entering an address:

  1. Spell out uncommon abbreviations.

Examples of abbreviations that must be spelled out include the following:

  • Any variation of County Road (such as CR, CNTY RD, VZCR, CO RD, ACR)
  • State Highway (ST HWY)
  • Private Road (PR)
  1. Enter only street numbers, street names, and P.O. boxes on the first address line.
  2. Enter only apartment, lot, suite, building, and trailer numbers on the second address line.

If an address does not validate, re-enter it as explained in this item and attempt to validate the address again.

2100, Types of Child Care Permits

Revision 24-2; Effective May 22, 2024

2110 Permits Required for Child Day Care

Revision 24-2; Effective May 22, 2024

The following table lists each type of CCR permit required for each child day care operation type. Reference 26 TAC Section 745.37(2).  

Type of PermitChild Day Care Operation Types
Listing
  • Listed family home
Registration
  • Registered child care home
License
  • Licensed child care home
  • Child care center
  • Before or after-school program
  • School-age program
Compliance Certificate
  • Small employer-based child care  
  • Temporary shelter child care program

2110.1 Listed Family Home

Revision 24-2; Effective May 22, 2024

In a listed family home, the primary caregiver: 

  • is at least 18 years old; and
  • provides care:
    • in the caregiver’s own home;
    • for compensation per the CCRH Definitions of Terms;
    • to children whose ages may range from birth through 13 years;
    • at least four hours a day and for:
      • three or more days a week, for three or more consecutive weeks; or 
      • 40 or more days in a 12-month period; and
    • to no more than three children who are unrelated to the caregiver; and
    • to no more than 12 children total, including children who are related to the caregiver.

2110.2 Registered Child Care Home

Revision 24-2; Effective May 22, 2024

In a registered child care home, the primary caregiver:

  • is at least 21 years old; and
  • provides care:
    • in the caregiver’s own home;
    • to children whose ages may range from birth through 13 years;
    • at least four hours a day and for:
      • three or more days a week, for three or more consecutive weeks; or
      • 40 or more days in a 12-month period; and
    • to no more than six children who are unrelated to the caregiver during the school day; and
    • to no more than six additional school-age children after school hours.

The primary caregiver in a registered child care home may not care for more than 12 children at the same time, including children related to the caregiver.

2110.3 Licensed Child Care Home

Revision 24-2; Effective May 22, 2024

In a licensed child care home, the primary caregiver:

  • is at least 21 years old; and
  • provides care:
    • at least two hours, but less than 24 hours per day, for three or more days a week;
    • in the caregiver’s own home;
    • to children whose ages may range from birth through 13 years; and
    • to no more than 12 children total, including the children related to the caregiver.

2110.4 Licensed Child Care Center

Revision 24-2; Effective May 22, 2024

The operation provides care:

  • for seven or more children;
  • to children younger than 14;
  • for fewer than 24 hours of care per day; and
  • in a location other than the permit holder’s home.

A licensed child care center may provide nighttime care with CCR approval. If CCR approves the nighttime care, a center may not allow a child to be in care for more than:

  • 16 hours within a 24-hour period daily; or
  • three consecutive 24-hour periods with a maximum of six 24-hour periods per month.

2110.5 Before or After-School Program

Revision 24-2; Effective May 22, 2024

The operation provides care:

  • before, after, or before and after the customary school day and during school holidays;
  • for at least two hours a day, and three days a week; and
  • to children who attend pre-kindergarten through grade six.

2110.6 School-Age Program

Revision 24-2; Effective May 22, 2024

The operation provides care:

  • including supervision and:
    • recreation;
    • skills instruction; or
    • skills training;
  • for at least two hours a day and three days a week;
  • to children who attend pre-kindergarten through grade six; and
  • before or after the customary school day, including:
    • school holidays;
    • summer period; or
    • any other time when school is not in session.

A school-age program is not a licensed child care center.

2110.7 Small Employer-Based Child Care

Revision 24-2; Effective May 22, 2024

A small employer-based child care operation (SEBCC) employs fewer than 100 full-time employees and provides care:

  • for up to 12 children of employees;
  • to children younger than 14;
  • for fewer than 24-hours of care per day; and
  • in the same building where the parents work.

Note: 26 TAC Section 745.37 refers to this type of child care as Employer-Based Child Care. 

Reference 26 TAC Chapter 746 Minimum Standards For Child-Care Centers.

2110.8 Temporary Shelter Child Care Program  

Revision 24-2; Effective May 22, 2024

A temporary shelter child care program (TSP) provides care:

  • for seven or more children who live at the shelter with a parent while the parent is away;
  • to children younger than 14 ;
  • for at least four hours a day and three days a week; and
  • at a temporary shelter, such as a family violence or homeless shelter.

2120 Permits Required for Residential Child Care

Revision 24-2; Effective May 22, 2024

The following table lists each type of residential child care operation and the type of CCR permit required. Reference 26 TAC Section 745.37(3).

Residential Child Care OperationsType of Permit
General residential operationLicense
Child-placing agency (CPA)License
Foster homeNone
CCR does not issue a permit to a foster home.  
A CPA issues a verification to a foster home and monitors the home.
Adoptive home

None

CCR does not issue a permit to an adoptive home. 

A CPA may approve an adoptive home by completing a home screening and making sure the home meets other requirements, but an adoptive home does not require any type of permit. The CPA monitors an adoptive home before a district courts finalizes the adoption.

2120.1 General Residential Operation

Revision 24-2; Effective May 22, 2024

A general residential operation (GRO) provides child care for seven or more children up to 18 for all or part of the 24-hour day. The care may include treatment and other programmatic services.
Residential treatment centers (RTCs) are a type of GRO.

2120.2 Child-Placing Agency  

Revision 24-2; Effective May 22, 2024

A child-placing agency (CPA) is a person other than a child’s parent, an agency, or organization that places or plans for the placement of a child in a foster or adoptive home or other residential care operation.

2120.3 Foster Home

Revision 24-2; Effective May 22, 2024

A foster home is verified by a CPA to provide care for six or fewer children up to 18 years old in the primary residence of the foster parents.

A foster home verified by a CPA is part of a CPA for CCR regulatory purposes. 

Reference HRC Section 42.053

2120.4 Adoptive Home

Revision 24-2; Effective May 22, 2024

A CPA approves an adoptive home for the purpose of adopting a child.

2130 State-Operated Child Care Operations  

Revision 24-2; Effective May 22, 2024

CCR issues a certificate instead of a license to a state-operated child care operation and to an operation run by a state agency. State-operated child care operations are subject to regulation by CCR unless the operation meets exemption criteria in 26 TAC Chapter 745, Subchapter C

Facilities operated by Texas cities, counties, or other municipalities are not state operated.
Examples of state-operated child care operations that CCR certifies include:

  • laboratory schools in state universities; and
  • child-placing agencies operated by the DFPS Child Protective Services Division.

Certified operations must comply with the statutes, administrative rules, and minimum standards that apply to licensed operations of the same type.

Certain state-operated operations are exempt from regulation by CCR. 

References

Governmental Entities that are Exempt from Regulation by CCR, 2320 
26 TAC Sections 745.39 and 745.115  
HRC Section 42.052 

Procedure

CCR staff inform people who want to apply for a certificate to operate a state-operated child care operation that an operation:

  • submits documentation to substantiate it is operated by a state agency; and
  • must follow the statutes, administrative rules, and minimum standards that apply to licensed operations.

CCR staff process an application for a certificate for a state-operated child care operation per 3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing Permit.

CCR staff regulate a certified state-operated child care operation the same way staff regulate a licensed operation.

Reference

Immediate Danger in a State-Operated Facility, 4521   
 


 

2200, Determining CCR’s Authority to Regulate a Program

Revision 24-2; Effective May 22, 2024

CCR staff determine if CCR has regulatory authority to regulate a program by:

  • evaluating the program; and
  • determining if the program fits the definition of:
    • subject to regulation;
    • not subject to regulation; or
    • exempt from regulation.

Subject to regulation: A program that meets the definition of a child care facility or child-placing agency per HRC Section 42.002 and requires regulation unless the program meets the criteria for an exemption.

Not subject to regulation: A program is not subject to regulation if it is not a child care facility or child-placing agency per HRC 42.002. A facility operated on a federal installation, such as a military base or Indian reservation is not subject to regulation by CCR. A state agency has no jurisdiction or authority to regulate such facilities.

Exempt from regulation: A program that does not require a permit from CCR based on exemption criteria in HRC and TAC. A program exempt from regulation by CCR may operate legally without:

  • receiving a permit from CCR; or
  • complying with the statutes, administrative rules, or minimum standards that govern regulated child care in Texas.

2210 When CCR May Become Aware of a Program

Revision 24-2; Effective May 22, 2024

CCR staff may become aware of a program that may be subject to regulation when:

  • CCR receives a report of an alleged unregulated operation; 
  • the Unregulated Operations Unit (UOU) conducts a search for unregulated operations and finds an advertisement for a program possibly subject to regulation;
  • a program submits an exemption request form; or
  • an applicant or potential applicant asks about the regulation process and indicates they are operating or have operated a program subject to regulation in the past.

2211 Becoming Aware of a Program After Receiving a Report of a Possible Unregulated Operation

Revision 24-2; Effective May 22, 2024

When CCR receives a report of an alleged unregulated operation, CCR staff conduct the investigation per 6530 Investigations of Unregulated Operations. They decide if the operation is subject to regulation per 2220 Determining if a Program is Subject to Regulation During an Investigation of an Unregulated Operation.

2212 Becoming Aware of a Program When UOU Conducts Searches for Unregulated Operations

Revision 24-2; Effective May 22, 2024

UOU staff conduct searches for unregulated operations per Texas Government Code Section 531.0084. If the operation appears to be subject to regulation and CCR does not have information or records that show the operation is exempt, CCR staff follow procedures in:

  • Entering Reports for Unregulated Operations Identified by the Unregulated Operations Unit, 6221.41;
  • Investigations of Unregulated Operations, 6530; and
  • Determining if a Program is Subject to Regulation During an Investigation of an Unregulated Operation, 2220.  

2213 Becoming Aware of a Program After Receiving an Exemption Request Form

Revision 24-2; Effective May 22, 2024

When a program submits an exemption request form, CCR staff decide if the program would be subject to regulation by CCR without an exemption per 2200 Determining CCR’s Authority to Regulate a Program. CCR staff follow the guidance in 2230 Next Steps After Evaluating an Exemption Request.

Reference Exemption Request Forms, 2422.

2214 Becoming Aware of a Program When a Program Currently Operating or has Operated in the Past Contacts CCR

Revision 24-2; Effective May 22, 2024

CCR may learn of a program that is operating or has operated in the past when it asks CCR about exemptions or the regulation process. 

If the program is currently operating, does not appear to be exempt, or does not have an application for a permit submitted in CLASS, CCR staff:

  • advise the person to complete and submit one of the following within five days of contact with CCR:
    • an exemption request form; or
    • an application for a permit to the local CCR office; and
  • consult with the supervisor to decide if generating an intake report for an unregulated operation is necessary.

If the program has operated within the past 12 months, CCR staff: 

  • generate an intake report for an unregulated operation (DCCR only); or
  • submit a report to Statewide Intake (SWI) (RCCR only). 

References 

When a Non-Exempt Program Does Not Take Steps to Become Regulated, Meet Criteria for an Exemption, or Stop Operating, 2441.1 

Procedures When CCR Determines an Alleged Unregulated Operation is Subject to Regulation, 6537.2    

2220 Determining if a Program is Subject to Regulation During an Investigation of an Unregulated Operation

Revision 24-2; Effective May 22, 2024

CCR staff determine if a program is subject to regulation when investigating a potential unregulated operation.

Procedure

CCR staff take the following actions during an unregulated operation investigation to help find out if the program is subject to regulation:

  • get as much information as possible from the program including advertisements, admission forms, policies and procedures, enrollment forms and websites;
  • conduct an inspection, if needed;
  • conduct surveillance per 6450 Conducting Surveillance (Day Care Only), if needed;
  • compare the program information with statutory definitions of operations that are subject to regulation by CCR; and
  • evaluate the information to decide if the program is subject to regulation.

The inspector may consult with the CCR supervisor to decide if more information is needed.

2221 If CCR Determines a Program is Not Subject to Regulation During an Investigation of an Unregulated Operation

Revision 24-2; Effective May 22, 2024

Procedure

If CCR staff determine a program is not subject to regulation during an investigation, staff:

  • follow the procedures in 6537.1 Procedures When CCR Determines an Alleged Unregulated Operation is Not Subject to Regulation; and
  • on the Illegal Operation main page in CLASS:
    • enter a Closure Date, and
    • select Not Subject to Licensing Regulation from the Closure Reason drop-down menu.

2222 If CCR Determines a Program is Subject to Regulation During an Investigation of an Unregulated Operation

Revision 24-2; Effective May 22, 2024

Procedure

If CCR staff determine a program is subject to regulation during an investigation of an unregulated operation, staff follow the procedures in 6537.2 Procedures when CCR Determines an Alleged Unregulated Operation is Subject to Regulation.

The program may submit an application for a permit, submit an exemption request, or discontinue operating.

2230 Next Steps After Evaluating an Exemption Request

Revision 24-2; Effective May 22, 2024

Procedure

CCR Determines a Program is Not Subject to Regulation by CCR After Evaluating an Exemption Request

If CCR staff review an exemption request and decide a program is not subject to regulation by CCR, staff:

  • notify the program that it is not subject to regulation by sending the Exemption Response Letter (Form 2807) on the CCR SharePoint site; and
  • follow the procedures outlined in 2450 Documenting Exemption Requests and Decisions.

CCR Determines a Program is Subject to Regulation by CCR After Evaluating an Exemption Request

If CCR staff determine a program would be subject to regulation without an exemption, CCR staff follow 2420 Determining if a Program is Exempt from Regulation to decide if the program is eligible for the exemption the program is requesting.
 

2300, Exemption Categories and Types

Revision 24-2; Effective May 22, 2024

2310 Types of Exemptions

Revision 24-2; Effective May 22, 2024

Four exemption categories apply to child care programs:  

  • operations regulated by governmental entities;
  • programs of limited duration;
  • certain educational facilities and programs; and
  • certain miscellaneous programs.

Reference 

26 TAC Section 745.113   

2320 Governmental Entities that are Exempt from Regulation by CCR

Revision 24-2; Effective May 22, 2024

The table lists certain types of programs that are exempt from regulation by CCR because they are regulated by other governmental entities. 

Program Type26 TAC Section
Certain federal programs745.115(1)(B)
State-operated programs745.115(2)
Certain recreation programs operated by municipalities745.115(3)

References

Programs with Oversight by the Federal Government, 2321 
Programs Under the Regulatory Authority of Other State Agencies, 2322 
Municipal Recreation Programs, 2323 

2321 Programs with Oversight by the Federal Government

Revision 24-2; Effective May 22, 2024

2321.1 A Program Providing Care to Persons Not Lawfully Present in the United States

Revision 24-2; Effective May 22, 2024

A program that provides 24-hour care exclusively to persons not lawfully present in the United States and are in the custody of the federal government are exempt from regulation by CCR.

Reference

26 TAC Section 745.115(1)(b) 

2322 Programs Under the Regulatory Authority of Other State Agencies

Revision 24-2; Effective May 22, 2024

A program licensed, operated, certified, or registered by another state agency is exempt from regulation by CCR. This includes the following programs:

  • correctional facilities; 
  • treatment facilities;
  • youth camps licensed by the Texas Department of Health Services (DSHS); and
  • youth camps exempt from DSHS licensing that meet certain criteria.

References

26 TAC Section 745.115(2) 
HRC Section 42.041(b)(6) 
 

2322.1 Correctional Facilities

Revision 24-2; Effective May 22, 2024

The following types of correctional facilities are exempt from regulation by CCR:

•    juvenile detention facilities certified under Section 51.12 of the Texas Family Code;
•    juvenile correctional facilities certified under Section 51.125 of the Family Code;
•    facilities operated by the Texas Juvenile Justice Department (TJJD) or facilities that provides services solely for TJJD; and
•    any other correctional facility for children operated or regulated by another state agency or by a political subdivision of the state.

References

26 TAC Section 745.115(2)(A)(B)(C) 
Texas Family Code Section 261.405 
HRC Section 42.041(b)(13)

2322.2 Treatment Facilities

Revision 24-2; Effective May 22, 2024

The following types of facilities are exempt from regulation by CCR:

  • treatment facilities under regulatory authority of another state agency; or
  • structured treatment programs that serves chemically dependent people and are licensed by the Texas Department of State Health Services.

Reference

26 TAC Section 745.115(2)(D)  

2322.3 Youth Camps

Revision 24-2; Effective May 22, 2024

A youth camp is exempt from regulation by CCR if it is:

  • licensed by DSHS; or
  • exempt from licensure by DSHS per Section 141.0021, Health and Safety Code, because it is:
    • operated by or on the campus of an institution of higher education or a private or independent institution of higher education, as those terms are defined in Education Code Section 61.003; and
    • regularly inspected by at least one local governmental entity for compliance with health and safety standards.

Exception

Operations licensed by CCR that run summer camps, such as school-age programs, must continue to operate under the CCR license during summer months. 

References

School-Age Program, 2110.6 
26 TAC Sections 745.37(2)(H) , 745.115(2)(E)  and 745.115(2)(F) 

HRC Section 42.002(21) and 42.041(b)(5)
 

2323 Municipal Recreation Programs

Revision 24-2; Effective May 22, 2024

A recreation program is exempt from regulation by CCR if the program:

  • operates for children 5 through 13 years;
  • is operated by a municipality;
  • provides standards of care adopted by a municipality to the parents of each program participant;
  • informs the parents of each program participant that the program is not licensed by the state; and
  • does not advertise itself as a child care operation. 

The governing body of the municipality annually adopts standards of care by ordinance after a public hearing.

The standards of care must include:

  • staffing ratios; 
  • staff qualifications; 
  • facility health and safety standards; and 
  • monitoring and enforcement provisions.

A program in a municipality with a population of at least 300,000 that has adopted standards by ordinance after at least two public hearings may accept public comment through its municipal website for at least 30 days instead of having a public hearing.

References

26 TAC Section 745.115(3) 
HRC Section 42.041(b)(14)  

2330 Programs of Limited Duration that are Exempt from Regulation by CCR

Revision 24-2; Effective May 22, 2024

Certain programs of limited duration are exempt from regulation by CCR.

Program Type26 TAC Section
Program with parents on the premises745.117(1)
Short-term program745.117(2)
Religious program745.117(3)
Foreign exchange or sponsorship program745.117(4)

2331 Program with Parents on the Premises

Revision 24-2; Effective May 22, 2024

A program with parents on the premises is exempt from regulation by CCR if:

  • The program operates in association with a shopping center, business, or other elective activity including retreats or classes for religious instruction.
  • The program does not advertise as a child care operation and informs parents it is not regulated by the state.
  • The parent or person responsible for the child attends or engages in the elective activity nearby. 
  • The program’s caregivers can contact the parent or person responsible for the child at all times.
  • The child is only in care for up to:
    • four and one-half hours per day and 12 hours a week; or
    • 15 hours per week if care is provided so a parent may attend an educational class provided by a nonprofit entity in a city with a population of 500,000 or more and the city is located within a county adjacent to an international border. 

Part-time employees and contractors who handle the program may use the program if they meet the limits above. A program caregiver may use the program for their own child without time limits if the child remains with a caregiver.

References

26 TAC Sections 745.101(1) and 745.117(1) 
HRC Section 42.041(b)(3) 
 

2331.1 Examples of Parents on the Premises Programs that May be Exempt

Revision 24-2; Effective May 22, 2024

Examples of parents on the premises programs that may be exempt include programs that operate:

  • in connection with a religious organization and offer programs for children, such as classes for religious instruction;
  • so parents can attend a short-term class for up to three hours for four or fewer days or evenings a week for a few weeks, such as classes on parenting skills, or English as a second language; and
  • in a gym or health club, so members can exercise. 

Reference

Permits Required for Child Day Care, 2110 

2332 Short-Term Program

Revision 24-2; Effective May 22, 2024

A short-term program may be exempt from regulation by CCR, if the program:

  • operates for fewer than three consecutive weeks and fewer than 40 days in a 12-month period; and
  • is not part of an operation subject to regulation by CCR.

References

Definitions of Terms for child care facility
Processing an Exemption Request, 2400 
26 TAC Sections 745.21(7), 745.101(2) and 745.117(2)

2333 Religious Program

Revision 24-2; Effective May 22, 2024

A religious program may be exempt from regulation by CCR  if the program:

  • lasts for two weeks or fewer; and
  • is operated during summer months.

An example of a religious program is a vacation Bible school.

References

26 TAC Section 745.117(3)
HRC Section 42.041(b)(4)

2334 Foreign Exchange or Sponsorship Program

Revision 24-2; Effective May 22, 2024

A foreign exchange or sponsorship program is exempt from regulation by CCR if:

  • an unrelated child or sibling group lives in the provider’s home;
  • each child is in the United States on a time-limited visa; and
  • each child is sponsored by an organization or by the provider with whom they are living.

References

26 TAC Section 745.117(4) 
HRC Section 42.041(b)(22) 

2340 Educational Programs that are Exempt from Regulation by CCR 

Revision 24-2; Effective May 22, 2024

The educational programs identified in the table are exempt from regulation by CCR under 26 TAC Section 745.119

Program Type26 TAC Section
Accredited educational program745.119(1) Accredited Educational Facility for Grades Pre-Kindergarten and Above
Before or after-school program operated by an educational entity745.119(2) Before or After-School Program Operated by an Accredited Educational Facility
Before or after-school program operated by a contracted entity745.119(3) Before or After-School Program Operated by a Contracted Entity
Educational program that is a member of an organization requiring compliance with the organization’s standards  745.119(4) Educational Facility that is a Member of an Organization Requiring Compliance with Standards  
Private educational program 745.119(5) Private Educational Facility, Including an Educational Facility that is Religious in Nature

Reference

HRC Sections 42.041(b)(7)(8)(9)(11) 

2341 Accredited Educational Program for Grades Pre-K and Above

Revision 24-2; Effective May 22, 2024

An accredited educational program that operates for children in grades pre-k and above is exempt from regulation by CCR if the program:

  • operates primarily for educational purposes;
  • operates the educational program;
  • serves children 3 years and older; and
  • is accredited by:
    • the Texas Education Agency (TEA);
    • the Southern Association of Colleges and Schools (SACS); or
    • an accreditation body recognized by the Texas Private School Accreditation Commission (TEPSAC).

Exception

A child care program operated by a school district for its employees, including bus drivers, teachers, custodians and kitchen workers, is subject to regulation.

Educational Facilities that also Provide Residential Child Care

For an educational facility that also provides residential child care, reference Additional Exemption Criteria when an Educational Program Provides Residential Child Care, 2346.

Other Educational Programs

For information about charter schools, reference Appendix 2000-2, Determining Whether a Program or Operation is Regulated by Child Care Regulation – Questions and Answers, Item B.

For information about collaborative programs, such as an independent school district (ISD) that operates a Head Start program or a program that combines Head Start and prekindergarten, visit Appendix 2000-2, Item C.

References

26 TAC Section 745.119(1)

HRC Section 42.041(b)(7)

2342 Before or After-School Program Operated by an Educational Facility

Revision 24-2; Effective May 22, 2024

A before or after-school child care program operated by an accredited educational facility is exempt from regulation by CCR if:

  • it is accredited by: 
    • TEA; 
    • SACS; or 
    • an accreditation body recognized by TEPSAC;
  • the accredited educational facility operates the child care program; and
  • the program serves children 3 years and older.

References

26 TAC Section 745.119(2)
HRC Section 42.041(b)(7) 

2343 Before or After-School Program Operated by a Contracted Entity

Revision 24-2; Effective May 22, 2024

A before or after-school program operated by a contracted entity is exempt from regulation by CCR if the educational facility:

  • is accredited by: 
    • TEA; 
    • SACS; or 
    • an accreditation body recognized by TEPSAC;
  • contracts with an entity to operate the before or after-school child care;
  • serves children 3 years and older; and
  • offers a curriculum for before or after-school care approved by:
    • TEA; 
    • SACS; or 
    • an accreditation body recognized by TEPSAC.

Procedure

When reviewing an exemption request for a before or after-school program operating under contract with a public educational facility, CCR staff:

  • ask the program to submit written documentation that demonstrates the program is using TEA- approved curriculum content for all ages the program will serve; and 
  • verify the curriculum content is on the current Instructional Materials Current Adoption Bulletin list on the TEA website.

To decide if a before or after-school program operated by a contracted entity is exempt, CCR staff review:

  • the standard documents required in 2423 Supplemental Information CCR Reviews to Determine if a Program is Exempt;
  • the curriculum provided for all ages to verify if it has been approved; and
  • the contract between the program and the facility.

References

Educational Programs that are Exempt from Regulation by CCR, 2340   

26 TAC Section 745.119(3) 
HRC Section 42.041(b)(7) 

2344 Educational Program that is a Member of an Organization Requiring Compliance with the Organization’s Own Standards

Revision 24-2; Effective May 22, 2024

An educational program that is a member of an organization that requires compliance with its own standards is exempt from regulation by CCR if the program:

  • serves children: 
    • no younger than 3 years by Sept. 1; and
    • through at least grade two;
  • provides child care for no more than one hour before and one hour after the hours that are customary for schools in that community; and
  • is a member of an organization that either:
    • publishes health, safety, fire, and sanitation standards equal to those required by the state, county, or municipality; or
    • follows the state, county, or municipal health, safety, and fire codes.

The organization that requires compliance with health, safety, fire and sanitation standards sends the following to CCR:

  • documentation that the organization: 
    • has its own standards for health, safety, fire, and sanitation that are equal to those required for licensed operations; or 
    • requires members to comply with state, county, or municipal health, safety, fire, and sanitation codes;
  • a monitoring plan designed to make sure members comply with either the organization’s standards for health, safety, fire, and sanitation or the health, safety, and fire codes of the state, county, or municipality; and
  • a list of names and addresses of the other educational programs or operations that are members of the organization. After CCR determines the program is exempt, the program must send this list to CCR every six months.

The facility seeking exemption submits the following to CCR:

  • a completed Form 2820, Educational Facility Request for Exemption from Child Care Regulation; and
  • any other documentation to support that the program is exempt.

References

26 TAC Sections 745.119(4) and 745.127 

HRC Section 42.041(b)(8) 

2345 Private Educational Program

Revision 24-2; Effective May 22, 2024

A private educational program is exempt from regulation by CCR if the program:

  • serves children who are at least 3 years old;
  • provides no more than a total of two hours of child day care before or after customary school day in that community; and
  • offers one or more of the following:
    • a prekindergarten class through at least grade three;
    • any elementary grades, which are kindergarten through grade five; or
    • any secondary grades, which are grades six through 12.

References

Definitions of Terms for customary school day

26 TAC Section 745.119(5) 
HRC Section 42.041(b)(11)  
 

2346 Additional Exemption Criteria when an Educational Program Provides Residential Child Care

Revision 24-2; Effective May 22, 2024

If an educational program provides residential child care, the program is exempt from regulation by CCR if the program meets the exemption criteria in Accredited Educational Program for Grades Pre-K and Above, 2341 and meets the following additional criteria:

  • parents retain primary responsibility for their child’s financial support, health problems, or serious personal problems; and
  • residential child care is provided solely to facilitate the students’ participation in the educational program and does not exist apart from the educational aspect of the program.

Reference

26 TAC Section 745.125 

2347 When an Exempt Educational Program Must Obtain a Permit for a Portion of the Program

Revision 24-2; Effective May 22, 2024

An educational program otherwise exempt from regulation must get a permit for the portion of the program that:

  • cares for children younger than the exemption allows;
  • provides before or after-school care for more hours than the exemption allows; or
  • provides care outside the designated school year.

The designated school year is the academic calendar approved by a school board for the local community that includes the instructional days, school holidays, and staff in-service days.  

Appendix 2000-2 Determining Whether a Program or Operation is Regulated by Child Care Regulation

26 TAC Sections 745.121 and 745.123 

2350 Miscellaneous Programs Exempt from Regulation by CCR

Revision 24-2; Effective May 22, 2024

The following miscellaneous programs are exempt from regulation by CCR under 26 TAC Section 745.129.

Exemption TypeTAC Rule
Neighborhood recreation program745.129(1)
Skills program745.129(2)
A caregiver that has a written agreement with a parent to provide residential care745.129(3)
Emergency shelter for minors745.129(4)
Child or sibling group placed by the Department of Family and Protective Services (DFPS)745.129(5)
Food distribution program745.129(6)
Emergency shelter for victims of human trafficking745.129(7)
Respite care for a local mental health authority  745.129(8)

2351 Neighborhood Recreation Program

Revision 24-2; Effective May 22, 2024

A neighborhood recreation program is exempt from regulation by CCR if the:

  • program provides activities designed for the recreation of children 5 through 13 years;
  • program’s governing body adopts standards for care that must include:
    • staffing ratios;  
    • staff training;
    • health and safety standards;
    • mechanisms for assessing and enforcing the program’s compliance with the standards for care; and
    • receiving and resolving complaints from parents of enrolled children;
  • program does not:
    • collect compensation other than a nominal annual fee for membership; or
    • solicit donations as payment for services goods provided as part of the program;
  • program is organized as a nonprofit organization or is located at the participant’s residence;
  • program informs each parent it is not regulated by CCR;
  • program is not advertised or represented as a regulated child care operation that offers child care services; and
  • program conducts criminal background checks on all employees and volunteers who work with the children.

References

Definitions of Terms for compensation

26 TAC Section 745.129(1) 
HRC Section 42.041(b)(19)

2352 Skills Program

Revision 24-2; Effective May 22, 2024

A program that teaches a single skill, talent, ability, expertise, or proficiency is exempt from regulation by CCR if the program:

  • offers direct instruction for one talent, ability, expertise, or proficiency;
  • does not provide other services not directly related to the single skill, talent, ability, expertise, or proficiency;
  • informs each parent it is not regulated by CCR;
  • is not advertised or represented as a regulated operation;
  • informs parents of any physical risk a child may face while participating in the program; and
  • conducts background checks using information  from the Department of Public Safety for all program employees and volunteers who work with children.

References

26 TAC Section 745.129(2) 
HRC Section 42.041(b)(18)

2353 Caregiver Has Written Agreement with a Parent to Provide Residential Care

Revision 24-2; Effective May 22, 2024

An unrelated adult caregiver is exempt from regulation by CCR if the caregiver:

  • is caring for only one child or sibling group:
    • knows the child or sibling group, or family of the child or sibling group, before providing care; 
    • does not receive compensation or solicit donations for the care of the child or sibling group; and
    • has a written agreement with the parent to care for the child or siblings; or
  • is caring for multiple children or sibling groups and:
    • is caring for six or fewer children;
    • does not receive compensation or solicit donations for the care of the child or sibling group; and
    • has a written agreement with the parent of each child or sibling group to care for the child or sibling group.

References

Definitions of Terms for compensation

26 TAC Section 745.129(3) 
HRC Sections 42.041(b)(20) and (25)

2354 Emergency Shelter for Minors

Revision 24-2; Effective May 22, 2024

An emergency shelter is exempt from regulation by CCR if the shelter:

  • does not otherwise operate as a child care facility that must have a license from CCR;
  • provides shelter or care to the minor and the minor’s child or children, if any;
  • provides care for the minor or the minor’s child or children only when there is an immediate danger to the physical health or safety of the minor or the minor’s child or children;
  • does not provide care for more than 15 days, unless:
    • the minor consents to shelter or care to be provided to the minor or minor’s children; and:
      • is 16 years or older, lives separate and apart from the minor’s parent, and manages the minor’s own financial affairs; or
      • is unmarried and is pregnant or is the parent of a child; or
    • the minor has qualified for Temporary Assistance for Needy Families under HRC Chapter 31 and is on the waiting list for housing assistance; and
  • the shelter is:
    • currently under contract with a state or federal agency for the provision of shelter or care to children; or
    • a family violence center that meets the requirements listed under HRC Section 51.005(b)(3), as determined by the Health and Human Services Commission.

References

26 TAC Section 745.129(4) 
HRC Section 42.041(b)(12)

2355 Child or Sibling Group Placed by the Department of Family and Protective Services  

Revision 24-2; Effective May 22, 2024

An unrelated adult caregiver is exempt from regulation by CCR if:

  • the caregiver has a longstanding and significant relationship with the child or sibling group or the family of the child or sibling group;
  • the Department of Family and Protective Services (DFPS) is the managing conservator of the child or sibling group; and
  • DFPS placed the child or sibling group in the caregiver’s home.

References

26 TAC Section 745.129(5) 

Texas Family Code, Chapter 264 Relative and Other Designated Caregiver Placement Program, Subchapter I 
HRC Section 42.041(b)(21)

2356 Food Distribution Program

Revision 24-2; Effective May 22, 2024

A food distribution program is exempt from regulation by CCR if the program:

  • serves an evening meal to children who are 2 years or older; and
  • is operated by a nonprofit food bank in a nonprofit, religious, or educational facility for not more than two hours a day on regular business days.

References

26 TAC Section 745.129(6) 
HRC Section 42.041(b)(16)

2357 Emergency Shelter for Victims of Human Trafficking

Revision 24-2; Effective May 22, 2024

An emergency shelter is exempt from regulation by CCR if the shelter:

  • does not otherwise operate as a child care operation required to have a permit from HHSC;
  • is operated by a nonprofit organization;
  • provides shelter and care for no more than 15 days to alleged victims of human trafficking per Penal Code Section 20A.02, who are 13-17 years old; and
  • is in a municipality with a population of at least 600,000 in a county on an international border and:
    • is licensed by or operates under an agreement with a state or federal agency to provide shelter and care to children; or
    • is a family violence center that meets the requirements in HRC Section 51.005(b)(3), as determined by the Texas Health and Human Services Commission.  

References

26 TAC Section 745.129(7) 
HRC Section 42.041(b)(23)

2358 Respite Care for a Local Mental Health Authority

Revision 24-2; Effective May 22, 2024

A program that provides respite care for a local mental health authority is exempt from regulation by CCR if the program is under a contract with that authority. 

References

26 TAC Section 745.129(8) 
HRC Section 42.041(b)(24)

2360 Other Programs

Revision 24-2; Effective May 22, 2024

Staff also may receive an exemption request for:

  • certain annual youth camps; and
  • background check only entities.

2361 Certain Annual Youth Camps

Revision 24-2; Effective May 22, 2024

An annual youth camp is exempt by law from regulation by CCR if the youth camp:

  • is held in a municipality with a population of more than 1.5 million;
  • operates no longer than three months; and
  • has been operated for at least 10 years by a nonprofit organization that provides care for the homeless.

Reference

HRC Section 42.041(b)(15)

2362 Background Check Only Entities

Revision 24-2; Effective May 22, 2024

Skills programs and substitute organizations that offer services at regulated child care operations have a CCR online account to submit and get background check results on any person in the organization who needs a background check under 26 TAC Chapter 745, Subchapter F, Background Checks, because the person will have access to children in care. 

When the Centralized Background Check Unit Receives a Background Check Only Entity Request

Procedure

When the Centralized Background Check Unit (CBCU) receives a Background Check Only Entity Request from an organization, CBCU staff:

  • evaluate the information received;
  • verify with the program that its employees or volunteers provide their service at regulated child care programs;
  • enter the request and document on the Exemption Requests and Background Check Only Entities page in CLASS:
    • Background Check Only for Request Type; and
    • Select the appropriate Category Type; and
  • upload the request to CLASS Document Library.

If the program is operating or intends to operate a program that does not meet the criteria for a Background Check Only Entity, CBCU staff consult with the Unregulated Operations unit (UOU) to decide next steps.

References

Background Check Only Entities in CLASS, 10123.1 
Appendix 1000-1 Organizing Child Care Regulation Records

26 TAC Section 745.605(a)(2)(B) 

HRC Section 42.056(I) 
 

2400, Processing an Exemption Request

Revision 24-2; Effective May 22, 2024

The table outlines which CCR program area and staff process exemption requests.

Program AreaStaff Responsible
Day care exemption requests
  • Unregulated Operations Unit (UOU) staff for new exemption requests; or
  • DCCR staff for existing regulated operations that submit an exemption request for a program at the same location.
Residential child care exemption requestsState office program specialist
Background check only entity requestsCentralized Background Check Unit (CBCU) program specialist

2410 Overview of the Exemption Process

Revision 24-2; Effective May 22, 2024

Procedure

If a program believes it is exempt from regulation by CCR based on an exemption in 26 Texas Administrative Code Sections 745.115745.117745.119, and 745.129, the program may ask CCR to help determine if the program is exempt per 26 TAC Section 745.131.

If a program believes it is exempt from regulation by CCR and asks CCR to determine if the program is exempt, CCR staff take the following steps:

  • Provide the appropriate exemption request form and ask the person in charge of the program to complete and return the form and all supporting documentation within:
    • five days of receiving the form from CCR, if the program is operating; or
    • five days, if the program is submitting the request in response to an investigation.
  • Enter the exemption into CLASS on the Exemption Requests & Background Check Only Entities page per 2451 Entering the Exemption in CLASS.
  • Evaluate the information received.
  • Conduct an inspection at the operation if necessary.
  • Notify the person in charge of the program of CCR’s decision on the exemption request. Notification must be made within 21 days after CCR staff collect all information necessary to make the decision.
  • Consult with the CCR supervisor or the designated regional subject matter expert to determine if additional information is needed to make a decision.

References

Exemption Request Forms, 2422
Appendix 1000-1 Organizing Child Care Regulation Records
Appendix 2000-1 Miscellaneous Questions and Answers

26 TAC Section 745.131 and 745.133

2420 Determining if a Program is Exempt from Regulation

Revision 24-2; Effective May 22, 2024

To make a determination about an exemption, CCR requests the program to:

  • determine the type of exemption to request;
  • complete all sections of the form appropriate for the type of exemption requested; and
  • include any supplemental documentation that will verify the program’s eligibility for the exemption request.

Procedure

CCR staff use the information the program provides to determine if it is exempt within 21 days of receiving all information necessary to make a decision based on CCR statute and administrative rules.

To verify the program is exempt, CCR staff:

  • ask additional questions if necessary;
  • visit the program website;
  • inspect the program if staff need more information than the program provides; and
  • evaluate the information.

If the program refuses to provide additional information that CCR requests, CCR staff make an exemption determination based on the information available.

Exemptions for Educational Programs

A person who believes an educational program is exempt under 26 TAC Sections 745.119(1) or (2) may contact CCR. If the person in charge of the program provides enough information during this contact for CCR to determine the program is exempt, CCR staff may inform the person the program does not need to complete an exemption request.

Reference

26 TAC Section 745.131

Exemptions for Neighborhood Recreation Program

As well as the exemption criteria stated in 2351 Neighborhood Recreation Program, a neighborhood recreation program must:

  • establish a policy explaining how it informs parents that CCR does not regulate the program; and
  • conduct criminal background checks on all employees and volunteers who work with the children.

When evaluating this type of exemption request, CCR staff ask for the following either in writing or verbally:

  • the policy for informing parents that CCR does not regulate the program; and
  • verification that the program conducts background checks on all employees and volunteers who work with children.

References

Processing an Exemption Request, 2400
Exemption Request Forms, 2422
Procedures When CCR Determines a Program is Exempt, 2430
Procedures When CCR Determines a Program is Not Exempt, 2440

26 TAC 745.115, 745.117, 745.119745.129, and 745.131

HRC Sections 42.002(9)(16)(17)42.041,  and 42.052(c)(d)

2421 Processing the Exemption for an Educational Program that is a Member of an Organization Requiring Compliance With its own Standards

Revision 24-2; Effective May 22, 2024

Procedure

CCR staff review the following to determine if the program meets criteria for exemption:

  • documentation submitted by the organization that requires compliance with standards; and
  • documentation submitted by the program requesting the exemption.

Visit Appendix 2000 Handling Inquiries About the Licensing Process and Exemption for a list of current organizations CCR recognizes to accredit other educational programs under 26 TAC Section 745.119(4).

Reference

Educational Programs that are Exempt from Regulation by CCR, 2340

2422 Exemption Request Forms

Revision 24-2; Effective May 22, 2024

The following table lists the different exemption request forms with the corresponding CCRH reference.

Form Number and NameCCRH Reference
2837 Governmental Entity Request for Exemption from Child Care Licensing RegulationGovernmental Entities that are Exempt from Regulation by CCR, 2320
2839 Program of Limited Duration Request for Exemption from Child Care Licensing RegulationPrograms of Limited Duration that are Exempt from Regulation by CCR, 2330
2820 Educational Facility Request for Exemption from Child Care RegulationEducational Programs that are Exempt from Regulation by CCR, 2340
2838 Miscellaneous Entities Request for Exemption from Child Care Licensing RegulationMiscellaneous Programs Exempt from Regulation by CCR, 2350
2833 Single Skills Program During Summer Request for Exemption from Child Care RegulationMiscellaneous Programs Exempt from Regulation by CCR, 2350
2390 Background Check Only EntityBackground Check Only Entities, 2362
2391 Request for Exemption from Residential Child Care RegulationProcessing an Exemption Request, 2400

The exemption request forms collect the following information:

  • purpose of the program;
  • persons or group responsible for care;
  • location of the facility;
  • days and months that child care is planned or provided;
  • hours that child care is planned or provided;
  • ages of the children in care;
  • projected duration of the child care arrangement;
  • child’s relationship to the child care provider;
  • number of children in care;
  • use of space when a regulated operation operates at the same location; and
  • details about the program’s activities and services that may meet the criteria for exemption from regulation.

2423 Supplemental Information CCR Reviews to Determine if a Program is Exempt

Revision 24-2; Effective May 22, 2024

When determining if a program is exempt, CCR staff review supplemental information when the program submits the appropriate exemption request form.

Examples of supplemental information include:

  • a copy of the license issued by another government entity;
  • accreditation documents;
  • information about municipal ordinances that govern such programs;
  • standards of care;
  • informational and advertising materials;
  • floor plan;
  • shopping center or mall design plan; and
  • state, county, or municipal health, safety and fire codes.

Procedure

When a program provides supplemental information and the appropriate exemption request form, CCR staff:

  • consider the information when making a decision on the exemption request;
  • upload the supplemental documents to CLASS Document Library per  Appendix 1000-1 Organizing Child Care Regulation Records; and
  • document the supplemental information as a Chronology per 2452 Documenting Chronology Entries for Exemption Requests

2424 Exempt Programs that Operate in the Same Locations as Regulated Operations

Revision 24-2; Effective May 22, 2024

If a governing body runs an exempt program and an operation subject to regulation by CCR at the same location, the exempt program and regulated operation must be separate from each other. If the exempt program and regulated operation cannot be kept separate, both are subject to regulation, unless the exempt program is a residential child care program providing 24-hour care to people not lawfully present in the United States who are in the custody of the federal government.

To be considered separate, the exempt program and regulated operation must:

  • be in separate buildings, operated in separate areas of the same building, or operated in the same building at different times;
  • use separate caregivers, or use caregivers who provide care for only one program at a time; and
  • make sure caregivers from each program supervise children when using shared spaces such as restrooms and indoor and outdoor activity areas at the same time.

Reference

26 TAC Sections 744.2909, 745.139, and 746.4215

Procedure

To make sure an exempt program and a regulated operation that operate on the same premises separately, CCR staff request both the exempt program and regulated operation to submit a written plan describing how they will comply with the requirement to keep separate.

If CCR staff cannot decide if the exempt program and regulated operation operate separately after reviewing the information, staff:

  • consult with the supervisor to decide if more information is needed; and
  • conduct an inspection at the location if necessary to observe if the exempt program and regulated operation are in compliance with the requirements that they are kept separate.

If CCR staff decide the exempt program and regulated operation are not separate and are subject to regulation, staff follow the steps in 2440 Procedures When CCR Determines a Program is Not Exempt.

Exception

When an organization operates both a residential child care program that provides 24-hour care exclusively to people not lawfully present in the United States who are in the custody of the federal government and a CCR-regulated operation, the programs must always be kept separate.

If CCR staff decide the organization is not keeping the programs separate, CCR staff make sure the operation:

  • takes steps to separate the exempt program and regulated operation that are at the same location;
  • alter the regulated operation so the programs at the location are exempt; or
  • stop caring for people not lawfully present in the U.S. that are in the custody of the federal government at the same location as the regulated operation.

References

Programs with Oversight by the Federal Government, 2321
Types of Exemptions, 2310
Other Types of Inspections, 4128
Definitions of Terms for grounds

26 TAC Sections 745.115(1)(B) and 745.139(a)

2430 Procedures When CCR Determines a Program is Exempt

Revision 24-2; Effective May 22, 2024

Procedure

If CCR staff determine a program is exempt from regulation by CCR, staff:

  • notify the operation using form 2807 Exempt Response Letter found on the CCR SharePoint site; and
  • follow procedures in 2454 Closing an Exempt Program in CLASS.

Reference

Documenting Exemption Requests and Decisions in CLASS, 2450

2440 Procedures When CCR Determines a Program is Not Exempt

Revision 24-2; Effective May 22, 2024

2441 Non-Exempt Program is Operating

Revision 24-2; Effective May 22, 2024

If CCR staff determines a program is not exempt and is currently operating, the program must take immediate steps to:

  • become regulated;
  • alter the program to meet exemption criteria; or
  • cease operating.

Procedure

When CCR staff determine a program is not exempt and is currently operating, staff:

  • inform the operation in writing that it is not exempt using Form 2848 Not Exempt Response Letter found on the CCR SharePoint Site; and
  • complete the Exemption Requests and Background Check Only Entities page in CLASS per 2450 Documenting Exemption Requests and Decisions in CLASS.

Reference

Documenting Chronology Entries for Exemption Requests, 2452

2441.1 When a Non-Exempt Program Does Not Take Steps to Become Regulated, Meet Criteria for an Exemption, or Stop Operating

Revision 24-2; Effective May 22, 2024

Procedure

When CCR staff notify a program that is operating that the program is not exempt from regulation by CCR, the program must meet the exemption criteria, submit an application, or cease operating. If the program does not submit an application within five days after CCR staff notify the program it is not exempt, staff decide if the program is still operating. If it is still operating without meeting the exemption criteria, CCR staff:

  • inform the CCR supervisor that the program knowingly failed to meet the requirements of an exemption and engaged in activities that require a permit from CCR;
  • document the information as a Chronology (type Application);
  • enter an intake for the operation for a day care operation operating without a permit per 6230 Assessing an Intake Report and 6221.4 Entering Reports of Unregulated Operations;
  • contact Statewide Intake (SWI) for a residential child care operation to enter the report; and
  • leave the exemption request open in CLASS until the program:
    • meets the requirements to become regulated;
    • meets the criteria to be exempt from regulation by CCR; or
    • ceases operating.

References

Closing an Exempt Program in CLASS, 2454
When Exempt Programs No Longer Meet Exemption Criteria, 2510

HRC Section 42.075

2442 Non-Exempt Program is Not Providing Care

Revision 24-2; Effective May 22, 2024

When CCR staff determine a program is not exempt, and the program is not operating, CCR staff first discuss with the program the options to select one of the following before providing care:

  • alter its services so it may meet the exemption criteria;
  • submit a different type of exemption request; or
  • submit an application to become a regulated operation.

If the program chooses one of the three options, CCR staff provide a time frame for the program to choose one of the options.

If the program does not choose to complete one of the three options within the given time frame, staff notify the operation in writing using Form 2848 Not Exempt Response Letter, on the CCR SharePoint site.

CCR staff include the following information in Form 2848 Not Exempt Response Letter:

  • the options that CCR previously provided the program to alter the program;
  • the reasons the program is not exempt; and
  • that the program has the right to request an administrative review to dispute the decision.

In addition, CCR staff complete the Exemption Requests and Background Check Only Entities page in CLASS per 2450 Documenting Exemption Requests and Decisions in CLASS.

2443 Non-Exempt Program Disagrees that it is Not Exempt

Revision 24-2; Effective May 22, 2024

A program that disagrees with CCR’s decision that it is not exempt may request an administrative review within 15 days of receiving Form 2848 Not Exempt Response Letter.

Reference

Administrative Reviews 5600

2450 Documenting Exemption Requests and Decisions in CLASS

Revision 24-2; Effective May 22, 2024

2451 Entering the Exemption Request in CLASS

Revision 24-2; Effective May 22, 2024

CCR staff document the details of the exemption request in CLASS the same day or the next day after receiving the request from the program. CCR staff upload the exemption request form and all supplemental documentation to CLASS Document Library.

Staff document the operation details on the Exemption Requests and Background Check Only Entities page in CLASS as outlined in the table below.

CLASS FieldWhat to Document
Category TypeType of exemption the program requests.
Program TypeDay Care or Residential Care, as applicable.
Operation InformationProgram name, contact person’s name, and contact person’s phone number.
Location AddressThe address where the program takes place.
Mailing AddressThe address where the program receives mail.
Facility EmailThe email address where the program correspondence goes.
Exemption Request Received dateThe date the exemption request was received by the program specialist or by the local CCR office
How many children are you caring for?The number of children the program anticipates enrolling.
Ages of children servedSelect the applicable checkboxes for the program.
Operating TimesThe hours, days, and months of operation the program indicated on the exemption request.
DFPS regulated operations currently on location at same propertyAny known operation numbers for CCR regulated operations located at the same address.

Staff document any associated unregulated and regulated operations on the Operation History page in CLASS as follows:

  • select +Add New;
  • search for the associated operation number; and
  • select the hyperlink of the operation name.

The associated operation will display on the Operation History List.

2452 Documenting Chronology Entries for Exemption Requests

Revision 24-2; Effective May 22, 2024

CCR staff document chronologies in CLASS as outlined in the table below.

ScenarioChronology TypeWhat to Document

CCR staff:

  • correspond with the program contact person;
  • consult with supervisor or program specialist;
  • provide technical assistance to the program or operation provided; and
  • identify concerns about the program.
Operation GeneralConcise summary of the scenario being documented.
CCR staff make a decision on the exemption request.Operation GeneralConcise description of how the operation is either exempt or not exempt.
CCR staff conduct an inspection at the operation.InspectionObservations made during the inspection.

CCR staff:

  • receive supplemental documents from the program or operation; or
  • get supplemental documents
External DocumentationList of the documents received or obtained with a statement that they can be found on the CLASS Document Library.

2453 Documenting Exemption Decisions in CLASS

Revision 24-2; Effective May 22, 2024

Procedure

CCR staff take the following steps to document the exemption decision on the Exemption Requests & Background Check Only Entities page in CLASS:

  • enter the Action Date as the date staff make the determination;
  • select the Action Reason of Exempt or Not Exempt, as appropriate;
  • in the Action Reason box, enter that more details about the decision can be found in a Chronology; and
  • generate the appropriate notification letters by copying and pasting the template form information on the CCR SharePoint site into the HHSC letterhead.

2454 Closing an Exempt Program in CLASS

Revision 24-2; Effective May 22, 2024

CCR staff take the steps on the Exemption Requests and Background Check Only Entities page in CLASS as follows:

  • enter the date the exemption is closed in the Closure Date field; and
  • select the appropriate exemption category from the Closure Reason drop-down menu.

2460 When an Exempt Program Requests Regulation by CCR

Revision 24-2; Effective May 22, 2024

A program exempt from regulation by CCR based on an exemption listed in HRC Section 42.041(b) may request a license only if the program needs a permit to accept federal or state funding.

A program that receives a license under HRC Section 42.041(d) must comply with all applicable provisions of the HRC, Chapter 42, administrative rules, and minimum standards.

Exceptions

An exempt program is not eligible for regulation by CCR for funding purposes unless it is exempt from regulation under HRC Section 42.041(b). Some programs not subject to regulation by CCR are listed as exempt for administrative purposes. Those identified in 26 TAC Section 745.115(1) are not exempt under statute:

  • CCR may not regulate a facility operated on a federal installation because CCR has no regulatory authority over any program located on a federal installation.
  • CCR may not regulate a program that provides 24-hour care exclusively to people not lawfully present in the U.S. who are in the custody of the federal government, even if the program reports that it needs a permit to accept federal funding. The exemption is based on an ongoing emergency declaration by Gov. Abbott that prohibits CCR from issuing a permit to such programs.

References

Governmental Entities that Are Exempt from Regulation by CCR, 2320 
Programs of Limited Duration that are Exempt From Regulation by CCR, 2330

26 TAC Sections 745.125745.141, and 745.143

2500, Handling Changes to an Exempt Program

Revision 24-2; Effective May 22, 2024

In some circumstances, an exempt program may alter its services after CCR makes an exemption determination. The following are examples of a change that an exempt program might make:

  • relocating the program;
  • changing the hours, months, or days of operation;
  • adding or removing services or activities;
  • updating fee requirements; or
  • changing the ages of children the program serves.

CCR may become aware of these changes when:

  • CCR receives a report about the program making a change;
  • CCR receives a report that alleges the program is operating beyond the scope of the exemption;
  • the Unregulated Operations unit (UOU) suspects the program may be operating beyond the scope of the exemption when searching for unregulated operations; or
  • the program notifies CCR about the changes to the program.

After CCR becomes aware of changes to an exempt program, CCR staff evaluate if the changes impact the existing exemption determination.

2510 Determining if Changes to an Exempt Program Change the Program’s Exemption Status

Revision 24-2; Effective May 22, 2024

Procedure

After CCR becomes aware of changes to an exempt program, CCR staff:

  • find the exempt program in CLASS and review the approved exemption determination;
  • compare the changes with the exemption requirements in 26 TAC Chapter 745, Subchapter C, Operations that are Exempt from Regulation; and
  • determine if the changes impact the program’s exemption status.

CCR Decision: No Change to Exemption Determination

If CCR staff decide the program’s changes do not impact the existing exemption status, CCR staff document as a Chronology:

  • an explanation of the program’s change or changes; 
  • the CCR staff decision; and
  • the rationale for the decision.

CCR Decision: Change to Exemption Determination 

If CCR staff decide the program’s changes impact CCR’s exemption determination, including situations where the program is eligible for a different exemption, CCR staff request the program:

•    submit a new exemption request that may be a better fit with the changes made within five days;
•    submit an application for a permit within five days; or
•    not make the changes and notify CCR in writing within five days.

References

Overview of the Exemption Process, 2410 
When a Non-Exempt Program Does Not Take Steps to Become Regulated, Meet Criteria for an Exemption, or Stop Operating, 2441

2520 Enforcement Actions When an Exempt Program Knowingly Operates a Program that Requires Regulation by CCR

Revision 24-2; Effective May 22, 2024

CCR staff may begin the referral process to Child Care Enforcement (CCE) to seek injunctive action, civil penalties, or both against a person who:

  • knowingly fails to meet the requirements of an exemption and engages in activities that require permit from CCR; or
  • fails to inform CCR about a change in the status of a program that requires the program to be licensed or registered.

HRC Sections 42.074(a)(2) and 42.075(a)(4) 

Moreover, a person may be prosecuted under Texas Human Resources Code Section 42.076 for operating a child care operation without the appropriate permit from CCR.

Reference

Handling Changes to an Exempt Program, 2500 
Overview of CCR and Regulatory Enforcement Staff Responsibilities Related to Non-Voluntary Enforcement Action, 7200 

HRC Sections 42.074, 42.075 and 42.076 
 

2600, Providing Information About the Child Care Regulation Process

Revision 24-2; Effective May 22, 2024

CCR staff provide information about the regulation process and child care regulatory activities to:

  • potential applicants and applicants for a child care permit;
  • operations that hold child care permits; and
  • community members.

Visit 1110 CCR’s Regulatory Activities for a list of child care regulation activities. 

Reference

HRC Section 42.047 

Procedure

CCR staff provide information about the child care regulation process through:

  • pre-application interviews;
  • phone calls while on intake duty for DCCR staff only;
  • technical assistance with operations;
  • community engagement events; and
  • encounters with parents or other stakeholders.

References

Orientation, Inquiry Meeting, or Pre-Application Interview, 3210 
Providing Technical Assistance, 4154.1 
Referring Requestors to the CCR Public Website, 8110 
Providing Information About Child Care Operations, 8120 
 

3100, Regulatory Process for Operations

3110 Requirements for Assessment of Risk

April 2010

Child care regulation involves the assessment of risk to children from the beginning phases of application and issuance. Licensing staff use a screening process to help ensure that the only persons who are granted permission to operate are those who are able to meet requirements of the:

  • licensing statute;
  • administrative rules; and
  • minimum standard rules.

3120 Documentation

Revision 23-3; Effective Sept. 22, 2023

CCR staff document all decisions and operation information related to the application and issuance process in CLASS.

CCR maintains external operation hard copy files to store external documents that are not available for viewing in CLASS (including in CLASS Document Library), or on the CCR Digital Storage SharePoint site.

See: 

1310 Content and Organization of Child Care Regulation Records   
Appendix 1000-1 Organizing Child Care Regulation Records

3121 Initiating an Application in CLASS

August 2021

Procedure

Within five calendar days of receiving an application, Child Care Regulation (CCR) staff initiate the application in CLASS by:

  • entering the application information when a paper application is submitted; or
  • searching for and adding an operation to CLASS when an e-application is submitted by an applicant seeking to operate a child care home.

Initiating an Application for an Unregulated Operation

When an unregulated operation that is the subject of a CCR investigation applies for a permit:

  • staff enter the Application Received Date on the Illegal Operation main page before entering the application information when a paper application is submitted; or
  • staff search for the open operation and select Update to CLASS when an e-application is submitted.

CCR staff ensure all information on the Main Operation page in CLASS is consistent with what is provided on the application including:

  • Operation name, location address, public and contact email addresses, and mailing address;
  • Operating Times;
  • Services Offered; and
  • Temporary Location details and Noncontiguous Campus details, if applicable.

3121.1 Documenting Fee Exemptions in CLASS

February 2020

An applicant is exempt from paying the application fee if the application is for:

  • a state-operated operation; or
  • a listed family home provider in which a relative child care provider provides care for a child in the child’s own home.

26 TAC §745.503

See also 5211 Exemption From Fees.

Procedure

Upon receiving the application and determining the applicant is exempt from paying the application fee, Licensing staff must indicate the operation is exempt from paying the application fee before saving the operation’s Main page for the first time. This will prevent CLASS from generating and sending an Application Fee Invoice to the applicant.

Application for a State Operated Operation

Licensing staff indicate that an operation is exempt from fees using the instructions in the table below:

For a Residential OperationFor a Day Care Operation
Select “Yes” from the Exempt from Operations Fee drop-down box on the operation’s Main page in CLASS.Select the radio button State Operated Exempt from Fee.

Application for a Listed Family Home Providing Care in the Child’s Home

Licensing staff exempt a listed family home from paying all fees after HHSC has received a Texas Workforce Commission (TWC) Listed Home Fee Waiver Authorization certificate exempting the provider from paying fees. TWC is responsible for determining whether a listed family home is a relative child care provider that would be exempt from fees; if TWC has made that determination, Licensing staff do not need to take any other steps to determine whether the home is exempt from paying fees.

To indicate that a listed family home is exempt from paying fees in CLASS, Licensing staff:

  1. Select Yes from the Relatives Only box on the Registered and Listed Homes Main Operation page.
  2. Select Yes from the Exempt from Operations Fee drop-down box on the Registered and Listed Homes Main Operation page.
  3. Complete a Chronology (type Fees), indicating receipt of the TWC approval form and that the operation is exempt from fees.

A listed family home that is a relative child care provider is not exempt from paying fees if the home provides care to a related or unrelated child in the caregiver’s home.

3121.2 Capturing Applicant Information in CLASS

Revision 24-2; Effective May 22, 2024

3121.21 Documenting Applicant Information in CLASS (RCCR Only)

Revision 24-2; Effective May 22, 2024

RCCR staff enter the name of the person who submitted the application in the Applicant Information section on the Residential Care Application page in CLASS. 

3121.22 Documenting Applicant History in CLASS (RCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

The RCCR application specialist enters the Applicant History Details on the Applicant History page in CLASS for a general residential operation or child-placing agency application. The application specialist uses the criteria outlined in 3323.4 Additional Requirements if the Applicant or Associated Operation Has a History of Heightened Monitoring (RCCR Only) to explain the reason for the Heightened Monitoring Evaluation.

Changes to the Applicant History Information

If there is a change to the applicant history details, the inspector may update the Applicant History Details on the Applicant History page in CLASS only until the inspector issues the permit. 

3121.23 Documenting Applicant Information in CLASS (DCCR Only)

Revision 24-2; Effective May 22, 2024

Applicant Submits Paper Application

When an applicant submits a paper application, DCCR staff document the name of the person who submitted the application in the Applicant Information section on the Licensed Child Care Application or Registered and Listed Homes Application page in CLASS.

Applicant Submits eApplication

When an applicant for a listed family home, registered child care home, or licensed child care home submits an eApplication, DCCR staff review the applicant name and verify with the applicant that the Applicant Information on the Application/Closure page in CLASS is correct before accepting the application.

3130 The Application Process

September 2012

Procedure

The application process includes all of the following:

  1. The pre-application interview or orientation class (not required for certificates, compliance certificates, or listings).
  2. Submission of the application materials.
  3. The posting of public notice and compliance with hearing requirements for residential child care operations (if applicable).
  4. Review of the application for completeness.
  5. Acceptance of the application as complete, or return of the application if it is incomplete.
  6. A determination by CCR of the applicant’s compliance with rules, including minimum standards and statutes.
  7. The decision to issue or deny a permit.

26 TAC §745.211

3140 Public Notice and Hearing Requirements for General Residential Operations

July 2021

 

3140.1 Public Notice and Hearing Requirements for General Residential Operation Applicants

July 2021

Generally, an applicant for a permit to operate a general residential operation located in a county with a population of less than 300,000 is subject to the public notice and hearing requirements. Exceptions related to trafficking victim services:

  • Any information relating to the provision of those services is confidential.
  • If the applicant intends to provide treatment services to children with emotional disorders, the applicant is not required to disclose any information relating to the provision of trafficking victim services during the public hearing.
  • If the applicant does not intend to provide treatment services, or to children with emotional disorders, the public hearing requirement is waived altogether if the applicant also intends to provide trafficking victim services at the operation.  However, the operation will have to meet public hearing requirements if it never provides or ceases to provide trafficking victim services. In those circumstances, the inspector consults with the supervisor regarding what steps to take for the operation to comply with the public hearing requirements.

Texas Human Resources Code §§42.046142.046242.253

26 TAC §745.273

3140.2 Public Notice and Hearing Requirements for General Residential Operation Permit Holders

July 2021

A general residential operation located in a county with a population of less than 300,000 is subject to public notice and hearing requirements when requesting to amend its permit to:

  • increase capacity; or
  • begin providing treatment services to children with emotional disorders.

Exceptions related to trafficking victim services:

  • Any information relating to the provision of those services is confidential.
  • If the operation provides or intends to provide treatment services to children with emotional disorders, the operation is not required to disclose any information relating to the provision of trafficking victim services during the public hearing.
  • If the operation does not provide, or intend to provide, services to children with emotional disorders, the public hearing is waived altogether if the operation provides trafficking victim services, or intends to provide trafficking victim services, in relation to the increase in capacity. However, the operation will have to meet public hearing requirements if it never provides, or ceases to provide, trafficking victim services. In those circumstances, the inspector consults with the supervisor regarding what steps to take for the operation to comply with the public hearing requirements.

Texas Human Resources Code Section 42.0461

26 TAC  Section 745.273

3141 General Requirements for Public Hearing and Notice

July 2021

When to Publish Notice

The applicant or permit holder subject to the requirements must publish the notice for a public hearing after:

  • CCR accepts an application for a permit;
  • an inspector evaluates a request to amend the permit to increase capacity; or
  • an inspector evaluates a request to amend the permit to offer treatment services to children with emotional disorders.

The content required in the notice must align with the requirements outlined in 26 TAC Section 745.275.

Time Frames for Holding a Public Hearing

The time frames for holding the public hearing is based on the purpose of the hearing and are outlined in the following chart:

If the purpose of the hearing is toThen the hearing must be held
apply for a permit . . .no later than one month after the date the application is accepted.
amend the permit to increase capacity . . .after CCR has evaluated the request for an amendment.
amend the permit to begin providing treatment services to children with emotional needs . . .after CCR has approved the completed GRO-Additional Operation Plan.

Scheduling and Holding the Hearing

An applicant or permit holder that is subject to public notice and hearing requirements is required to:

  • hold a public hearing in a location that is easily accessible to the community where the services are or will be provided;
  • schedule the hearing so that it is open it for at least four hours during the normal business day (a day on the Monday through Friday workweek) or early evening hours; and
  • facilitate the public hearing.

If the applicant is a general residential operation that intends to provide treatment services to children with emotional disorders, the operation may not schedule the hearing until after the inspector approves the applicant’s operational plan outlined in Form 2960, Application for a License to Operate a Residential Child Care Facility, Attachment C (see 3223.3 Additional Requirements for General Residential Operation Applications).

During an active declaration of a state of disaster, Texas Government Code §418.014, a public hearing may be held in a manner that allows remote participation.

Texas Government Code §418.014

26 TAC §745.275(b)  

Providing Notification of the Hearing

At least 10 days before the date of the public hearing, the applicant publishes the notice in a newspaper of general circulation and notifies the CCR inspector of the time, date and location of the hearing.

At least 10 work days before the hearing, the applicant or permit holder provides a copy of the notice in the community where the child care services are or will be provided to the:

  • school district superintendent;
  • governing body of the community; and
  • local law enforcement agency.

26 TAC §§745.201(2)745.275

3142 CCR’s Role During the Public Hearing

July 2021

The inspector attends the public hearing in an official capacity for the purpose of receiving public comments.

CCR attends the public hearing as an observer. The inspector may answer questions about CCR policy and procedures; otherwise, the applicant or permit holder responds to questions.

Texas Human Resources Code §42.0461

26 TAC §745.275

3143 Verbatim Record and Report of Public Comment from the Community

July 2021

Within 10 work days of the hearing, the applicant or permit holder submits to the inspector a verbatim record of the hearing and a completed comment summary report on Form 2997, Results of Public Hearing.   

The CCR inspector reviews the report to ensure it includes all contents required by 26 TAC §745.275(3) before issuing or amending the permit.

If the applicant or permit holder does not submit the report within the time frame, CCR staff may deny the operation a permit, deny the request to increase capacity or deny the request to add treatment services for emotional disorders to the permit, as applicable (see 3223.3 Additional Requirements for Certain General Residential Operation Applications).

26 TAC §745.277

Texas Human Resources Code §42.0461 

3150 “No Trespassing” Signs for Certain General Residential Operations

Revision 23-2; Effective June 26, 2023

A general residential operation that provides treatment services to children with emotional disorders must post “No Trespassing” signs at certain locations on or near the grounds of the operation, including parallel to and along the exterior boundaries, any roadway or other way to access the grounds, at least every 500 feet along the exterior boundaries of unfenced grounds, each entrance to the grounds, and conspicuous places likely to be viewed by intruders. 

See Definitions of Terms for residential treatment center

26 TAC Section 748.3319

Texas Human Resources Code Section 42.068

Procedure

Collecting Sign Information

If the applicant or permit holder requests that CCR provide the “No Trespassing” signs, CCR staff provide the operation a link to an online survey that collects the information about the operation and the number of signs needed. CCR staff provide the link to the survey and document in CLASS as follows:

When CCR Staff Provide the Survey LinkHow to Document in CLASS
During an inspection, including during the application inspection.As Technical Assistance according to 4154.2 Documenting Technical Assistance.
When the operation requests a replacement sign.As a chronology entry, if the operation needs to request the signs outside of an inspection.
If the operation needs additional signs because it increased capacity or changed location.As a chronology entry if the operation needs to request the signs outside of an inspection.

The survey collects the following information:

  • how many signs the operation will need;
  • the name the operation will display on the signs; and
  • the address the operation will display on the signs.

If the operation provides or intends to provide human trafficking services, the operation is not required to list the name and address of the operation on the signs. 
A Residential Child Care Regulation program specialist receives the survey results and requests the order from the print shop. The print shop then mails the required signs to the operation.

See 3324 Providing the Survey Link for “No Trespassing” Signs Information

3200, Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing Permit

3210 Orientation, Inquiry Meeting, or Pre-Application Interview

September 2015

The pre-application interview (also known as orientation or an inquiry meeting) teaches a potential applicant or governing body designee about the application process, CCR requirements, and administrative procedures.

26 TAC §745.213

3211 When a Pre-Application Interview is Required

August 2020

A pre-application interview is required for an applicant or applicant’s governing body designee seeking a license, certificate, or registration. For a registration, a pre-application interview must have been completed within one year before the application date.

An applicant for a listing may attend a pre-application interview for registered and licensed child care homes, but is not required to do so.

The pre-application interview is not available to applicants for a compliance certificate to operate a small employer-based child care facility or a shelter care facility.

26 TAC §§745.211745.243

Procedure

If a potential applicant has not attended a pre-application interview, CCR staff may schedule one for the potential applicant who inquires.

CRR staff should encourage the potential applicant to attend a class to take advantage of the class’s benefits. However, if a hardship situation prevents the potential applicant from attending, and there are sufficient resources, CCR staff gives the potential applicant the option of meeting this requirement at a one-on-one meeting with an inspector.

3212 Approved Locations for a Pre-Application Interview

September 28, 2018

The inspector may hold the pre-application interview for a child care permit:

  • at an HHSC office;
  • at the applicant’s or potential applicant’s office;
  • at the potential site for the operation;
  • as a group meeting, with other CCR staff or HHSC representatives, at any of the locations identified above; or
  • as a telephone interview, if meeting in person is not possible.

26 TAC §745.215

3213 Topics Covered and Forms Provided During the Pre-Application Interview

Revision 24-2; Effective May 22, 2024

During a pre-application interview with a person interested in running a child care operation, the inspector explains the following information:

  • If an application is returned three times within one year because it is incomplete, the applicant must wait one year before submitting another application.
  • The inspector has 21 days to review each submission for completeness.
  • After an application is accepted, the inspector has two months to decide to issue or deny a permit.
  • An initial license may be issued so the operation can be evaluated before it receives a full license.
  • The inspector explains the administrative procedures to follow and requirements to meet under the permit, including:
    • governing body responsibilities;
    • controlling person requirements and responsibilities;
    • liability insurance requirements; and
    • background check responsibilities.

The inspector also discusses the criteria an operation would have to meet to be exempt from CCR regulation.

References

Types of Child Care Permits, 2100
Determining CCR’s Authority to Regulate a Program, 2200 
26 TAC Sections 745.37745.113745.213

3213.1 Governing Body and Licensing Responsibilities

March 2017

Procedure

At the pre-application interview, the inspector explains to the applicant or the applicant’s governing body designee that the governing body:

  • is responsible for maintaining compliance with statutes, administrative rules, and minimum standards; and
  • must complete and submit a separate application for each operation subject to regulation that it plans to operate.

Licensing informs the governing body of any enforcement action that may be taken against the operation if it fails to maintain compliance with statutes, administrative rules, and minimum standards.

3213.11 Additional Information for Child Day Care Governing Body Responsibilities

September 28, 2018

Procedure

At the pre-application interview for a child day care operation, the inspector explains all of the following.

The applicant or the applicant’s governing body designee must submit Form 2911 Child Care Licensing Governing Body/Director Designation with the application.

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must:

  • submit a personal history statement each time a new director is named;
  • notify CCR no later than five days after a change is made regarding a director;
  • submit Form 2911 or designate a new director through the provider's online Child Care Licensing Account within 10 days of designating the director;
  • submit changes in the governing body or the director designation on Form 2760 Controlling Person - Child Care Regulation or through the provider’s online Child Care Licensing Account within two days in accordance with controlling person requirements (see 3213.2 Controlling Person Responsibilities); and
  • indicate on Form 2911 or through the provider’s online Child Care Licensing Account whether all routine correspondence should be sent to the head of the governing body (see Appendix 3000-1: Notifying the Operation, for others who must receive routine correspondence).

26 TAC §§744.303744.1037745.903746.303746.1039

3213.12 Additional Information for Residential Child Care Governing Body Responsibilities

September 28, 2018

Procedure

At the pre-application interview for a residential operation, the inspector explains all of the following to the applicant or the applicant’s governing body designee.

Reporting a Change of Administrator

A general residential operation or child-placing agency must have a full-time licensed administrator.

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must report any change of administrator within seven days after the change. This must be done in writing using Form 2819 Residential Child Care Licensing Governing Body/Administrator or Executive Director Designation, or through the provider’s online Child Care Licensing Account.

26 TAC §§748.103748.307(3)749.103749.507(3)749.633

Reporting a Change of Governing Body or Administrator

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must inform Licensing if the governing body or the administrator changes. This must be done within two days of the change, in accordance with requirements for controlling persons.

Licensing may be notified by using Form 2760 Controlling Person - Child Care Regulation or through the provider’s online Child Care Licensing Account.

See 3213.2 Controlling Person Responsibilities.

40 TAC §745.903

Reporting Policy Changes

The applicant or applicant’s governing body designee or the permit holder must report any significant change in the policies to Licensing at least seven days before implementing the change. See 4700 Reviewing Operation Policies.

If the change requires amending the permit, the amendment must be approved by Licensing before the change is implemented.

26 TAC §§748.63748.1203749.63750.61750.151(f)

Staffing Plan

The applicant or applicant’s governing body designee or the permit holder must have a written professional staffing plan and must hire qualified staff to meet minimum standards.

26 TAC §§748.501749.601

3213.2 Controlling Person Responsibilities

September 28, 2018

Procedure

At the pre-application interview, the inspector explains the following to the applicant or applicant’s governing body designee:

  • who qualifies as a controlling person; and
  • what his or her roles and responsibilities are with an operation.

The inspector also informs the applicant that controlling person information must be submitted:

  • online through the provider's online Child Care Licensing Account or by using Form 2760 Controlling Person - Child Care Regulation, with the application; and
  • within two days each time a person becomes, or ceases to be, a controlling person at the operation thereafter.

26 TAC §§744.305(a)(6)746.305(a)(6)747.303(a)(6)748.103(a)(13)749.103(18)750.103(11)

40 TAC §§745.901745.903745.907

See 5400 Controlling Person.

3213.3 Background Check Responsibilities

September 2015

Procedure

At the pre-application interview, the inspector informs the applicant or applicant’s governing body designee that a background check, including a criminal history check, is conducted on applicants and household members.

The inspector explains which individuals living or working in an operation require an FBI fingerprint check, and that certain criminal convictions and Central Registry findings preclude applicants from getting a permit.

Texas Family Code §264.8521

Human Resources Code §42.056

26 TAC §§745.605745.609

3213.4 Payment of Fees

February 2020

During the pre-application interview, the inspector:

  1. explains the requirements for paying fees during the application period; and
  2. instructs the applicant that upon receipt of the Application Fee Invoice to pay the fee either:
    1. online through the provider’s Child Care Licensing account; or
    2. by mail with a cashier’s check, corporate check, money order or certified check, with the bottom portion of the invoice, to HHSC Accounts Receivable.

See also 5211 Exemptions From Fees

Texas Human Resources Code §42.054

26 TAC §745.517

3213.5 Liability Insurance

July 2021

During the pre-application interview for a prospective licensed, registered or listed operation, the inspector informs the applicant or the applicant’s governing body designee of the following requirements related to liability insurance:

  • the coverage required and exceptions for not having liability insurance;
  • if the operation does not have or stops carrying liability insurance:
    • how and when the operation must notify parents; and
    • failure to provide this notification will result in an administrative penalty;
  • the operation must verify liability insurance coverage with CCR annually by the anniversary date of the initial license (licensed operations) or full permit (registered or listed operations);
  • how the annual verification of liability insurance may be completed; and
  • the operation must provide documentation of liability insurance coverage from the insurance company:
    • with the application; and
    • annually by the anniversary date of the initial license (licensed operations) or full permit (registered and listed operations).

See also 4600 Evaluating Compliance with Liability Insurance Requirements

Texas Human Resources Code §§42.04942.0495

26 TAC §§745.249745.251745.253

3213.6 Additional Information

July 2021

See "Additional Information, Forms, and Materials for Pre-Application Interview" on the CCR SharePoint site.

3214 Handling Original Certificates of Completion

August 2020

Procedure

After completion of the pre-application interview, the inspector provides the applicant with a certificate of completion.

3220 Reviewing and Accepting the Application for a Permit

Revision 23-3; Effective Sept. 22, 2023

CCR staff:

  • determine whether the applicant is eligible to apply;
  • review and process the application in a timely manner;
  • notify the applicant in writing of acceptance of the application and, if necessary, the reason for any delays; and
  • upload application files for the operation in CLASS Document Library when:
    • staff receive an application for an RC operation; or
    • staff accept an application for a DC operation.

If CCR staff receive a paper application, CCR staff convert the paper application to a PDF file and upload the application to CLASS Document Library according to 1310 Content and Organization of Child Care Regulation Records.

See: 

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

3221 Time Frame for Reviewing and Making a Decision on the Application

April 2022

Procedure

Within 21 days of receiving the application for a license, certificate, registration, or listing, and within 10 days of receiving the application for a compliance certificate, the CCR staff notifies the applicant in writing that:

  • the application is complete and accepted by mailing CLASS Letter 2875 App Received and Accepted;
  • the application is incomplete;
  • the applicant is ineligible to apply for a permit;
  • there is good cause to delay the time frame for making a determination on the application; or
  • CCR recommends withdrawal of the application.

Texas Human Resources Code Section 42.046

26 TAC Section 745.301

Military Member, Military Spouse or Military Veteran

CCR staff processes an application for a military member, military spouse or military veteran as soon as possible within the required time frame. To determine whether an applicant qualifies under one of these categories, follow the requirements related to administrator licensing in 9310 Additional Required Documentation if the Applicant is a Military Member, Military Spouse or Military Veteran Requesting Expedited Licensure or Special Considerations.

See also:

3221.1 Good Cause to Exceed the Time Frame for Processing an Application 
3222 How to Determine Whether the Applicant Is Eligible to Apply 
3223 Evaluating an Application for Completeness 
3225 Returning an Application 
3226 When to Delay a Decision on an Application 
3230 Withdrawal of an Application for a Permit

3221.1 Good Cause to Exceed the Time Frame for Processing an Application

Revision 22-4; Effective Sept. 20, 2022

CCR may have good cause to exceed its time frame for processing an application if:

  • there are at least 15% more applications being processed than in the same quarter of the previous year;
  • the delay is caused by another public or private entity that must be relied on to process all or part of the applications received;
  • the operation is the subject of a pending investigation; or
  • other conditions exist that give good cause for exceeding the time frames.

See 3226 When to Delay a Decision on an Application.

26 TAC Section 745.327

3222 How to Determine Whether the Applicant Is Eligible to Apply

Revision 23-4; Effective Nov. 30, 2023

To determine whether an applicant is eligible to apply for a license, certificate, registration or listing permit, see the circumstances and actions described in the following table:

If …Then …
CCR revoked, denied or refused to renew a permit for a substantive reason…the applicant is not eligible to reapply for five years from the date the revocation, denial or refusal to renew the permit became final.
CCR returned an application for the third time as incomplete within the past year…the applicant may not reapply for one year from the date the third application was returned as incomplete.
CCR sustained the applicant as a controlling person within the previous five years…the person is ineligible to apply for a permit because of an adverse action that was sustained during the previous five years.
the applicant was a permit holder or controlling person who had a permit denied, revoked, suspended or terminated by a state health and human services agency in the last 10 years…depending on the circumstances that led to the previous denial, suspension, revocation or termination, the applicant may not be eligible to apply. Note: CCR staff consult with a supervisor to determine the applicant’s eligibility to apply in this scenario.

the applicant seeking a permit for a day care home: 

  • is younger than 18 years old (if a listing permit); or 
  • is younger than 21 years old (if a registration or license); and
  • will not meet the age requirement within the time frame noted in 3221 Time Frame for Reviewing and Making a Decision on the Application…
the applicant is ineligible to apply.

26 TAC Sections 745.303, 745.403, 745.911

Texas Human Resources Code Section 42.072

Texas Government Code, Chapter 531, Subchapter W

Procedure

Global Person Search and Review of Other Electronic and Hard Copy Records

CCR staff conduct a Global Person Search in CLASS to verify information submitted in the application packet. Staff also review electronic records maintained on the CCR Digital Storage SharePoint site, in CLASS Document Library and, if available, hard copy records maintained in CCR offices.

CCR staff review five years of information from the date the application was received. Staff use available information, such as a Certificate of Formation and other documentation, to cross-check the names of the entity given on the application.

If the applicant is eligible to receive a permit, CCR staff document: 
•    that the applicant is eligible to apply;
•    a summary of the review of records; and 
•    any consultations as a Chronology in CLASS (type Application).

If the applicant is not eligible to apply for a permit, staff do not accept the application. Staff inform the applicant in writing of their ineligibility by generating a letter in CLASS using the HHSC letterhead.

If CCR staff detect any discrepancies between information entered on the application and supporting forms, CCR staff follow procedures in 3223.1 If the Application is Incomplete or Contains Errors. 

Additional Global Person Searches for Applicants for a Residential Child Care Operation Who Intend to Care for Children in the Conservatorship of DFPS

In addition to the applicant, CCR staff conduct a Global Person Search in CLASS for each:

  • owner, including a sole proprietor or each partner in a partnership;
  • governing body member, as identified on Form 2819 Residential Child Care Regulation Governing Body/Administrator or submitted through the provider’s online Child Care Regulation Account; and
  • controlling person, as identified on Form 2760 Controlling Person – Child Care Regulation or submitted through the provider’s online Child Care Regulation Account.

Adverse Action Record Sharing (AARS) Search

During the application process, staff conduct a search of the AARS system to determine if any controlling person associated with the application had a permit denied, revoked, suspended, refused to renew or terminated by a state health and human services agency in the last 10 years.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library
1500  Conducting a Search in CLASS 
5431  Processing Information on a Controlling Person During the Application Process
5441  Searching for a Controlling Person in the AARS System and Documenting the Results

3223 Evaluating an Application for Completeness

Revision 23-2; Effective June 26, 2023

Procedure

CCR staff review the information supplied on the applicable application form and attachments for completeness:

  • Form 2841 Small Employer-Based Child Care or Temporary Shelter Child Care Facility Application
  • Form 2910 Application for a License or Certification to Operate a Child Day Care Facility
  • Form 2919 Request for a Registration Permit
  • Form 2960 Application for a License to Operate a Residential Child Care Facility including, as appropriate:
  • Form 2986 Listing Permit Request

For information about what a complete application consists of, see Required Application Materials on the CCR SharePoint site.

See also:

3140 Public Notice and Hearing Requirements for General Residential Operations
3223.1 If the Application is Incomplete or Contains Errors 
3230 Withdrawal of an Application for a Permit 
3321 Denial of a Permit or Amendment for Failure to Comply with Public Notice and Hearing Rules 
3225 Returning an Application 
Instructions for Completing Form 2960 Attachment C

3223.1 If the Application is Incomplete or Contains Errors

Revision 23-3; Effective Sept. 22, 2023

CCR staff review and determine if the application is complete or contains errors. Staff do not accept an application that is incomplete or contains errors. Staff attempt to contact the applicant to resolve minor errors or omissions.

Procedure

Applications for a Day Care Operation:

CCR staff and the applicant for a day care operation communicate about an incomplete application through face-to-face meetings, phone calls, emails, text messages, or a combination of these methods. Staff document the communications in a Chronology in CLASS (type: Application) and upload any email or electronic information to the CLASS Document Library. 
Depending on the extent of the errors or missing information, staff either:

  • make the necessary changes after speaking to the applicant; or
  • return the application and request that the applicant make the changes and resubmit the application.

If the applicant authorizes staff to make a minor change or addition to an incomplete application, staff date and initial any changes made.

Applications for a Residential Child Care Operation:

Staff and the applicant for a residential operation communicate about an incomplete application through face-to-face meetings, phone calls, emails or a combination of these methods.

If the applicant communicates with staff via a text message, residential CCR staff:

  • respond to the applicant through face-to-face meeting, phone call or email;
  • document the communication in a Chronology in CLASS (type Application); and
  • upload any email or electronic information to CLASS Document Library.

Depending on the extent of the errors or missing information, staff either:

  • make the necessary changes after speaking to the applicant; or
  • return the application and request that the applicant make the changes and resubmit the application.

If the applicant authorizes staff to make a minor change or addition to an incomplete application, staff date and initial any changes made.

See: 

1310  Content and Organization of Child Care Regulation Records
1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 
Appendix 1000-1  Organizing Child Care Regulation Records

26 TAC Section 745.301

Texas Human Resources Code Section 42.047

3223.11 Providing Technical Assistance When an Application is Incomplete or Contains Errors

May 2021

The inspector provides technical assistance to the applicant each time the application is returned. Technical assistance includes setting a time limit for when the application must be resubmitted.

3223.2 Determining if the Governing Body on the Application is Accurate

May 2020

If the inspector suspects the applicant made an error in noting the type of governing body for the operation, then the inspector consults with his or her supervisor. The inspector and supervisor consult with Legal, if needed. If staff determine that the applicant made an error in choosing the type of governing body, the inspector follows 3223.1, If the Application is Incomplete or Contains Errors. Once the inspector determines the correct governing body type, the inspector enters the Type of Governing Body on the Governing Body Designation page in CLASS.

If an operation’s governing body may have changed to another type of entity, the inspector consults with his or her supervisor and, if needed, Legal, to determine if a change in ownership occurred (see 3833 Change of Ownership).

3223.3 Additional Requirements for Certain General Residential Operation Applications

July 2021

When CCR receives an application for a permit to operate a general residential operation that intends to provide treatment to children with emotional disorders, the inspector reviews the application materials as soon as possible. If Form 2960, Application for a License to Operate a Residential Child Care Facility, Attachment C, General Residential Operations - Additional Operational Plan, was not submitted with the application, the inspector:

  • calls the applicant;
  • provides the applicant a copy of Form 2960, Attachment C; and
  • requests the applicant submit a completed Form 2960, Attachment C, within five days.

An application for a general residential operation that intends to provide treatment services to children with emotional disorders is considered complete after the inspector has:

  • reviewed all application materials for completeness;
  • ensured that policies required to be submitted with the application comply with minimum standards; and
  • documented the approval of the operational plan submitted on Form 2960, Attachment C, General Residential Operations – Additional Operational Plan.

3223.31 Reviewing the GRO Operational Plan

July 2021

The inspector reviews Form 2960, Application for a License to Operate a Residential Child Care Facility, Attachment C, to determine if the operational plan is adequate or whether to recommend changes to the plan that may improve the operation’s relationship with the community where the GRO will be located.

The inspector discusses concerns with the applicant, returns the application and requests changes be made if the inspector:

  • has concerns with the applicant’s operational plan;
  • has recommended changes to the operational plan that could improve the operation’s relationship with the community where the operation will be located; or
  • the policies submitted with the application do not comply with minimum standards.

The inspector’s discussion with the applicant includes:

  • the nature of the changes needed;
  • a date by which the applicant must resubmit the application materials;
  • informing the applicant that CCR must approve the operational plan before approving the application and before the operation can schedule the public hearing; and
  • a description of any other application materials that the applicant must resubmit.

If the applicant is unable or unwilling to provide an acceptable operational plan, the inspector:

  • staffs the issue with the supervisor at least five days before the date the inspector must return the application; and
  • documents the staffing in a CLASS chronology entry (type Application).

3223.32 Documenting the Approved GRO Operational Plan for Applicants

Revision 23-3; Effective Sept. 22, 2023

After determining that the operational plan documented on Form 2960, Application for a License to Operate a Residential Child Care Facility, Attachment C, General Residential Operations – Additional Operational Plan, is adequate and before accepting the application, the inspector:

  • documents approval of the operational plan in CLASS in a chronology entry (type Application); and
  • uploads Form 2960, Attachment C to the CLASS Document Library site as outlined in 1310 Content and Organization of Child Care Regulation Records.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 

3224 Accepting the Application

Revision 23-3; Effective Sept. 22, 2023

CCR staff accept the application when:

  • the application is determined to be complete (see the Required Application Materials document on the CCR SharePoint site); and
  • the materials submitted show compliance with relevant statutes, rules and minimum standards.

Procedure

CCR staff:

  • accept the application in CLASS on the Application/Issuance page; and
  • send CLASS Letter 2875 App Received and Accepted to the applicant stating that the application is complete and accepted.

Day care CCR staff create a file for the operation on the CLASS Document Library after accepting the application. 

See:

1310  Content and Organization of Child Care Regulation Records
1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 
Appendix 1000-1 Organizing Child Care Regulation Records

26 TAC Section 745.243 

3225 Returning an Application

February 2020

The inspector returns an application if:

  • some of the required materials have not been submitted;
  • some of the materials are not filled out completely; or
  • the inspector cannot verify that the operation has paid the application fee.

See 5240 Verification of Fee Payments.

3225.1 Returning an Application for the First or Second Time

August 2020

If the application is incomplete, staff notifies the applicant by mailing CLASS letter 2870 App Return (First or Second). The notification letter must explain what information is needed to complete it and a time frame by which to resubmit the corrected application materials.

Once a subsequent application is received, staff has 21 days from the second receipt date of an application for a license, certificate, registration, or listing and 10 days from the second receipt date of an application for a compliance certificate to:

  • review the revised application materials;
  • send written notice acknowledging the application is complete and accepted or that the application is incomplete with an explanation of what information is needed and a time frame to complete it; and
  • verify that the operation has paid the application fee if verification was not done previously.

For an operating applicant, staff follows up to ensure that:

  • the application is resubmitted; or
  • care for children is discontinued.

See Job Aid, How to Return an Application, on the CCR SharePoint site, especially for information concerning e-applications or when an applicant has not been responsive to CRR's attempts to contact the applicant.

See also:

3223.1 If the Application is Incomplete or Contains Errors 
CLASS Online Help: Record an Application Decision

3225.2 Handling Applications Returned for the Third Time in a Year

Revision 22-4; Effective Sept. 20, 2022

If three applications are returned within a period of one year because they are incomplete or contain errors, an applicant may not reapply until one year from the date the last application was returned as incomplete. This applies to applications for a license, certificate, registration, and listing permits.

26 TAC Section 745.303

Procedure

When an application is returned for the third time as incomplete, CCR staff:

  • sends CLASS Letter 2887 App Return (Final) to the applicant stating that HHSC rules prohibit applying for a license, certificate, registration, or listing permit for one year from the date a third application was returned as incomplete;
  • includes in the notification the earliest date on which the individual may reapply for a license, certificate, registration, or listing permit; and
  • conducts a follow-up inspection within 15 days of returning the application to verify the operation is closed.

See also:

3230 Withdrawal of an Application for a Permit 
4320 Following Up with an Inspection 
CLASS Online Help: Recording an Application Decision

3226 When to Delay a Decision on an Application

September 2015

Procedure

The inspector delays a decision on an application in the following situations:

  • The operation is being investigated because of a report alleging violations of statutes, administrative rules, minimum standards, or abuse or neglect. The inspector must not accept the application until the investigation is complete.

26 TAC §745.327

  • A background check match has been received, and the match is still being investigated for an applicant or non-client household member.
  • The applicant is seeking a permit for a day care home and is younger than 18 years of age (if a listing permit) or 21 years of age (if a registration or license), but will meet the age requirement within the time frame noted in 3221 Time Frame for Reviewing and Making a Decision on the Application.

When there is a delay in making a decision on an application, the inspector notifies the applicant via phone, email, or regular mail and documents the correspondence in CLASS chronology.

3226.1 Reasons to Delay a Decision Specific to Residential Child Care Applications

September 2015

The inspector determines whether the applicant:

  • has had a residential child care operation permit revoked in another state; or
  • is barred from operating a residential child care operation in another state.

This is accomplished by reviewing:

  • Form 2960 Application for a License to Operate a Residential Child Care Facility; or
  • Form 2982 Personal History Statement.
  • If the inspector’s review of the information from the other state is not complete, the inspector delays a decision on an application.

If the information provided by the applicant shows that the revocation or bar from operating in another state may have taken place for reasons similar to those for which CCR would take adverse action, the inspector researches the out-of-state history.

The inspector documents the review in CLASS by selecting the checkbox for the Out-of-State RC Revocation or Bar indicator on the Application/Closure page in CLASS, and enters additional information in the CLASS chronology.

The inspector or supervisor takes one or more of the following actions:

  • If more information is needed, the inspector discusses the reasons for the action with the applicant.
  • The inspector contacts the authority in the state where the action took place to obtain additional information.
  • If adverse action is recommended, the inspector consults with the supervisor, and the supervisor consults with a CCR attorney. The CCR attorney may need to review the appropriate state’s regulatory structure to validate a negative compliance history.
  • If denial of the residential license is recommended, the inspector denies the person a permit according to procedures in 7600 Adverse Actions. The inspector documents the reason for denial in the Corrective and Adverse Action History page in CLASS as a Denial Due to Out-of-State History.
  • If the review of the out-of-state history exceeds the time frame required under 3220 Reviewing and Accepting the Application for a Permit, the inspector obtains approval from the supervisor and documents it in the CLASS chronology.

Texas Human Resources Code §42.046(e)

26 TAC §745.8605

When there is a delay in making a decision on an application, the inspector notifies the applicant via phone, email, or regular mail and documents the correspondence in CLASS chronology.

3230 Withdrawal of an Application for a Permit

 

3231 When an Applicant Withdraws an Application

Revision 23-4; Effective Nov. 30, 2023

An applicant may withdraw his or her application before CCR issues or denies the permit if the operation:

  • is not operating and has no plans to open;
  • has decided to apply for a different type of permit;
  • needs additional time to comply with statutes, administrative rules, or minimum standards (the applicant may reapply when ready to proceed); or
  • submitted a background check for a person who has an unsustained Central Registry finding that would be eligible for a risk evaluation if sustained, and the CBCU indicates that a risk evaluation would likely not be approved. See 3312 Conducting Background Checks.

26 TAC Sections 745.5001(b)(1); 745.5051(1)

Procedure

When a request to withdraw an application is received from an applicant, CCR staff confirm the request in writing on CLASS Form 2802 Application Withdrawal Letter.

If the applicant was providing care, the inspector conducts a follow-up inspection within 15 days of the date of withdrawal to verify that the operation has closed.

Refunding Fees

The application fee cannot be refunded, but the initial license fee is refunded if already paid. If the applicant reapplies within 30 days for the same type of operation, a new application fee is not necessary.

26 TAC Sections 745.401 and 745.519(2)

See:

4320 Following Up with an Inspection
5270 Fee Refund Guidelines
7600 Adverse Actions

3231.1 Basis to Deny a Permit for an Unsustained Central Registry Finding

Revision 22-4; Effective Sept. 20, 2022

Unless the applicant withdraws the application, the CCR staff must deny the applicant a permit if:

  • a Central Registry search returns an unsustained finding that would be eligible for a risk evaluation if sustained; and
  • the CBCU indicates that a risk evaluation would likely not be approved.

See 10451.1 When Monitoring Staff May Request a Risk Evaluation Prediction

3232 When CCR Recommends Withdrawal of an Application

Revision 22-4; Effective Sept. 20, 2022

CCR staff may recommend an applicant withdraw the application when:

  • CCR cannot meet the time frame for accepting an application or issuing the permit because the applicant does not meet the requirements for acceptance or issuance; and
  • there is not good cause to exceed the time frame.

Procedure

If the applicant agrees to withdraw the application, CCR staff confirms the withdrawal request in writing on CLASS Letter 2802 Appl Withdrawn Letter.

If the operation is currently providing care, the inspector conducts a follow up inspection within 15 days of the date of withdrawal to verify that the operation has closed.

See:

3221.1 Good Cause to Exceed the Time Frame for Processing an Application 
3411 Good Cause to Exceed the Time Frame for Issuing a Permit 
4123  Follow-Up Inspections

3232.1 Basis to Deny a Permit

Revision 24-2; Effective May 22, 2024

If the applicant does not withdraw the application and does not stop operating, the inspector must deny the applicant a permit based on the applicant’s failure to comply with minimum standards, administrative rules, or the licensing statute.

Procedure

If the inspector denies the applicant a permit, the inspector notifies the applicant that the applicant must stop operating and may appeal the decision. The inspector conducts a follow-up inspection to make sure the operation is no longer providing care.

References

Follow-Up Inspections, 4123
Adverse Actions, 7600
Due Process Hearings, 5700 

CLASS Online Help: Record an Application Decision and Close an Operation 

26 TAC Sections 745.8605 and 745.8650 
 

3300, Process for Determining Whether to Issue or Deny a Permit

3310 Evaluating Before Issuing a Permit

September 2015

After accepting an application, the inspector determines:

  • compliance with the statutes, administrative rules, and minimum standards applicable to issuance; and
  • the risk to children.

Texas Human Resources Code Sections 42.04842.07242.15342.203

Procedure

Before determining whether to issue or deny the permit, the inspector completes the activities in the items listed below for all operation types.

See:

2270 Residential Child Care Operations that Also Provide Child Day Care  
3311 Checking the Sex Offender Registry  
3312 Evaluating Background Checks  
3313 Inspecting the Operation (Except Listed Homes)

3310.1 Following Up on Out-of-State Compliance History Before Issuing a License, Registration or Listing

August 2020

Before issuing a license, registration or listing to an applicant, CCR staff follows up on out-of-state compliance history if the application indicates that:

  • another state revoked a permit to operate a residential child care operation held by the applicant; or
  • the applicant is barred from operating a residential child care operation in another state.

Texas Human Resources Code §42.046(e)  

Procedure

The inspector follows up on out-of-state compliance history by:

  • requesting the applicant provide CCR with the other state’s records relating to the revocation or bar; and
  • consulting with Legal to determine whether the revocation or bar is an adequate ground to deny the applicant a permit in Texas.

3311 Checking the Sex Offender Registry

September 2015

Procedure

The inspector checks the sex offender registry on the Department of Public Safety website that lists the addresses of sex offenders, compares it with the address of the operation, and then documents the findings in CLASS chronology.

See 6520, Investigations of Matches to the Database of Sex Offenders, for procedures on processing a match. The inspector denies the application if a match requires it.

See also 7600 Adverse Actions.

3312 Evaluating Background Checks

Revision 22-6; Effective Dec. 19, 2022

Procedure

Before issuing a permit, the inspector reviews the Eligibility column on the Background Check Results page and then evaluates background check results for the persons identified in this chart:

Operation TypePersonEligibility required before issuing
Licensed child care home  

Registered child care home  

Listed family home
All owners and Non-client household membersEligible or Conditional
Any other operation typeAll ownersEligible or Conditional

CCR may issue a permit without waiting for background results for other persons or roles at the operation if all other criteria for issuance are met.

26 TAC Sections 745.605, 745.631, 745.647

See: 

3413 Criteria for Issuing a Compliance Certificate, Registration, or Listing  
10112 Types of Background Checks   
10121 Persons for Whom Operations Must Submit Requests for Background Checks   
10130.3 Overriding Eligibility Determinations of Provisional for Certain Roles  
10510 Types of Eligibility Determinations  
10711 Determining Whether the Operation Submitted All Required Checks

3312.1 Unsustained Central Registry Findings

September 2015

The inspector may request that the Centralized Background Check Unit conduct a risk evaluation prediction if:

  • an applicant or another individual has an unsustained Central Registry finding;
  • Reason to Believe finding against that person would result in adverse action being taken against the operation; and
  • the finding:
    • is pending a due process hearing;
    • has not been released through an emergency release; and
    • would be eligible for a risk evaluation if sustained.

See 10470 Obtaining a Risk Evaluation Prediction for Applicants for a Permit

When to Deny

The inspector may deny a permit when there is an unsustained Central Registry finding on an applicant or another individual for whom a Reason to Believe finding would result in adverse action being taken against the operation.

The permit is denied if:

  • the Legal division has approved the denial of the permit; and
  • one of the following applies:
    • there is an emergency release of that finding;
    • the finding would bar the person if it were later sustained (see 10260 Handling Sustained Central Registry Findings); or
    • children are in care and the person has requested a due process hearing and the CBCU determines that a risk evaluation would not likely be approved if the finding were later sustained (see 10470 Obtaining a Risk Evaluation Prediction for Applicants for a Permit).

When to Issue

If the CBCU indicates that a risk evaluation would likely be approved, and if all other criteria for issuance are met, the inspector may issue the permit with conditions.

When to Delay the Decision

Licensing has good cause to exceed the time period for issuing a permit if the results of the background check indicate there is an active investigation for an applicant or another individual and a Reason to Believe finding might result in adverse action being taken against the operation.

See 3226 When to Delay a Decision on an Application.

If information about the Central Registry finding cannot be released to the applicant because the perpetrator is someone other than the applicant, the inspector can, without releasing any identifying information about the match, explain to the applicant that there is a problem with a background check and a permit cannot be issued until the background check is cleared.

3313 Inspecting the Operation (Except Listed Homes)

December 2015

After accepting the application for a license, certificate, compliance certificate, or registration, the inspector must conduct an inspection to determine whether the operation is in compliance with all applicable rules and minimum standards.

Procedure

The inspector:

  • cites any statutes, administrative rules, and minimum standards the operation has not complied with and establishes dates by which the operation must be in compliance;
  • follows up by inspection, mail, fax, or email to ensure that corrections of deficiencies have been made; and
  • ensures any investigation alleging violations of statutes, administrative rules, or minimum standards is complete.

If the operation is providing care without a permit at the time of the inspection, the inspector cites a violation of the law. The inspector completes the procedures in 4159 Handling Resistance or Refusal to Allow Inspection, if the caregiver refuses to:

  • admit staff or attempts to delay or obstruct inspection of the operation during hours that care is provided; or
  • allow inspection of an area of the operation that affects or could affect the children’s health, safety, or well-being.

Texas Human Resources Code §42.044

40 TAC §745.321

3313.1 Time Frames

September 2015

The inspection must occur within:

  • 21 days of accepting the application for a license, certificate, or registration; and
  • 10 days of accepting the application for a compliance certificate.

Supervisory approval is required to exceed these time frames. The inspector documents supervisory approval in a CLASS chronology.

40 TAC §745.321

3313.2 When to Announce an Application Inspection

September 2015

If the operation is not providing care, the inspection must be announced.

If the operation is providing care, the inspection may be announced or unannounced. The inspector may arrange an announced inspection when it is necessary for the applicant or caregiver to make alternate plans for the children during the evaluation.

3313.3 Abbreviated Inspection

September 2015

An abbreviated inspection may be conducted before issuance if the operation:

  • is changing ownership with no change in policy or procedures or in the operation’s staff who have contact with children; and
  • is not on corrective or adverse action.

See 3313.4 Evaluating Compliance.

Texas Human Resources Code §§42.04442.15342.203

40 TAC §745.321

3313.4 Evaluating Compliance

Revision 22-6; Effective Dec. 19, 2022

Procedure

While processing an application for a permit, the inspector develops a plan to evaluate an operation’s compliance with statutes, administrative rules, and minimum standards.

The following chart provides guidelines to develop the plan. More than one guideline may apply.

SituationPlan for Evaluating Compliance
Operation is not providing care.Include all applicable statutes, administrative rules and minimum standards not requiring the presence of children.
Operation is providing care.Include all applicable statutes, administrative rules, and minimum standards.
Operation changes type of operation or adds a different type of operation.Include all applicable statutes, administrative rules, and minimum standards related to the new operation type.

Licensed operation changes ownership (See 3833 Change of Ownership) and:

  • policies and procedures; or
  • staff who have direct contact with children (initial license required).
Include all applicable statutes, administrative rules, and minimum standards (including any rules or standards that have grandfather clauses).

Licensed operation changes ownership (see 3833 Change of Ownership), but:

  • does not change policies or procedures;
  • does not change staff who have direct contact with children;  and
  • is not on corrective or adverse action.
Evaluate the minimum standards that confirm there is no change in policy or procedures or in staff who have direct contact with children. Also evaluate compliance with any statutes, administrative rules, or minimum standards that have grandfather clauses.
New owner applies after the operation has received notice of revocation.Include all applicable statutes, administrative rules, and minimum standards.
Renewal of the initial license is required, as noted in 3520 Renewing an Initial License.Evaluate compliance with all applicable statutes, administrative rules, and minimum standards, if the initial license was renewed because of a pattern of deficiency.  

Evaluate compliance with limited standards, if the initial license was renewed because the operation was not operating. Assess the risk to children to determine whether an inspection is needed before issuance.

Day care staff may use the Form 2936TSP Temporary Shelter Program, available on the CCR SharePoint site, when evaluating compliance during an application inspection for a Temporary Shelter Program.

Residential care staff may use the following forms when evaluating compliance during an application inspection:

3313.5 Processing Controlling Person Submissions

Revision 23-4; Effective Nov. 30, 2023

Procedure

The inspector ensures that all controlling person information that the operation submits is processed according to policies and procedures in 5400 Controlling Persons. An applicant for a compliance certificate does not need to submit controlling person information.

When a Permit Is Denied

The inspector denies a permit if a controlling person match requires it.

See:

5452 Eligibility to Receive a Permit After Finding a Match for an Applicant  
5453 Eligibility to Serve As a Controlling Person After Finding a Match

3313.6 Confirming Fire, Sanitation and Gas Inspections (Except for Listed Homes and Child-Placing Agencies)

August 2019

Procedure

The inspector ensures that child care centers, school-age programs, before- and after-school programs, general residential operations, and independent foster homes have approved fire, sanitation and gas inspections, if the operation uses natural or liquid propane (LP) gas, except these inspections are not necessary if:

  • the operation is located in a public school building that is maintained by an independent school district; or
  • a sanitation inspection is not available from the local sanitation official (in which case, the inspector reviews documentation obtained by the operation from a county judge that explains why a sanitation inspection is not available).

If a temporary shelter child care facility, small employer-based child care facility, registered child care home, or licensed child care home receives a fire or sanitation inspection in the political subdivision where the operation is located and the applicant makes the report available to Licensing staff, Licensing staff:

  • reviews the documentation for any restrictions noted by the political subdivision; and
  • adds a condition to the permit to encompass any restrictions noted by the political subdivision.

Texas Human Resources Code §§42.044342.15342.203

26 TAC Sections 744.2501744.3501744.3651746.3401746.5101746.5401747.3201747.4901748.3001748.3061748.3101750.1101

3320 Additional Activities to Complete for Applicants for a Licensed Residential Child Care Operation

3321 Denial of a Permit or Amendment for Failure to Comply with Public Notice and Hearing Rules

July 2021

CCR may deny a permit, an amendment to the permit to increase capacity, or an amendment to the permit to add treatment services for children with emotional disorders for failure to comply with the public notice and hearings rules in 26 TAC §§745.273 and 745.275.

CCR determines that:

  • the community has insufficient resources to support the number of children proposed to be served;
  • issuance of the license or amendment of the permit would significantly increase the ratio in the local school district of students enrolled in a special education program to students enrolled in a regular education program and the increase would adversely affect the children proposed to be served; or
  • issuance of the license or amendment of the permit to increase the capacity would have a significant adverse impact on the community and would limit opportunities for social interaction for the children proposed to be served.

Texas Human Resources Code §42.0461

40 TAC §§745.273745.275745.8651

3322 Fee Exemptions for Certain Residential Operations

July 2021

A nonprofit residential operation is exempt from paying fees if the operation:

  • does not charge for the care that the operation provides; or
  • provides residential care for children in the conservatorship of DFPS.

26 TAC §745.503

Procedure

To indicate that a residential operation is exempt from paying fees, the inspector selects “Yes” from the Exempt from Operations Fee drop-down box on the operation’s Main page in CLASS after the application has been accepted.

For an operation planning to provide care to children in the managing conservatorship of DFPS, staff refer to 5211.1 Residential Child Care Operations that Provide Care to Children in the Managing Conservatorship of DFPS prior to issuing the operation’s full permit.  

See 5211 Exemption from Fees

3323 Identifying, Associating, and Documenting Information from an Associated Operation (RCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

Identifying the Applicant

RCCR staff assess if the applicant is associated with an existing or closed residential child care operation when reviewing an application for a general residential operation (GRO) or child-placing agency (CPA) license. They do this by determining if the applicant:   

  • is applying for an additional license to operate a residential child care operation in a different location;
  • is reapplying for a new license after voluntarily closing a residential child care operation; or
  • had a change in ownership and the new owner is associated with an existing or closed operation as outlined in 3323.1 When to Associate Ownership (RCCR Only).

3323.1 When to Associate Ownership (RCCR Only)

Revision 24-2; Effective May 22, 2024

RCCR staff associate a new owner with an existing or closed operation if staff find:

  • any controlling person from the existing or closed operation serves or intends to serve as a controlling person in the new operation; or
  • the new owner is related by a third degree of connection or second degree of marriage per 26 TAC Section 745.21 to a controlling person of the existing or closed operation and includes:
    • a sole proprietor;
    • any partner of a partnership; or
    • any member of the governing body of a corporation.

If the applicant is associated with an existing or closed operation as described in 3323 Identifying, Associating, and Documenting Information from an Associated Operation (RCCR Only), RCCR staff assess the previous five-year compliance history  for each associated operation to decide whether to:

  • issue a license;
  • issue a full license instead of an initial license; and
  • add any conditions to the license.

Applicant Intends to Contract with DFPS or Single Source Continuum Contractor

If the applicant demonstrates an intent to  contract with DFPS or a Single Source Continuum Contractor (SSCC), RCCR staff determine if:

  • the associated operation has a history of heightened monitoring within the previous five years; and
  • the applicant operation should be placed on heightened monitoring.

References

Assessing the Five-Year Compliance History of the Applicant and Associated Operation (RCCR Only), 3323.3
Additional Requirements if the Applicant or an Associated Operation Has a History of Heightened Monitoring (RCCR Only), 3323.4
Applying Additional Types of Conditions or Restrictions, 3424
Full License for an Operation that Changes Ownership, 3532

3323.2 Documenting Associated Operation History in CLASS (RCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

If the applicant meets the criteria in 3323 Identifying, Associating, and Documenting Information from an Associated Operation  (RCCR Only), RCCR staff document the operation history on the Operation History page in CLASS, except when the associated operation:

  • applied for a license but withdrew the application  before CCR issued an initial license; or
  • had a license for a different operation type, such as an applicant applying for a GRO license and the prior operation was a CPA.

If the applicant is associated with an open operation through a shared governing body or controlling person, RCCR staff document the associated open operation numbers on the Operation History page in CLASS.

Operation History Page in CLASS

RCCR staff document all associated operation numbers on the Operation History Page in CLASS by:

  • selecting +Add New;
  • searching for the associated operation number; and
  • selecting the hyperlink for the operation name.

The associated operation will display on the Operation History List.

3323.3 Assessing the Five-Year Compliance History of the Applicant and Associated Operation (RCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

Before conducting the application inspection for an applicant that meets the criteria in 3323 Identifying, Associating, and Documenting Information from an Associated Operation (RCCR Only), the inspector takes the following steps to assess the compliance history of the applicant and each associated operation documented on the Operation History section in CLASS:

  1. Evaluate the five-year compliance history, including:
    • the number of abuse or neglect intakes;
    • confirmed abuse or neglect findings;
    • citations for corporal punishment;
    • any other trends and patterns in deficiencies; and
    • any other trends and patterns in enforcement actions that HHSC recommended or imposed on the operation.
  2. Assess how the five-year compliance history may impact the applicant’s ability to operate a residential child care operation and the risk in CCR issuing a license to the applicant.
  3. Document as a CLASS Chronology:
    • the five-year compliance history of each operation reviewed; and
    • how the inspector considered the information.  
  4. If the risk identified in the five-year compliance history is high, consult with regional management and decide to issue or deny the license.

During the application inspection, the inspector discussed with the applicant:

  • any risks identified because of the five-year compliance history review; and
  • steps the permit holder can take to mitigate risk to children.  

The inspector documents this discussion as a CLASS Chronology.

3323.4 Additional Requirements if the Applicant or an Associated Operation Has a History of Heightened Monitoring (RCCR Only)

Revision 24-2; Effective May 22, 2024

If the applicant or an associated operation has a history of heightened monitoring, RCCR staff consult with the CCR director of heightened monitoring to discuss adding a condition to the initial license that the new operation will be placed on heightened monitoring.

If the applicant or an associated operation has a history of heightened monitoring and has hired or intends to hire a substantial number of employees from a previous operation, RCCR staff and the RCCR director of regional Operations discuss adding conditions related to requirements for employee screening, employee training, or both to the initial license.

Procedure

If the applicant meets the criteria in 3323 Identifying, Documenting and Assessing Information from an Associated Operation (RCCR Only), RCCR staff determine if the applicant or any of the associated operations documented on the Operation History page in CLASS:

  • is currently on heightened monitoring;
  • met the criteria for heightened monitoring and did not successfully complete heightened monitoring; or
  • met the criteria for heightened monitoring again after successfully completing it in the preceding five years.  

When the Applicant or Associated Operation Meets the Criteria Above

If CCR decides to issue an initial license, RCCR staff:

  • meet with the CCR director of heightened monitoring to confirm the new operation meets the criteria for heightened monitoring;
  • add a condition to the initial license that the new operation will be placed on heightened monitoring; and
  • notify the CCR director of heightened monitoring that RCCR issued the initial license.

If the applicant has employed or intends to employ a substantial number of employees from the previous operation, RCCR staff and the RCCR director of regional operations meet to discuss adding the following conditions to the initial license. The operation must meet these conditions before the employees have contact with children :

  • employee screening requirements;
  • employee training requirements; or
  • both.

RCCR staff document the decision as a CLASS Chronology.  

When assessing if the operation has employed or intends to employ a substantial number of employees from the previous operation, RCCR staff review the overall number and the roles of the employees from the previous operation and at the applicant operation. Staff consider if:

  • the applicant operation has employed or intends to employ at least 50% of the people it employed at the previous operation, which would be a substantial number regardless of the employees’ roles.  
  • the applicant intends to hire at least 50% of the caregivers and supervisors that were employed at the previous operation, which would be a substantial number of employees even if the applicant does not hire or intend to hire 50% of the overall people it  employed at the previous operation.
  • at least 50% of the employees at the applicant operation are or will be from the previous operation, which would be a substantial number regardless of the employee’s roles or if the applicant operation has employed or intends to employ at least 50% of the people it employed at the previous operation.
  • at least 50% of the caregivers and supervisors at the applicant operation are or will be from the previous operation, which will be a substantial number regardless of if the applicant operation has employed or intends to employ at least 50% of the people it employed at the previous operation.

If the number of staff from the previous operation do not meet the percentage thresholds described in the preceding bullets, staff may meet with the RCCR director of regional operations to consider adding a condition requiring additional screening or training because of identifiable issues.

If the decision is to add a condition about employee screening, training requirements, or both to the initial license, RCCR staff add the condition before issuing the permit.

Reference

Conditions for Applicants with a History of Heightened Monitoring (RCCR Only), 3424.5

3324 Providing the Survey Link for “No Trespassing” Signs Information During Application Inspection

Revision 23-2; Effective June 26, 2023

During the application inspection at an operation that has applied for a GRO permit offering residential treatment services, CCR staff provide the applicant the link to the survey to request “No Trespassing” signs. For a description of what the survey captures, see 3150 “No Trespassing” Signs for Certain General Residential Operations.

If the applicant will be licensed to provide human trafficking services, the applicant is not required to list the name and address of the operation on the signs.

Staff document sending the survey link to the operation as technical assistance.

See:

4154.2 Documenting Technical Assistance

26 TAC Section 748.3319 

Texas Human Resources Code Section 42.068

3330 Additional Activities to Complete for DCCR Operations 

Revision 24-2; Effective May 22, 2024

3331 Evaluating Director and Primary Caregiver Qualifications for Licensed Child Day Care Operations

September 28, 2018

When a director or primary caregiver is designated on Form 2911 Child Care Licensing Governing Body/Director Designation, or through the provider's online Child Care Licensing Account, the inspector evaluates the director’s qualifications to determine whether he or she meets the minimum standards.

The inspector ensures the director or primary caregiver does not serve such a role at another operation, including being:

  • the primary caregiver of a licensed child care home or a registered home;
  • the operator of a listed home; or
  • a director of another operation, unless the person is a designated a program director for before- or after-school programs or school-age programs under the same governing body.

26 TAC §§744.1001746.1001747.1101

3331.1 How to Evaluate Qualifications

November 2017

Procedure

To evaluate qualifications, the inspector obtains a completed Form 2982 Personal History Statement specifying the education and experience of the operation’s designated director and one of the following:

  1. An original and current CLASS Form 2860 Director’s Certificate; or
  2. An original college transcript or original training certificates which verify the educational requirements and the dates, names, addresses, and telephone numbers that support the required experience.

      For persons educated outside of the United States, the inspector obtains information from the operation to help the inspector interpret and evaluate the director’s educational qualifications.

26 TAC §§744.1015744.1017746.1015746.1017747.1107

For a program director who oversees more than one school-age program or before- or after-school program, the inspector evaluates:

  • whether the director meets minimum standard qualifications for a director according to the procedures outlined in this item; and
  • whether the compliance history of each operation that a program director oversees reflects that the operations are in good standing with Licensing.

Evaluating Director Qualifications for Licensed Child Care Homes Licensed Before September 1, 2003

When a person owns more than one licensed child care home, that person may only be the primary caregiver or director for one of them.

40 TAC §745.373

26 TAC §747.201

3331.2 Issuing a Director’s Certificate

June 2016

The inspector issues CLASS Form 2860 Director’s Certificate after determining that qualifications are met and a background check is complete. A certificate is only printed and mailed to a person who has never had a certificate or whose previous certificate is lost or expired. A certificate issued to a qualified director is recognized statewide until it expires and must be kept in the personnel file at the operation.

26 TAC §§744.1057746.1059

3331.3 When a Director Does Not Meet Qualifications

September 2015

If the director does not meet qualifications required by minimum standards, the inspector notifies the applicant or applicant’s governing body designee, the permit holder, or the governing body designee.

If a waiver or variance is requested, the inspector processes it according to 5100 Waivers and Variances and Appendix 5000-1A.1: Director Qualifications.

3332 Identifying, Associating, and Documenting Information from an Associated Operation (DCCR Only)

Revision 24-2; Effective May 22, 2024

Identifying the Applicant

When reviewing an application, DCCR staff assess if the applicant has a current or previous permit by deciding if the applicant:

  • is applying for an additional or different type of permit in a different location;
  • is reapplying for a new permit after voluntarily closing; or
  • had a change in ownership and is associated with a closed or existing operation as outlined in 3332.1 When to Associate Operations (DCCR Only).

Assessing the Associated Operation History

If the applicant is associated with an existing or closed operation as described above, DCCR staff assess the previous five-year compliance history to decide:

  • to issue a permit; and
  • if any conditions need to be added to the permit.

3332.1 When to Associate Operations (DCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

DCCR staff associate a new application with an existing or closed operation if:

  • the operations have the same governing body;
  • the operations have controlling persons in common in the following roles:
    • governing body;
    • director if also the owner;
    • chief executive officer;
    • owner;
    • primary caregiver in child care home;
    • adult living in child care home if the person was designated as a controlling person in the previous operation and CCR took adverse action against the previous operation; or
    • spouse; or
  • the new owner is related by a third degree of connection or second degree of marriage per 26 TAC Section 745.21to a controlling person of the existing or closed operation, as noted on Form 2760 Controlling Person - Child Care Regulation. The new owner includes:
    • a sole proprietor;
    • any partner of a partnership; or
    • any member of the governing body of a corporation.

When Not to Associate Operations

DCCR staff do not associate a new application with an existing or closed operation if the applicant:

  • previously applied for a permit but withdrew the application and does not have a history of operating without a permit; or
  • is associated with an operation that closed 10 years or longer from the date the operation submitted the new application.

3332.2 Documenting Associated Operation History in CLASS (DCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

If the applicant meets the criteria in 3332.1 When to Associate Operations (DCCR Only), DCCR staff document the operation history on the Operation History page in CLASS for the applicant operation and the open operation.

Operation History Page in CLASS

DCCR staff document all associated operation numbers on the Operation History page in CLASS by:

  • selecting +Add New;
  • searching for the associated operation number; and
  • Selecting the hyperlink for the operation name.

The associated operation will display on the Operation History List.

3340 Operations that are Not Contiguous

Revision 24-2; Effective May 22, 2024

CCR may issue a single permit to the governing body of a licensed day care center, before or after-school program, school-age program, or general residential operation with multiple buildings that are not contiguous if:

  • the buildings are near each other and demonstrate a single operation; 
  • the permit lists the names and addresses of the appropriate operations; and
  • they each operate the same type of program regardless of when a license was issued. 

3341 Child Day Care Operations that are Not Contiguous

Revision 24-2; Effective May 22, 2024

CCR may issue a single permit to a child care center, before or after-school program, or school-age program with buildings that are not contiguous if: 

  • the buildings are located: 
    • next to each other, on the same property; 
    • across the street from each other; or
    • on the same city block; and
  • the operation demonstrates it operates as a single operation as evidenced by: 
    • patterns of staffing;  
    • finance; and
    • administrative supervision.

Reference 

26 TAC Section 745.201 and 745.385 

3342 Residential Care Operations that are Not Contiguous

Revision 24-2; Effective May 22, 2024

CCR may issue a single permit to a general residential operation with buildings that are not contiguous if: 

  • the buildings are located: 
    • next to each other;  
    • across the street from each other; or
    • on the same city block; and
  • the operation must demonstrate the program provided in the noncontiguous building operates under the same:
    • staffing, including hiring practices; 
    • financial systems; and
    • administrative supervision, including policies and procedures.

The operation can continue to operate in noncontiguous buildings that were approved before Sept.1, 2005, if the license is still valid and the actual physical distance between the buildings makes it possible to provide appropriate management and supervision at each building.

3350 Residential Child Care Operations that Also Provide Child Day Care

3351 Foster Homes that Also Provide Child Day Care

Revision 24-2; Effective May 22, 2024

Foster homes that provide child day care must be verified by a child-placing agency (CPA) and have a child day care permit from CCR. 

DCCR staff regulate foster homes that provide child day care in the same way staff regulate other child day care operations.

Approval to Provide Both Foster Care and Day Care

The foster home must meet the following conditions before the home may provide both foster care and day care:

  1. The director of field for residential child care and the director of field for day care approve the home to provide both foster care and day care.
  2. The home cares for no more than six children, including: 
    • any biological and adopted children of the caregiver’s who live in the foster home;  
    • any children or adults receiving foster or respite child care; and 
    • children for whom the family provides child day care.
  3. The home meets the requirements for a child day care permit, including payment of all fees.
  4. The home meets the requirements in 26 TAC Section 749.2493 and 26 TAC Section 745.375.

Reference

26 TAC Section 749.2551 

3352 General Residential Operations that Also Provide Child Day Care

Revision 24-2; Effective May 22, 2024

All general residential operations (GROs) that provide child day care must have a child day care permit. 

DCCR staff regulate child day care programs at GROs in the same way  staff regulate other child day care operations.

A GRO must meet the following conditions before providing both residential child care and child day care:

a. The plan to provide day care is approved by the director of field for Residential Child Care and the director of field for Day Care.
b. Is not licensed to provide treatment services for emotional disorders.
c. Provides day care services separately from residential child care services.
d. Hires separate employees except for janitorial and food services staff for each program.
e. Meets the requirements for a child day care permit. 
f.  Meets the requirements for a GRO.

References

Definitions of Terms for general residential operation

26 TAC Sections 745.33 and 745.37(3)  
 

3400, Issuance of a Permit

3410 When to Issue a Permit

October 2019

The inspector must determine whether to issue a permit within:

  • 30 days after accepting an application for a compliance certificate; or
  • two months (see the definition of date-to-date in Definitions of Terms) after accepting an application for a license, certificate, registration, or listing.

The inspector either:

  • mails the license, certificate, compliance certificate, registration, or listing permit; or
  • mails a letter notifying the applicant of the intent to deny the permit.

See:

3310 Evaluating Before Issuing a Permit 
Texas Human Resources Code Section 42.04642.15342.203 
26 TAC  Section 745.321

3411 Good Cause to Exceed the Time Frame for Issuing a Permit

Revision 22-4; Effective Sept. 20, 2022

CCR may have good cause to exceed its time frame for issuing a permit when:

  • there are at least 15% more applications being processed than in the same quarter of the previous year;
  • the delay is caused by another public or private entity that must be relied on to process all or part of the applications received;
  • the operation is the subject of a pending investigation; or
  • other conditions exist that give good cause for exceeding the time frames.

26 TAC Section 745.327

3412 Criteria for Issuing an Initial License

Revision 23-2; Effective June 26, 2023

Procedure

The inspector issues an initial license to an applicant when: 

  • the operation is in compliance with applicable statutes, administrative rules and minimum standards; 
  • the operation has paid the fee for the initial license, unless the operation is exempt from paying permit fees (see 5211 Exemptions from Fees); and 
  • one of the following situations exists:
    • The operation is not currently providing care but meets the appropriate minimum standards except those with which compliance cannot be determined in the absence of children.
    • The operation has changed ownership, which has resulted in changes to policy and procedure or direct care staff (see 3833 Change of Ownership).
    • The operation is providing care and is not currently licensed.
    • The operation has a license and applies for an additional permit to offer a new type of child care. 

See:

5240 Verification of Fee Payments

26 TAC Section 745.345; 745.503  

Texas Human Resources Code Section 42.051 

3413 Criteria for Issuing a Compliance Certificate, Registration, or Listing

October 2019

Procedure

The inspector issues a compliance certificate, registration, or listing when the operation has met statutes, administrative rules and all appropriate minimum standards, as applicable.

3420 How to Prepare the Permit

 

3421 How to Prepare an Initial License

August 2021

The inspector updates the Operating Status on the Main Operation page in CLASS by selecting Yes and updating the Effective Date.

The inspector issues the initial license with restrictions.

The effective date of the initial license is the date the inspector sends or gives the license to the license holder. The initial license is valid for six months.

Texas Human Resources Code Section 42.048(b)

3421.1 Child Day Care

October 2019

Procedure

Form 2830, Child Day Care License

The inspector prepares CLASS Form 2830 Child Day Care License, and issues the initial license with the following information documented:

  • capacity:
    • for licensed child care centers, the capacity for infants through age 17 months and capacity for children age 18 months and older;
    • for licensed child care homes, the total capacity;
  • exact hours, days and months of operation;
  • children’s ages; and
  • any conditions.

Statute provides for the issuance of a license to care for children under age 14. If an operation also provides care for children ages 14 through 17, the inspector records this information in CLASS.

Form 2803, Child Care Issuance Letter

The inspector prepares CLASS Form 2803 Child Care Issuance Letter and mails it with the license to the permit holder.

Texas Human Resources Code Section 42.048(b)

26 TAC Section 745.345

3421.2 Residential Child Care

September 2015

Procedure

Form 2907, Residential Child Care Permit

The inspector prepares the permit using CLASS Form 2907 Residential Child Care Permit, and issues the permit with the following restrictions:

  • capacity (except for a CPA);
  • gender and ages of children; and
  • types of services offered by the operation, as shown in 3421.21 Types of Services Included as Restrictions.

The child-placing agency’s license must include a statement on the first page of the license that indicates the number of branch offices. The name and address of each branch office is noted on page two of the permit.

Texas Human Resources Code §42.048

26 TAC Section 748.63749.63749.303749.1101750.61

Form 2803 Child Care Issuance Letter

The inspector mails the permit to the permit holder with CLASS Form 2803 Child Care Issuance Letter, showing the specific conditions noted on Form 2960 Application for a License to Operate a Residential Child Care Facility, then records applicable information in CLASS.

3421.21 Types of Services Included as Restrictions

September 2015

Procedure

The inspector may document on the license that the operation may care for children up to 18 years of age.

26 TAC Section 748.1931749.1103749.1105749.2651750.501

The inspector must select the applicable care type and services from the following sections on the Residential Care Main Operation page in CLASS:

  • Care Type
  • Child Care Services Provided (not optional)
  • Programmatic Services Provided
  • Treatment Services Provided
  • Child Placing Services (CPA only)

Only general residential operations (GROs) that offer emergency care services may provide respite child care services.

26 TAC Section 748.75748.4261(b)

3422 How to Prepare a Compliance Certificate

August 2021

The inspector updates the Operating Status on the Main Operation page in CLASS by selecting Yes and updating the Effective Date.

The inspector issues the compliance certificate with restrictions. The effective date of the permit is the date the inspector sends or gives it to the permit holder.

Texas Human Resources Code §§42.15342.203

26 TAC §745.321

Procedure

Form 2845 SEBCC or Form 2846 TSP Certificate

The inspector prepares the compliance certificate using CLASS Form 2845 SEBCC Certificate or CLASS Form 2846 TSP Certificate, and issues the compliance certificate with the following information documented:

  • the total capacity (no more than 12 for small-employer based operations and at least 7 for temporary shelter child care operations);
  • all age categories of children (infants, toddlers, pre-kindergarten, and school age); and
  • any conditions.

Form 2843, SEBCC Issuance Letter, or Form 2843a, TSP Issuance Letter

The inspector prepares Form 2843 SEBCC Issuance or Form 2843a TSP Issuance Letter, located on the CCR SharePoint site, and mails with the compliance certificate to the permit holder.

Texas Human Resources Code §§42.15142.201

3423 How to Prepare a Registration and Listing

August 2021

CCR staff update the Operating Status on the Main Operation page in CLASS by selecting Yes and updating the Effective Date.

The effective date of the registration or listing permit is the date the CCR staff send or give the permit to the permit holder.

CCR staff issue a registration or listing in both English and Spanish if the most recent federal census shows that more than one-half of the population is of Hispanic origin or Spanish-speaking in:

  • a municipality; or
  • a commissioner’s precinct in a county.

See the U.S. Census website for more information.

Texas Human Resources Code §42.052

Procedure

CCR staff take the following steps based on the type of operation:

Registered HomeListed Home Caring for Unrelated ChildrenListed Home Caring for Related Children Only
prepares the registration permit using CLASS Form 2834 Registered Child-Care Home Permit.prepares CLASS Form 2871 LH Issuance Letter.opens CLASS form HHSC Letterhead 2834b on the Issuance page, copies content from Form 2876 Notification of LFH Relative Care Issuance found on the CCR SharePoint site, and pastes content into CLASS form HHSC Letterhead 2834b.
mails the registration permit with CLASS Form 2834a Child Care Home Issuance Letter.

mails the issuance letter to the listed family home with the following documents from the TA Library:

  1. Checking the Sex Offender Registry; and
  2. Child Safety Guide.

mails the issuance letter to the listed family home with the following documents from the TA Library:

  1. Checking the Sex Offender Registry; and
  2. Child Safety Guide.

If the listed family home will care for related children only, CCR staff:

  • enter “0” in the Total Licensed Capacity field in the Restrictions section on the Issuance page in CLASS; and
  • document the following statement in the Comments text box on the Issuance page: “Listed to care for ONLY related children. Reference Human Resources Code 42.002(16), “Children who are related to the caretaker.”

26 TAC §745.341

3424 Applying Additional Types of Conditions or Restrictions

Revision 24-2; Effective May 22, 2024

After getting supervisory approval, the inspector may set more conditions or restrictions if circumstances warrant based on:

  • risk to children, including an unsustained Central Registry finding;
  • failure to comply with minimum standards; and 
  • for residential child care operations, the assessment of the prior permits per 3323 Identifying, Associating, and Documenting Information from an Associated Operation (RCCR Only).

The permit may be denied or revoked if conditions or restrictions are not met.

3424.1 Results of Background Checks

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector may impose conditions because of information obtained through a Central Registry or criminal history check. However, conditions are not acceptable measures to limit the presence of a person who lives in an operation if he or she is:

  • a permit holder; or
  • a person who must not be present in an operation while children are in care.

References:

10241 Notifying the Designated Perpetrator of the Central Registry Background Results and Offering Due Process 
10310 Acting on the Results of a Criminal History Check

3424.2 Deficiencies that Require Limits on Certain Activities

September 2015

Procedure

The inspector may impose conditions to limit certain activities such as providing infant care or providing transportation because of previous deficiency with applicable minimum standards.

Examples of Special Conditions

Condition: Children under six years old are restricted to the first floor.

Condition: The permit holder’s spouse must not transport children in care.

The inspector adds a more complete explanation to the issuance letter if needed.

3424.3 Fire and Sanitation Reports and Other Local Ordinances

September 2015

Procedure

The inspector is not responsible for enforcing local rules and ordinances unless those rules or ordinances relate to:

  • the operation receiving approved fire and health inspections; or
  • other requirements in the minimum standards relating to health and safety.

The inspector takes into consideration the following when setting the capacity on a permit:

  • an inspection report (fire or sanitation) prohibits the use of certain levels of the operation for all or for certain age groups or prohibits the use of certain space; or
  • a Certificate of Occupancy related to a fire, health, or building restriction sets a capacity lower than licensing standards would normally allow.

See 3313.6 Confirming Fire and Health Inspections (Except for Listed Homes)

3424.4 Special Services for Residential Operations

September 28, 2018

Procedure

If a type of service offered by an operation is not listed as a restriction on the permit and is a service included in the applicable minimum standards, the inspector adds it as a condition to the permit.

Special services include:

  • (Interstate Compact on the Placement of Children (ICPC)
  • Young Adult Care
  • International Adoptions
  • Physically Challenged
  • Human Trafficking
  • Office of Refugee Resettlement

If more than one type of programmatic service is offered in addition to therapeutic camp services at a general residential operation (GRO), add it as a condition to the permit to reflect the appropriate age range for that program.

A child-placing agency or independent foster home that requests to provide emergency services must have that service included as a condition on the permit.

40 TAC §745.4201

26 TAC §748.4403

3424.41 Emergency Services for Child-Placing Agencies and Independent Homes

September 2015

Procedure

A child-placing agency or independent foster home that requests to provide emergency services must have that service included as a condition on the permit.

The inspector also follows these procedures for a child-placing agency (CPA) or independent foster home that wants to accept a child for placement from law enforcement:

  • Before accepting a child from a law enforcement officer, the operation must ask the inspector for authorization by submitting Form 2961 Request to Accept Children from Law Enforcement.
  • After receiving the request, the inspector must:
    • review the operation’s compliance history to ensure the operation is not on corrective action or under any adverse action;
    • review the operation’s emergency admissions policy to determine if it is equipped to accept this type of emergency admission; and
    • add that condition to the permit if the inspector determines that the operation should be authorized to accept this type of emergency admission.

40 TAC §§745.4201-745.4205

26 TAC §§749.1181-749.1189750.501(3)

3424.5 Conditions for Applicants with a History of Heightened Monitoring (RCCR Only)

Revision 24-2; Effective May 22, 2024

Procedure

If the applicant or an associated prior operation number has a history of heightened monitoring, CCR staff follow the procedures in 3323.4 Additional Requirements if the Applicant or an Associated Operation Has a History of Heightened Monitoring (RCCR Only) to determine which condition(s) must be added to the initial license. CCR staff add any required condition(s) to the initial license before issuance.

3424.6 Temporary Conditions

May 2021

A temporary condition may be set for deficiencies with minimum standard rules that do not pose a risk to children if compliance will be achieved within three months.

3425 Amend the Permit When Necessary

September 2015

Procedure

Adding conditions may require amending a current permit. See 3810 Circumstances That May Require Amending the Permit.

3430 Recommending Denial of a Permit

September 2015

Procedure

The inspector does not issue a permit if the operation:

  • does not comply with administrative rules, minimum standards, or the law; or
  • the applicant knowingly and willfully provides false information during the application process.

Texas Human Resources Code §§42.05242.07242.16342.210

40 TAC §745.8605(1)

If recommending denial, the inspector submits the documentation to the supervisor.

If the supervisor and district director or manager concurs with the recommendation, the inspector consults with a Licensing attorney before denying the permit.

See 7600 Adverse Actions.

3500, Steps to Take After Issuing the Initial License

3510 Evaluating During the Initial License Period

July 2018

The initial license period allows an operation to demonstrate understanding of minimum standards and ensure a safe environment for children with minimal monitoring by Licensing.

The inspector provides technical assistance during this time to help the provider develop the knowledge needed to maintain compliance.

If an operation’s deficiencies result in the inspector making a determination that the operation poses a risk to the health and safety of children, Licensing denies the full license.

Texas Human Resources Code §§42.04742.04842.072

TAC §§745.343745.347745.8605745.8607

See also:

3511 Conducting Inspections During the Initial License Period
3520 Renewing an Initial License
3531 Time Frame for Issuing a Full License
4154 Technical Assistance
7600 Adverse Actions

3511 Conducting Inspections During the Initial License Period

October 2019

In order to determine whether an operation demonstrates the ability to comply with law, administrative rules, and minimum standards on a continuing basis during the initial license period, the inspector must inspect the operation while children are in care.

3511.1 Frequency of Inspections

October 2019

Within six months of issuing the initial license, the inspector conducts at least three unannounced initial inspections while unrelated children are in care to determine whether the applicant operation is meeting applicable law, administrative rules, and minimum standards on a continuing basis. If there are no unrelated children in care, the inspector may announce the inspections.

If the initial license is renewed for another six months, the inspector conducts at least three more initial inspections as described above.

The inspector obtains supervisory approval before conducting fewer than three inspections in each six-month period.

26 TAC §745.351

Procedure

The inspector inspects the operation:

  • within two months after issuance of the initial license;
  • at reasonable intervals between the inspections; and
  • at least 30 days before expiration of the license.

The inspector evaluates compliance with all applicable law, administrative rules, and minimum standards during the initial period, and does the following:

  • plans and conducts the inspections according to the information in 4140 Preparing for Inspections and 4150 Conducting Inspections;
  • discusses the results of the inspection at the conclusion of each inspection as required by 4170 Conducting the Exit Conference; and
  • sends a copy of the CLASS Form 2936 Child Care Facility Inspection to the permit holder and those as required by Appendix 3000-2: Notifying the Operation.

If the inspector obtains supervisory approval to conduct fewer than three inspections in each six-month period, the inspector documents supervisory approval in CLASS Chronology.

Inspecting Child-Placing Agency (CPA) Branch Offices During the Initial License Period

Procedure

If a CPA opens a branch office during the initial license period, the inspector conducts a monitoring inspection at the branch office and evaluates all minimum standards within two months after the branch office opens.

Additional monitoring inspections are conducted at the same interval as those conducted for the CPA’s main office.

3520 Renewing an Initial License

Revision 24-1; Effective Feb. 20, 2024

An initial license is valid for six months from the date it is issued and may be renewed for one additional six-month period with supervisory approval. An operation may only be in initial license status for a maximum of one year.

Procedure

The inspector renews the first initial license when an operation:

  • does not provide care for unrelated children during the initial period;  
  • begins operating so late in this period that CCR cannot determine if the operation can ensure continued compliance; or
  • has not established continued compliance with minimum standards and needs more time to establish a pattern of compliance.

References

3521 Consultation Before Renewing an Initial License

26 TAC Sections 745.347; 745.349; 745.351 

Texas Human Resources Code Section 42.051(b)

3521 Consultation Before Renewing an Initial License

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector consults with the supervisor and program administrator about the inspector’s recommendation to renew the initial license within the following time frames:

  • after conducting the final inspection during the first initial license period; and
  • at least 25 days before the initial permit expires.

Consultation About Pending Items Before Issuance

During the consultation, the inspector, supervisor, and program administrator discuss whether:

  • the operation has pending investigations; 
  • the operation has unresolved deficiencies; or
  • a person at the operation has pending criminal charges.

The inspector documents the: 

  • date of the consultation; 
  • decision made; and 
  • reasons for the decision as a CLASS Chronology.

Program Administrator Recommends Denial

If the program administrator recommends denial of the full license at this time, the program administrator begins the Child Care Enforcement (CCE) referral process for the denial. 

3522 How to Renew an Initial License

October 2019

Procedure

The inspector discusses the recommended decision to renew the initial license with the permit holder. The inspector informs the operation that a new application must be submitted and a fee for the renewed initial license must be paid, unless the operation is state operated.

The governing body may submit a new application or may re-sign and re-date the original. If the permit holder agrees, the inspector proceeds with acceptance of the new application and renewal of the initial license.

The renewed (second) initial license may be entered into the CLASS any time up to the first day after the first initial license expires. For example, if the initial license expires August 31, the renewed initial license must be entered in CLASS no later than September 1.

The inspector works with the operation to identify ways to achieve compliance during the renewed initial period, as appropriate. If the permit holder does not work with the inspector to achieve compliance, the inspector informs the permit holder that a denial of the full license will result and the operation must close.

26 TAC §§745.347745.349745.353

See 5211 Exemptions From Fees

3530 Full License

 

3531 Time Frame for Issuing a Full License

Revision 24-1; Effective Feb. 20, 2024

The inspector signs and mails the full license and issuance letter within six months after the date the initial license is issued or renewed.

The full license must be issued by the first day after the initial license or renewed initial license expires. For example, if the initial license expires Aug. 31, the full license must be entered in CLASS by Sept. 1.

The effective or issuance date of the license is the date that the inspector sends or gives the license to the operation. The full license supersedes the initial license.

Exceptions for Residential Child Care Operations

The time frame for issuing a full license to general residential operations and child-placing agencies may be exceeded if the initial license contains a condition described in 3424.5 Conditions for Applicants with a History of Heightened Monitoring (RCCR Only).

26 TAC Sections 745.351 and 745.497

3531.1 Criteria for Issuing a Full License When an Operation Has an Initial License

Revision 24-1; Effective Feb. 20, 2024

The inspector issues the full license for an operation with an initial license when:

  • the initial license has been in effect for at least three months;
  • the operation has satisfied initial licensing requirements by maintaining compliance on a continuing basis;
  • three inspections have been conducted while children are in care, unless the supervisor approved making fewer inspections;
  • a supervisor has:
    • reviewed the operation’s compliance history in CLASS; and
    • approved the issuance of the full license; and
  • the inspector has verified the operation paid the full license fee unless the operation is exempt from paying the fee.

The operation must pay for the full license before the current initial license expires.

Procedure

The inspector requests supervisory approval in CLASS by checking the Request Approval checkbox in the Initial Period Results section or the Renewed Initial Permit Results section, whichever is applicable, on the Issuance page after verifying that:

  • the initial license has been in effect for three months; 
  • the operation has maintained compliance on a continuing basis; and 
  • CCR has conducted three inspections while children were in care unless the supervisor approved making fewer inspections.

If the Supervisor Approves the Full Issuance

If the supervisor approves full issuance in CLASS, the inspector generates and sends the Full Permit Fee Invoice to the operation as described in 5234 Full Permit Fee Invoice for a Licensed Operation. 

After verifying that the operation paid the full permit fee before the initial license expiration date, the inspector:

  1. completes the following fields in the Initial Period Results section or the Renewed Initial Permit Results section:
    1. selects Issue-Full in the Decision drop-down box;
    2. enters the date the full license is being issued in the Decision Date field; and
    3. documents the reason for full issuance in the Reason narrative box; and
  2. completes the following fields in the Full Issuance section:
    1. selects Full Permit or Certified if state-operated from the Type of Issuance field; and
    2. enters the date the full license is issued in the Date of Issuance field; and
  3. mails or delivers a copy of the permit to the operation.

Reference Job Aid – Approving a Full License on the CCR SharePoint site for more details on approving issuance of a full license in CLASS.

If the Supervisor Does Not Approve Full Issuance

If the supervisor does not approve full issuance in CLASS, the inspector and supervisor discuss the next steps.

26 TAC Section 745.351

References: 

3531.2  Required Approvals Before Issuing a Full License When an Operation Has an Initial License 
3540 Decision Not to Recommend Issuance
3550 Denying a Full License
5234 Full Permit Fee Invoice for a Licensed Operation

3531.2 Required Approvals Before Issuing a Full License When an Operation has a Renewed Initial License

Revision 24-1; Effective Feb. 20, 2024

Procedure

Before issuing a full permit to an operation that has renewed initial license, the inspector consults with the supervisor, program administrator and regional director about the recommendation to issue the full license within the following time frames:

  • after conducting the third initial inspection; and
  • at least 25 days before the renewed initial permit expires.

The inspector documents the consultation as a CLASS Chronology and includes the:

  • date of the consultations;
  • decision made; and
  • reasons for the decision.

Consultation About Pending Items Before Issuance

During the consultation, the inspector, supervisor, program administrator, and regional director discuss whether:

  • the operation has pending investigations; 
  • the operation has unresolved deficiencies; or
  • a person at the operation has pending criminal charges.

If the operation receives a new investigation, has an unresolved deficiency, or pending criminal charge after the consultation takes place, but before the full license is issued, the inspector discusses the situation with those who participated in the consultation as soon as possible. The inspector documents in the next consultation as a CLASS Chronology and includes:

  • the date of the consultations; 
  • the decision made; and 
  • the reasons for the decision.

Regional Director Recommends Denial of the Full License

If the regional director recommends denial of the full license, the regional director begins the CCE referral process for the denial. 

3532 Full License for an Operation that Changes Ownership

Revision 23-2; Effective June 26, 2023

Procedure

The inspector may issue a full license instead of an initial license to a licensed or certified operation that changes ownership if the operation does not change:

  • policy and procedure, including the type of child care services offered; and
  • the staff who have direct contact with the children.

Exception for an Operation Not in Compliance

The inspector may issue an initial license instead of a full license to a previously licensed operation that:

  • changed ownership; and
  • has not demonstrated compliance with applicable statutes, administrative rules and minimum standards.

See:

3313.4 Evaluating Compliance

3833 Change of Ownership

26 TAC Sections 745.321; 745.345

Texas Human Resources Code Sections 42.048; 42.051 

3540 Decision Not to Recommend Issuance

July 2018

The inspector obtains supervisory approval if recommending that the initial license be allowed to expire without issuing a full license. See 3230 Withdrawal of an Application for a Permit.

Texas Human Resources Code §42.051(b)

40 TAC §745.347

3550 Denying a Full License

October 2019

Procedure

Documentation regarding the decision to deny must be documented and approved by Legal before the expiration of the initial (or renewed initial) license.

If Legal approves the denial, the inspector follows procedures outlined in 7630 Taking Adverse Action and 7633.3 Updating the Operation’s Status in CLASS.

See also 7620 Criteria for Taking Adverse Action

3700, Denial of an Application for a Permit and Reapplying After Denial or Revocation

3710 Denial Because of Failure to Comply With Minimum Standard Rules, Administrative Rules, or Law

April 2010

An application for a permit may be denied because the operation has failed to comply with minimum standard rules, administrative rules, or the law.

Procedure

The inspector denies the application according to procedure in 7600 Adverse Actions.

Texas Human Resources Code §42.072

3711 Denial Because of Background Information

September 2015

Central Registry, criminal history, or sustained controlling person background check results that involve an applicant, controlling person, or a non-client residing at the operation may require staff to deny a permit.

See:

3231.1  Basis to Deny a Permit for an Unsustained Central Registry Finding
3312  Evaluating Background Checks
10230  Acting on a Central Registry Background Check Match
10260 Handling Sustained Central Registry Findings
10750  When to Deny or Revoke a Permit Based on Criminal History or Child Abuse or Neglect History

3712 Deficiency for Which Correction Will Exceed Application Time Frame

April 2010

Deficiency may be found during the on-site inspection that cannot be corrected during the application time period. This is not applicable to listed home permits.

3713 Compliance History Indicates Inability to Meet Minimum Standard Rules

April 2010

The applicant may have a history of deficiencies under previous permits that result in a determination that the applicant will not be able to provide care for children that complies with minimum standard rules.

3714 Failure to Meet the Requirements of Public Notice or Hearing Laws

April 2010

For residential licensing, the failure occurs when an applicant does not meet the requirements of public notice or hearing laws, including submitting the results of the public hearing.

Texas Human Resources Code §§42.07242.0461

3720 Application for a License, Certificate, Registration, or Listing is Received and a Past Denial or Revocation Exists

September 28, 2018

A person whose license, certificate, registration, or listing is denied or revoked is not eligible to apply for one of those permits before the fifth anniversary of the date on which the denial or revocation by HHSC or court order took effect, whichever is later.

Texas Human Resources Code §42.072

3721 Criteria for Acceptance of an Application

June 2016

Procedure

The inspector accepts a complete application from an operation that is not providing care if:

  • at least five years have passed since a previous denial or revocation took effect; and
  • the applicant is qualified to apply. See 3223 Evaluating an Application for Completeness.

3722 Requirement That the Operation Be Closed Pending Issuance

April 2010

Procedure

The inspector does not:

  • accept an application from an operation that is providing care; and
  • issue the permit if the operation begins providing care before issuance.

3723 Reimbursement for Publishing the Notice of Revocation

September 28, 2018

Procedure

If an application is submitted more than five years after the revocation of a permit, the applicant must submit verification that the cost of reimbursing HHSC for publishing the notice of revocation has been paid. See 7633 Notice of Decision to Deny, Revoke, or Suspend an Application or Permit.

40 TAC §745.407

3724 Compliance History Indicates Inability to Meet Minimum Standard Rules

June 2016

Procedure

The applicant may have a history of deficiencies under previous permits that results in a determination that the applicant will not be able to provide care for children that complies with minimum standard rules.

3800, Handling Changes in an Operation, Type of Permit, Location, and Ownership

3810 Circumstances That May Require Amending the Permit

Revision 23-2; Effective June 26, 2023 

Changes Affecting Restrictions or Conditions

The permit may need to be amended because of changes requested by the operation that affect restrictions or conditions on the permit, including:

  • an increase or decrease to the operation’s infant capacity, if the operation is a licensed child care center;
  • an increase or decrease to the operation’s total capacity;
  • an increase or decrease in outdoor or indoor space to accommodate children;
  • a change in the age range of children in care;
  • a reduction in the number of toilets or sinks; 
  • a change in the type of service, for residential operations;
  • the opening or closing of a branch office for child-placing agencies;  
  • a change from a before or after-school program to a school-age program (or the reverse); or
  • a change of location.

26 TAC Sections 744.301; 746.301; 747.301; 748.153; 749.153

Texas Human Resources Code Section 42.048

Changes Required to Be Reported to CCR

Administrative rules and minimum standards for all types of operations (except listed homes and operations that have compliance certificates) require an operation’s governing body to notify CCR before making any change that would violate the restrictions or conditions on the permit.

26 TAC Sections 744.301; 746.301; 747.301; 748.153; 749.153

Changes that are Not Reported

The permit may need to be amended because of changes made by the permit holder that are not reported and that affect either the restrictions or conditions on the permit, or both.

The inspector must address the change as soon as he or she learns of it and determine if the failure to report the change was a violation of minimum standards.

Changes Recommended or Imposed by CCR

CCR may recommend that CCR amend the permit because of the operation’s failure to comply with the applicable statutes, administrative rules or minimum standards.

If the permit holder does not agree to request the amendment to the permit that the CCR staff recommend as a remedy, CCR staff consult with the supervisor and Regional Director to determine if a referral to Child Care Enforcement (CCE) is warranted to request an adverse amendment to the permit. 

See:

7600 Adverse Actions

Changes Imposed by Other Governmental Entities

If CCR learns of local ordinances or regulations that would affect the restrictions or conditions on the permit, CCR staff amend the permit to comply with those ordinances or regulations.

See 3823 Amending the Permit in CLASS

3811 When and How to Evaluate a Change in an Operation

Revision 23-3; Effective Sept. 22, 2023

The inspector evaluates the change and determines if it would pose a risk to children. The operation waits until the changes are approved by CCR before making the change in the operation. The inspector evaluates the following changes before approving them:

  • an increase or decrease to the operation’s infant capacity, if the operation is a licensed child care center;
  • an increase or decrease to the operation’s total capacity;
  • an increase or decrease in outdoor or indoor space to accommodate children;
  • a change in the age range of children in care;
  • a reduction in the number of toilets or sinks; and
  • if a residential child care operation makes a change in the:
    • gender of children in care; or
    • the type of service.

The CCR inspector consults with the supervisor and regional director if: 

  • the operation: 
    • is on probation; 
    • has been notified of the intent to impose adverse action by HHSC; or
    • is on heightened monitoring; or
  • the change poses significant risk to children.

Procedure

Evaluating Physical Changes to the Operation

A physical change includes:

  • additions or reductions to indoor space to be used by children in care;
  • the addition of a swimming pool or other permanent body of water on the premises; or
  • the increase or decrease in outdoor space (except for Child-Placing Agencies).

Inspecting the Operation to Evaluate a Change Request

The CCR inspector inspects the operation if the operation requested to make a physical change. Except for a change in location, the inspector inspects the operation within 30 days after receiving the information from the operation.

Obtaining Fire and Health Inspections

The inspector verifies that a licensed operation (other than a licensed child care home or CPA) obtains approved fire and health inspections as required when:

  • adding space to increase capacity; or
  • changing location.

Evaluating a Request to Increase Capacity

If the operation has requested an increase in capacity, the inspector evaluates the request by reviewing floor plans and photographs submitted by the operation, if any, or conducting an inspection to verify that the operation has adequate space, toilets and sinks to accommodate the increase (see 3823.2 Changing the Operation’s Capacity in CLASS).

For residential child care operations that are subject to public notice and hearing requirements, the inspector follows policies and procedures in 3140 Public Notice and Hearing Requirements for General Residential Operations (including its sub-items) before amending the permit.

Evaluating a Request to Add Treatment Services for Children with Emotional Disorders (GROs Only)

For a GRO that requests to add treatment services for children with emotional disorders to the permit, the CCR inspector: 

  • reviews and approves the plan detailed in Form 2960, Application for a License to Operate a Residential Child Care Facility, Attachment C, General Residential Operations – Additional Operational Plan, General Residential Operations – Additional Operational Plan; 
  • determines if the plan detailed in Form 2960, Attachment C is complete and contains clear responses;
  • reviews the operational policies before the operation may schedule a public hearing; and 
  • conducts an inspection if the operation made physical changes to the site to determine if the requested changes are appropriate.

Concerns with the Operational Plan

If the inspector has concerns with the plan detailed on Form 2960, Attachment C, or the updated operational policies, the inspector discusses those concerns with his or her supervisor and with the permit holder. If CCR cannot approve the operational plan, the inspector denies the operation’s request to amend the permit.

Approving the Operational Plan

If the inspector determines that the operational plan documented on Form 2960, Attachment C, is complete and contains clear responses, the inspector:

  • documents approval of the operational plan in CLASS in a Chronology (type Application) in CLASS;
  • uploads Form 2960, Attachment C to CLASS Document Library as outlined in 1310 Content and Organization of Child Care Regulation Records Content and Organization of Child Care Regulation Records;
  • informs the operation that it may schedule a public hearing;
  • follows policies and procedures in 3140 Public Notice and Hearing Requirements for General Residential Operations Public Notice and Hearing Requirements for General Residential Operations (including its sub-items); and
  • amends the permit after the hearing.

Evaluating Other Requests

For all other requests, the inspector: 

  • reviews the operation’s compliance history; 
  • reviews the operation’s policies; and 
  • may conduct an inspection to determine if the requested changes are appropriate.

If CCR staff approve changes to the permit, the inspector makes those changes according to 3823 Amending the Permit in CLASS.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

3812 When an Operation Changes Location

Revision 23-2; Effective June 26, 2023

When an operation changes location and notifies CCR of the change of location within the timeframes outlined in administrative rule and the table below, CCR staff:

  • provide the operation with the applicable change of address request form;
  • conduct an inspection for all operations except listed family homes after receiving the change of address request form; and
  • amend the permit to reflect the new address but do not change the issuance date if the operation is in compliance with applicable statutes, administrative rules and minimum standards.

CCR staff do not generate a new fee invoice when an operation changes location.

Operation TypeOperation Notifies CCR No Later ThanCCR Sends This FormCCR Conducts an Inspection Within
Listed Family Home15 days after relocatingCLASS Form 2811 Change of Address RequestN/A
Registered Child Care Home15 days after relocatingCLASS Form 2811 Change of Address Request15 days of receiving the completed form
Licensed Child Care Home15 days before relocatingSharePoint Form 2002 Licensed or Certified Child Care Operation Change of Address Request15 days of receiving the completed form
  • School-Age Program;
  • Before or After-School Program;
  • Child -Care Center;
  • General Residential Operation;
  • Child-Placing Agency
30 days before relocatingSharePoint Form 2002 Licensed or Certified Child Care Operation Change of Address Request21 days of receiving the completed form

If the operation moves without giving CCR timely notice, CCR staff cite a deficiency for the operation failing to notify CCR of the move according to the timeframes in administrative rules and minimum standards. In addition, the inspector discusses with the supervisor whether CCR will:

  • amend the permit to reflect the new address; or 
  • consult with the regional director to determine whether to submit a referral to Child Care Enforcement (CCE) to recommend that HHSC revoke the permit.

See:

3823 Amending the Permit in CLASS      
7110 Circumstances That May Call for Enforcement Action      
26 TAC Sections 744.301; 745.435(b); 746.301; 747.301; 748.153; 749.153       
Texas Human Resources Code Section 42.048

3820 How to Evaluate and Process Amendments to a Permit

3821 How to Address Plans for Change

July 2018

Procedure

Determine whether the change will necessitate amending the permit. When information about a plan for changing the operation is received, the inspector completes the following tasks:

  1. Determine whether the changes could violate statute, administrative rules, or minimum standards.
  2. Discuss the change with the permit holder or designee to ensure agreement with the changes to the permit.
  3. If compliance is established, document the changes in CLASS, which may include processing the amendment by preparing a new permit.

3822 Documenting Changes for Child Day Care Operations When Amending the Permit is Not Required

July 2018

Procedure

Licensed or Certified Child Day Care Operations

If amending the permit is not required but the restrictions recorded on Form 2910 Application for a License or Certification to Operate a Child Day Care Facility have changed, the inspector documents the changes in the operation’s record in CLASS and notes the changes made in CLASS Chronology.

Registered Child Care Homes

If amending the permit is not required, but the restrictions recorded in CLASS have changed, the inspector documents the changes in the operation’s record in CLASS.

Restrictions that do not require an amendment of the permit include changes to the operation’s capacity, the ages of the children, and the hours, days, and months of operation.

Licensing staff document any conditions or restrictions that need to be noted on the permit in the Description box of the Conditions for Permit, Registration or Certification section of the operation’s Issuance page in CLASS.

3823 Amending the Permit in CLASS

Revision 23-2; Effective June 26, 2023

CCR staff amend an operation’s permit by updating the Issuance and Operation Main pages in CLASS when CCR:

  • Approves an operation making changes to the permit including:
    • capacity;
    • age range of children served;
    • gender (RCCR only);
    • services the operation offers;
    • location;
    • name of the operation; or
  • Adds conditions to the permit.

After amending information that displays on an operation's permit, CCR staff take the steps outlined in 3824 Issuing the Amended Permit.

Adverse Amendments

CCR handles an adverse amendment the same as an adverse action. CCR staff send a recommendation to CCE for an adverse amendment.

See 7600 Adverse Actions.

3823.1 Changing the Operation’s Restrictions and Conditions in CLASS

Revision 23-2; Effective June 26, 2023

Procedure

Restrictions

CCR staff document changes to the permit restrictions under the Restrictions box on the Issuance page by:

  • selecting or de-selecting the age options;
  • selecting or de-selecting the gender options (RCCR only); 
  • entering the total infant capacity, if applicable; or
  • changing the total licensed capacity.

Conditions

CCR staff enter a description for conditions to be listed on the permit in the Description box under the Conditions for Permit, Registration or Certification section on the Issuance page.

See 3424 Applying Additional Types of Conditions or Restrictions and its sub-items for examples of conditions.

Amendments to Restrictions or Conditions

CCR staff document a summary of the amendments to restrictions or conditions to the permit under the Full Issuance Amendments section of the Issuance page and selects which type of amendment applies. 

3823.2 Changing the Operation's Capacity in CLASS

Revision 23-2; Effective June 26, 2023

CCR staff take steps to change an operation’s capacity in CLASS when:

  • the operation requests a change in capacity;
  • CCE changes the operation’s capacity as an adverse amendment; or
  • another governmental entity changes the operation’s capacity.

See 3424.3 Fire and Sanitation Reports and Other Local Ordinances

Procedure

Operation Requests to Decrease Capacity

If the operation requests to decrease capacity, CCR staff may complete the following on the Issuance page in CLASS: 

  • select Change Capacity in the Restrictions section;
  • enter the operation’s requested capacity and save at the bottom of the page; and
  • generate an amended permit to reflect the updated capacity.

Operation Requests to Increase Capacity

If the operation requests to increase capacity, CCR staff evaluate whether the operation can meet standards relevant to the amendment as outlined in 3811 When and How to Evaluate a Change in an Operation.

CCR staff then complete the following on the Issuance page in CLASS:

  1. select Change Capacity under the Restrictions section;
  2. enter the requested capacity and save at the bottom of the page;
  3. document whether:
    • CCR approved the operation’s request to increase capacity;
    • CCR approved the operation’s request to increase capacity by a lower amount than requested by the operation;
    • CCR rejected the request to increase capacity; or
    • the operation withdrew the request to increase capacity.

CLASS automatically generates the Capacity Fee Invoice when staff approve the operation’s request to increase capacity in CLASS.

CCR staff then generate and issue an amended permit to reflect the updated capacity if:

  • CCR staff approved the request; and
  • the operation paid the change in capacity fee when the request is to increase capacity and the operation is not exempt from paying permit fees. 

If the operation is exempt from paying permit fees, the inspector documents the fee exemption according to 3121.1 Documenting Fee Exemptions in CLASS before approving the capacity increase.

If CCR staff approve the request to increase capacity in CLASS, but circumstances change requiring the operation to withdraw the request or submit a new request, the inspector follows 3823.1 Changing the Operation’s Restrictions and Conditions in CLASS.

5236 Capacity Increase Fee Invoice (Also Known as Amendment Fee)

5240 Verification of Fee Payments

3823.3 Changing the Operation’s Permit in CLASS for the Gender or Ages Served

Revision 23-2; Effective June 26, 2023

If the operation made changes to the ages of children served, and CCR approves this change, the inspector documents the change in the Restrictions section on the Issuance page. CCR staff generate and send a new permit to the operation for the following operation types: 

  • licensed child care home;  
  • school-age program;  
  • before or after-school program;   
  • licensed child-care center; 
  • general residential operation; or 
  • child-placing agency. 

For an RCCR operation that makes a change to the permit for the gender of children served and CCR approves this change, the inspector:  

  • documents the change in the Restrictions section on the Issuance page; and 
  • generates and issues an amended permit to the operation.

3823.4 Changing a Residential Child Care Operation’s Services Offered in CLASS

Revision 23-2; Effective June 26, 2023

If the operation is a GRO or CPA and the operation made changes to the services the operation provides and CCR approves this change, the inspector:  

  • documents the changes in services on the Operation Main page in CLASS; and 
  • generates and issues an amended permit to the operation.

3823.5 Changing the Operation’s Address in CLASS

Revision 23-2; Effective June 26, 2023

When an operation changes location and CCR approves the change, CCR staff update the Operation Main page in CLASS to reflect the new address. 

LFH, RCCH, or CPA Branch Changes Location 

If a listed family home, registered child care home, or child-placing agency branch changes location, CCR staff take the following steps on the Operation Main page in CLASS: 

  • enter the new location address; 
  • validate the new address; and 
  • save the change at the bottom of the page. 

LCCH, LCCC, BAP, SAP, CPA Main, or GRO Changes Location

If a licensed child care home, a licensed child-care center, before or after-school program, school-age program, child-placing agency main office, or general residential operation changes location, the inspector informs the supervisor, after which the supervisor: 

  • selects Address Correction button on the bottom of the Operation Main page; 
  • enters the new location address; 
  • validates the address; and 
  • saves the page.

3823.51 Which CCR Staff Can Change an Operation’s Address in CLASS

Revision 23-2; Effective June 26, 2023

The table below lists the minimum CLASS role that may change an operation’s address in CLASS:

Operation TypeMinimum CLASS Role That Can Change the Operation's Address
Listed Family HomeAdmin Technician
Registered Child Care HomeLicensing Representative (Inspector)
Licensed Child Care HomeSupervisor
Licensed Child-Care CenterSupervisor
Before or After-School ProgramSupervisor
School-Age ProgramSupervisor
Child-Placing Agency MainSupervisor
Child-Placing Agency BranchLicensing Representative (Inspector)
General Residential OperationSupervisor

See:

Appendix 1000-2 Security Roles and Functions in CLASS

3824 Issuing the Amended Permit

Revision 23-2; Effective June 26, 2023

Procedure

If an inspector places any condition on the permit, the inspector documents the changes and the effective date in the Conditions for Permit, Registration, or Certification section on the Issuance page.

For all changes that display on the operation’s permit, the inspector documents an effective date and a summary of the reason for the amended permit in the Full Issuance Amendments section on the Issuance page.

The inspector creates and prints a copy of the amended permit and applicable issuance letter and mails or delivers the copy to the operation.

See 3823 Amending the Permit in CLASS

3830 Changes that Require an Application for a New Permit

Revision 23-2; Effective June 26, 2023

The governing body or owner of an operation must apply for a new permit and submit the appropriate fees for a change in:

  • permit type; or
  • ownership.

See:

3833 Change of Ownership  
26 TAC Sections 745.429; 745.435; 745.437; 744.301; 746.301; 747.301; 748.153; 749.153

3831 Change to Type of Permit

July 2018

A governing body’s request to change permit type may include:

  1. a licensed operation becoming a registered or listed operation or an operation with a compliance certificate;
  2. an independent foster home becoming a general residential operation;
  3. a registered operation home becoming a licensed or listed operation;
  4. a listed operation becoming a registered or licensed operation;
  5. an operation with a compliance certificate becoming a licensed operation; or
  6. a licensed operation transitioning into another licensed type of operation that is governed under a different chapter of minimum standards.

3831.1 Establishing Compliance with Minimum Standards

July 2018

The operation must establish compliance with the minimum standards applicable to the new type before a new permit is issued.

See 3310 Evaluating Before Issuing a Permit, to determine whether to issue an initial or full permit to a licensed operation.

See 3313 Inspecting the Operation (Except Listed Homes), to determine which administrative rules or minimum standards must be evaluated for compliance before issuance.

3832 Reserved for Future Use

Revision 23-2; Effective June 26, 2023

3833 Change of Ownership

July 2018

If a change in ownership occurs in an operation, the permit is revoked.

A change in ownership includes any of the following:

  1. The owner stated on the permit no longer owns the operation.
  2. The governing body stated on the permit no longer has the ultimate authority and responsibility for the operation.
  3. There is a change in the legal organizational structure of the operation.
  4. If the permit holder is a type of business entity, and that business entity is sold.

Exception

If the permit holder is a type of business entity, and that business entity is sold, a change in ownership of an operation does not include the acquisition of a corporate permit holder’s publicly traded stock if all of the following conditions exist:

  1. The corporate permit holder listed on the application and on the permit will continue to exist as the same corporate entity and to own and operate the operation.
  2. There will be no change in the operation’s policy or procedure because of the transaction.
  3. There will be no change in the staff who have contact with children in care because of the transaction.
  4. Any change in the day-to-day operations that might occur after the sale is in the ordinary course of business and not as a result of the stock transaction.

Texas Human Resources Code §42.048

40 TAC §745.437

Procedure

The permit holder must notify Licensing as early as possible before the change in ownership, and the new owner must apply for a new permit. If the permit holder did not notify Licensing of the change in ownership, but Licensing staff learn that an operation has changed or will change ownership, the inspector sends CLASS Form Vol Suspension/Relocation/Clsr Letter 2865e, 2825, to the permit holder or the new owner, as appropriate, confirming the change. The inspector also provides application materials to the new owner or instructions on where to find a copy of the application materials online.

Operations must pay new application and license fees, as applicable.

40 TAC §745.439

26 TAC §§744.303746.303748.153749.153750.123(1)

3834 Steps to Process an Application for an Existing Operation

Revision 24-2; Effective May 22, 2024

Procedure

When an operation submits an application for a new permit for a reason listed in 3830 Changes that Require an Application for a New Permit, CCR staff process the application per: 

  • 3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing Permit; and
  • 3313.4 Evaluating Compliance to decide to issue an initial or full license.

3834.1 When a Permit is Added or Replaced

Revision 24-2; Effective May 22, 2024

Policy

A new permit replaces the old unless the operation is adding an additional permit.

3834.2 Public Notice and Hearing Requirements

Revision 24-2; Effective May 22, 2024

For residential child care, applicants may be subject to public notice and hearing requirements. 

References

General Requirements for Public Hearing and Notices, 3141 

HRC Section 42.0461 

3834.3 Documenting the New Application in CLASS

Revision 24-2; Effective May 22, 2024

Procedure

Staff enter the application details in CLASS per 3121 Initiating an Application in CLASS. CLASS generates a new operation number for the new application.

CCR staff document the associated operation numbers in the Operation History List on the Operation History page in CLASS if the applicant has an association with an existing or closed operation. 

References

Types of Child Care, 2200 
When to Associate Operations (RCCR Only), 3323.1 
When to Associate Operations (DCCR Only), 3332.1 

3840 When Operations are Ineligible for Grandfather Provisions if Location or Ownership Changes

3841 Child Day Care

July 2018

If a child day care operation that was issued a permit before September 1, 2003, changes location or ownership, the operation can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 746 and 747,unless the inspector and inspector’s supervisor has determined that a change in ownership has not nullified the grandfather provisions.

Texas Human Resources Code §42.048(e)

3842 Residential Child Care

July 2018

If a residential child care operation that was issued a permit before January 1, 2007, changes location or ownership, the operation can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 748749, and 750, unless the inspector and inspector’s supervisor have determined that a change in ownership has not nullified the grandfather provisions.

Texas Human Resources Code §42.048(e)

3900, Permit Renewal

3910 Overview of Permit Renewals

3911 Operations Subject to Permit Renewal

July 2018

A full license, certificate, and registration will expire if it is not renewed.

Permit renewal requirements do not apply to listed family homes, temporary shelter programs, and small employer-based child care operations.

26 TAC Section 745.471

Texas Human Resources Code Sections 42.04842.05042.052

3912 When an Operation’s Permit Renewal is Due

Revision 22-4; Effective Sept. 20, 2022

An operation that is subject to permit renewal must renew its permit on the second anniversary of the issuance of the full permit and every two years thereafter.

26 TAC Section 745.473

3913 Definitions of Renewal Period and Late Renewal Period

Revision 22-4; Effective Sept. 20, 2022

The “renewal period” is the period beginning 60 days before the full permit’s anniversary date and ending on the anniversary date, which occurs in the year the operation renews its permit. An operation may not submit a renewal application before the renewal period begins.

The “late renewal period” is the 30-day period after the renewal period ends. A renewal application submitted during the late renewal period is considered a late renewal application. An operation submits a renewal application by the end of the late renewal period to avoid expiration of its permit.

26 TAC Section 745.473

3920 Permit Renewal Application Process

3921 Notifying the Operation and Sending the Permit Renewal Application

July 2018

At the beginning of an operation’s renewal period, CCR notifies the operation that the operation’s permit renewal is coming due.

Procedure

Operation Has Contact Email Address

If the operation’s contact email address is listed in CLASS, CLASS sends a system-generated email to the operation that includes the notification and instructions for submitting a renewal application online. CLASS sends a copy of this notice to the inspector.

Operation Does Not Have Contact Email Address

For operations that do not have a contact email address listed in CLASS, CCR staff generate a copy of the notification letter and pre-populated renewal application on the Permit Renewal page in CLASS and mail to the operation by the beginning of the operation’s renewal period.

3922 How an Operation Submits a Permit Renewal Application

Revision 22-4; Effective Sept. 20, 2022

Procedure

An operation may submit a permit renewal application online through the provider's Child Care Regulation Account or mail a paper renewal application.

Operation Requests a Paper Application

If an operation received a system-generated email with instructions for completing the permit renewal application online, but prefers to submit a paper application, the CCR inspector:

  • selects the Provider Requests Paper check box on the Permit Renewal page in CLASS;
  • generates the Permit Renewal Application Due Notification and pre-populated renewal application on the Permit Renewal page; and
  • prints and mails the notification and renewal application to the operation.

3922.1 Definition of a Complete Permit Renewal Application

Revision 23-1; Effective Apr. 21, 2023

A complete permit renewal application includes the operation submitting all of the following:

  1. verification that the following about the operation is current and accurate:
    • basic information on the Search Texas Child Care website;
    • list of controlling persons in the provider’s online account; and   
    • list of governing body members in the provider’s online account;
  2. indication if the operation continues to need any existing waivers or variances;
  3. verification that the operation has validated the list of persons who require a background check as required by 26 TAC Section 745.651(2); and
  4. if the operation is a general residential operation that provides treatment services for children with emotional disorders and a public hearing is required by 26 TAC Section 745.487, a written response that addresses any public comments made during the public hearing.

26 TAC Section 745.475

3923 Time Frames for Processing a Permit Renewal Application

Revision 22-4; Effective Sept. 20, 2022

The CCR inspector has 30 days from the date CCR receives the renewal application to renew the operation’s permit, reject, or refuse to renew the permit.

26 TAC Sections 745.475, 745.477 

3924 Processing the Permit Renewal Application

Revision 24-1; Effective Feb. 20, 2024

The inspector completes all the following tasks in the chart below to determine whether to:

  • accept the renewal application;
  • reject the renewal application; or 
  • refuse to renew the permit.
TaskCCRH Reference
Determine if the renewal application is complete.3922.1 Definition of a Complete Renewal Application
Enter the renewal application into CLASS, if the operation submitted a paper application.3924.1 Entering a Paper Application into CLASS
Review the operation’s fee payment history. Determine if the operation has paid all fees or administrative penalties that are not pending due process.3924.2 Verifying Fee and Administrative Penalty Payments
Review the previous five-year compliance history. Determine if there are repeated, re-cited, or pattern of deficiencies. If so, decide whether to recommend adding conditions to the permit. 3924.3 Reviewing the Five-Year Summary of Deficiencies Details

Determine if the operation has corrected each deficiency with an expired compliance date that is not pending due process. Determine what steps to take if the operation has not corrected each deficiency.

If an inspection is required to verify the operation’s compliance with a standard, conduct the inspection before accepting or rejecting the application.

3924.4 Reviewing Deficiencies Not Corrected Details
Review the information that the operation provided regarding any waivers or variances and determine which steps to take.

5140 Time Frames for Processing a Waiver or Variance Request

5170 Renewing a Waiver or Variance

5190 Documenting Outcomes for Waiver or Variance

If the operation is a general residential operation providing treatment services for children with emotional disorders, determine if the commissioner’s court of the county where the operation is located has requested that CCR hold a public hearing.3924.5 Public Hearings for Permit Renewals of Certain General Residential Operations

Before rejecting a renewal application or refusing to renew a permit, the CCR inspector helps the operation complete the renewal application if:

  1. the inspector has any questions about the operation’s responses on the renewal application;
  2. the provider has not fully completed the paper renewal application;
  3. the inspector needs to verify fee payments;
  4. the operation’s people list needs to be validated; or
  5. there are deficiencies that the inspector needs to follow up on.

26 TAC Sections 745.475, 745.477, 745.651 

3924.1 Entering a Paper Permit Renewal Application into CLASS

Revision 23-3; Effective Sept. 22, 2023

Procedure

When an operation submits a paper renewal application, the CCR inspector completes the following tasks to enter the application in CLASS:

  • creates a new permit renewal submission by selecting Add Submission on the Permit Renewal page; and
  • on the Permit renewal Application Details page:
    1. enters the date the application was received; 
    2. selects or enters the applicable answer for each section of the application based upon information the operation submitted to CCR and the inspector’s evaluation of the information as outlined in the sections below;
    3. saves the page;
  • stores the paper application according to Appendix 1000-1, Organizing Child Care Regulation Records; and
  • uploads the application and supporting documents to CLASS Document Library from the applicable CLASS page as outlined in 1310 Content and Organization of Child Care Regulation Records.

Operation Details

The inspector indicates whether the operation made any updates to the operation’s information. If the operation made any updates to the operation details, the inspector also updates the operation’s information in the applicable page in CLASS.

Controlling Person Details

The inspector indicates whether the operation requested to:

  • add any controlling persons; and
  • remove any controlling person. 

If the operation requested to add a controlling person, the inspector indicates whether the operation submitted the request as required (i.e., either using Form 2760, Controlling Person – Child Care Regulation, or through the provider’s online account). 

CCR staff follows the policies in 5400 Controlling Person to end-date or add a controlling person to CLASS.

Governing Body Details (Not Applicable to Registered Child Care Homes)

The inspector indicates whether the operation has any vacant positions in the governing body or has made any changes to the governing body. If the operation made changes to the governing body, the inspector indicates whether the operation submitted the changes as required, either using:

  • Form 2911, Child Care Licensing Governing Body/Director Designation; 
  • Form 2819, Residential Child Care Licensing Governing Body/Administrator or Executive Director Designation; or 
  • through the operation’s online account. 

The inspector follows the policies in 3213.1 Governing Body and Licensing Responsibilities and makes the appropriate updates in CLASS.

Waiver/Variance Details

The inspector indicates whether the operation no longer needs a waiver or variance or needs to submit a new request for an expired waiver or variance. 

If the operation needs to submit a new request for an expired waiver or variance, the inspector: 

  • indicates whether the operation submitted the request as required (i.e., using Form 2937, Child Care Regulation Waiver/Variance Request, or through the operation’s online account); 
  • Updates the Waiver/Variance Details page in CLASS according to 5100 Waivers and Variances; and
  • Verifies the operation acted on each expired waiver or variance request.

If the operation no longer needs the waiver or variance, the inspector:

  • indicates the waiver or variance is no longer needed; and
  • updates the Waiver/Variance page in CLASS according to 5100 Waivers and Variances.

Background Check Details

The inspector indicates whether the operation certified that the operation has:

  • submitted background checks on all persons as required by 26 TAC Chapter 745, Subchapter F; and
  • validated the Employee List in accordance with 26 TAC Section 745.651(2)

Fees Details

The inspector indicates whether all fees and administrative penalties for the past two years are paid. The inspector follows the policy in 3924.2 Verifying Fee and Administrative Penalty Payments.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 

3924.2 Verifying Fee and Administrative Penalty Payments

Revision 22-4; Effective Sept. 20, 2022

Procedure

The CCR inspector reviews the operation’s Invoice and Payment Summary page in CLASS and verifies that the operation does not have any overdue fees or administrative penalty payments. The inspector may need to contact the operation to verify fee payments or search for unlinked payments on the Verify Payments page in CLASS.

The inspector then indicates if any fees or administrative penalties are overdue on the Permit Renewal Application Details page in CLASS. An administrative penalty is not overdue until 30 days past:

  • the date the order was sent; or
  • the date the court upheld the penalty.

If one or more fees or administrative penalties are overdue, the inspector adds each fee or penalty separately. For each fee or penalty that is overdue, the inspector documents:

  1. the type of fee or penalty that is overdue (annual, background check or administrative penalty);
  2. the amount that is overdue;
  3. the year the fee was due for annual fees; and
  4. the invoice number for the penalty.

If the inspector is able to verify a payment after adding the fee or penalty to the Permit Renewal Application Details page, the inspector may delete the row.

See 5240 Verification of Fee Payments

3924.3 Reviewing the Five-Year Summary of Deficiencies Details

Revision 23-1; Effective Apr. 21, 2023

CCR staff review the operation’s five-year compliance history to determine if the operation has repeated deficiencies or a pattern of deficiencies. The evaluation of the five-year compliance history determines whether CCR:

  • renews the permit without adding conditions or restrictions;
  • adds conditions or restrictions to the permit to address the repeated deficiencies or pattern of deficiencies when renewing the permit; or
  • takes the adverse action Refuse to Renew.

If CCR decides to renew the permit, the CCR inspector ensures the operation meets all other requirements for permit renewal before renewing the permit.

Texas Human Resources Code Sections 42.050(c), 42.072 

26 TAC Section 745.8655

Procedure

To determine if the operation has repeated deficiencies or a pattern of deficiencies, the inspector selects Proceed to Review Deficiencies on the Permit Renewal Application Details Page to navigate to the Five-Year Summary of Deficiencies page. The Five-Year Summary of Deficiencies page in CLASS shows: 

  1. the following information regarding deficiencies from the five-year period:
    • a total count of all deficiencies;
    • detail of repeated and re-cited deficiencies;
    • number of all deficiencies by subchapter; and
    • number of all deficiencies by weight;
  2. the inspector’s assessment of the re-cited and repeated deficiencies;
  3. the inspector’s assessment of whether the operation had a pattern of deficiencies;
  4. whether the inspector recommended adding conditions or restrictions to the permit; and
  5. the supervisor decision, if the inspector recommended adding conditions or restrictions to the permit.

If the Operation Has No Repeated or Re-cited Deficiencies

If there are no repeated deficiencies or re-cited deficiencies:

  • the questions in the Assessment of Deficiencies section automatically prefill with No, and the Comment text box associated with each question prefill with a message stating that there were no repeated or patterns of deficiencies found and no additional conditions or restrictions on the permit are recommended;
  • the inspector saves the page; and
  • the inspector continues processing the renewal application.

If the Operation Has Repeated Deficiencies, Re-cited Deficiencies, or a Pattern of Deficiencies

If there are repeated, re-cited, or a pattern of deficiencies, the inspector evaluates the deficiency information on the Five-Year Summary of Deficiencies page.  

If the inspector recommends imposing an adverse action based on the operation’s compliance history, CCR staff follow procedures in 7630 Taking Adverse Action.

If the inspector does not recommend an adverse action, the inspector completes the Assessment of Deficiencies section on the Five-Year Summary of Deficiencies page, which includes an assessment of whether the inspector recommends that CCR adds conditions or restrictions to the operation’s permit.  

  • If the inspector does not recommend adding conditions or restrictions to the permit, the inspector continues processing the renewal application.
  • If the inspector recommends adding conditions or restrictions to the operation’s permit to address repeated, re-cited, or patterns of deficiencies, the inspector enters in the Comments on Permit Conditions text box:
    • the reasons why the conditions or restrictions are recommended; and
    • what conditions or restrictions the inspector recommends be added.

Additional Steps when an Inspector Recommends Adding Conditions or Restrictions to the Permit

If the inspector recommends adding conditions or restrictions to the permit, the supervisor reviews and approves or rejects the recommendation in CLASS within three days.  

If the supervisor does not approve the inspector’s recommendation, the supervisor adds comments explaining the inspector’s next steps. The next steps may include actions such as:

  • renewing the permit without adding conditions or restrictions; 
  • refusing to renew the permit; or 
  • recommending or imposing other enforcement actions.

If the supervisor approves the inspector’s recommendation:

  • the inspector adds the conditions or restrictions according to 3823 Amending the Permit in CLASS; and 
  • CCR staff follow procedures in 7622 Criteria for Imposing an Adverse Amendment.

3924.4 Reviewing Deficiencies Not Corrected Details

Revision 22-4; Effective Sept. 20, 2022

CCR may not renew a permit of an operation if the operation has not corrected any deficiency unless the deficiency is: 

  • pending an administrative review; or 
  • the basis for a corrective or adverse action that is pending an administrative review or due process hearing.

If an operation has not corrected deficiencies that do not meet the exemption criteria above, CCR staff consult with the supervisor on the next steps, which may include:

  • following up with the operation;
  • rejecting the renewal application; 
  • expiring the permit; or
  • refusing to renew the permit.

Texas Human Resources Code Section 42.050(c-1)

26 TAC Section 745.477 

Procedure

The CCR inspector reviews the Deficiencies Not Corrected Details section on the Permit Renewal Application Details page to determine if the operation has not corrected any deficiencies that are: 

  • not pending an administrative review; or 
  • the basis for an action pending an administrative review or due process hearing. 

If this page does not list any such deficiencies, the CCR inspector proceeds with processing the renewal application. 

If the page lists any such deficiencies, the CCR inspector reviews the Action Needed column for each deficiency in the Deficiencies Not Corrected Details section and takes the applicable steps outlined in the table below:

Action NeededInspector Next Steps
Update Admin Review StatusIdentify which of the statuses is pending and update as necessary. More than one status may need to be updated. Updating the status may result in the deficiency being removed from the list or the status changing to Follow-Up Needed.
Follow-Up NeededFollow-up with the operation to determine if the operation has corrected the deficiency. If the deficiency has been corrected, the system will remove it from the list.

If all deficiencies are removed from the list after the CCR inspector addresses the Current Deficiencies Not Corrected, the inspector proceeds with processing the renewal application.

If one or more deficiencies remain on the list after the CCR inspector addresses the Current Deficiencies Not Corrected, the inspector consults with the supervisor whether to:

  • follow-up with the operation again;
  • reject the renewal application;
  • expire the permit; or
  • refuse to renew the permit.

See also

3924 Processing the Permit Renewal Application
3926 Rejecting a Renewal Application
3927 Refusal to Renew a Permit
3930 Expiration of a Permit
4300 Conducting a Follow-Up with an Operation
26 TAC Section 745.477(a)

3924.5 Public Hearings for Permit Renewals of Certain General Residential Operations

July 2021

The commissioner’s court of a county where a general residential operation providing treatment services for children with emotional disorders is located may request that CCR hold a hearing before renewing the operation’s permit. The purpose of the hearing is to provide the public with a reasonable opportunity to speak on any issue related to renewal of the GRO’s permit.

Procedure

When the commissioner’s court requests a hearing related to the renewal of a permit for a GRO providing treatment services to children with emotional disorders, CCR staff are responsible for scheduling, providing notice of and facilitating the hearing. The GRO that submitted the renewal application is required to attend the hearing.

Hearing Notice

CCR staff create a hearing notice that includes the following information:

  1. The name, address and phone number of the CCR representative who will facilitate the hearing;
  2. The name and address of the GRO that submitted the renewal application;
  3. The date, time and location of the hearing;
  4. A description of the population that the GRO currently serves, the services provided (except for the provision of trafficking victim services), the number of children that the operation is currently licensed to serve, and the number of children the operation is currently serving; and
  5. A statement that the public hearing is for CCR to receive public comments regarding the renewal of the GRO’s license.

Ten days prior to the scheduled hearing, the inspector:

  • sends the notice to the commissioner’s court;
  • sends the notice to the GRO that submitted the renewal application; and
  • posts a notice of the hearing on the CCR public website.

Conducting the Hearing

CCR provides the written hearing procedures to the public with a reasonable opportunity to offer public comments on any issues related to the renewal of the GRO’s license, including how the hearing will be conducted, order of witnesses and the conduct of participants at the hearing.

26 TAC §§745.475745.477745.487745.489

3925 Accepting a Renewal Application

Revision 22-4; Effective Sept. 20, 2022

Procedure

The CCR inspector accepts the renewal application and renews the permit when the renewal application and all tasks associated with processing the renewal application are complete. 

The inspector renews the operation’s permit by sending the operation CLASS Form Permit Renewal Issuance Notification, which the operation then posts next to its permit.

See also:

3922.1 Definition of a Complete Permit Renewal Application
3924 Processing the Permit Renewal Application
26 TAC Section 745.479

3926 Rejecting a Renewal Application

Revision 22-4; Effective Sept. 20, 2022

CCR rejects the renewal application when:

  • the permit renewal application is incomplete, and the provider does not respond to phone calls or emails about the renewal application; or
  • there are deficiencies that the operation has not corrected and CCR has followed-up on the deficiencies as outlined in 3924.4 Reviewing Deficiencies Not Corrected Details.

Procedure

When the CCR inspector determines that a permit renewal application should be rejected, the inspector: 

  • obtains approval to reject the application from the supervisor or program administrator; 
  • documents the rejection in CLASS; and
  • sends the operation CLASS form Permit Renewal Application Rejection Notification.

3926.1 Documenting the Permit Renewal Rejection in CLASS

Revision 22-5; Effective Nov. 4, 2022

The Permit Renewal Application Details page displays system-generated reasons for rejecting the renewal application. The CCR inspector may also document rejection reasons or provide further explanation in the Rejection Reasons narrative box on the Permit Renewal Application Details page.

If the application is being rejected because the operation has not corrected deficiencies, the Rejection Letter Details section lists the deficiencies that are listed in CLASS form Permit Renewal Application Rejection Notification.

After the inspector sends CLASS form Permit Renewal Application Rejection Notification, the Rejection Letter Details section will not update when deficiencies in the Deficiencies Not Corrected Details section update.

3926.2 Notifying the Operation of Rejecting the Permit Renewal Application During the Renewal Period

Revision 22-4; Effective Sept. 20, 2022

Procedure

If the operation submitted the renewal application during the renewal period, the CCR inspector sends the CLASS form Permit Renewal Application Rejection Notification to the operation. The notification includes a list of reasons why the permit renewal application was rejected and contains instructions and deadlines for resubmitting the permit renewal application. If the inspector is rejecting the application because the operation has not corrected deficiencies, the rejection letter will list these deficiencies.

Operation Has Contact Email Address

CLASS  will automatically generate and send the notification to the operation if:

  • the operation has a contact email address in CLASS; and 
  • has not indicated a preference for a paper renewal application. 

Operation Does Not Have Contact Email Address

The inspector prints and mails the rejection letter, which includes a new renewal application, to the operation if: 

  • the operation does not have a contact email address in CLASS; or 
  • has indicated a preference for a paper renewal application. e inspector prints and mails the rejection letter (which includes a new renewal application) to the operation.

3926.3 Notifying the Operation of Rejecting the Permit Renewal Application During the Late Renewal Period

July 2018

Procedure

If the operation submitted the renewal application during the late renewal period, the CCR inspector sends the CLASS Form Final Permit Renewal Application Rejection Notification, which includes a new renewal application, to the operation. The notification includes a list of reasons why CCR rejected the permit renewal application, and:

  • instructions and deadlines for resubmitting the permit renewal application, if the operation is eligible to submit another renewal application; or
  • a statement that the operation is not eligible to submit another renewal application.

Operation Has Contact Email Address

If the operation has a contact email address in CLASS and has not indicated a preference for a paper renewal application, CLASS will automatically generate and send the notification to the operation.

Operation Does Not Have Contact Email Address

If the operation does not have a contact email address in CLASS or has indicated a preference for a paper renewal application, the inspector prints and mails the rejection letter to the operation.

3927 Refusal to Renew a Permit

Revision 22-4; Effective Sept. 20, 2022

CCR may refuse to renew the permit of an operation that is subject to the permit renewal requirements. A refusal to renew is a type of adverse action that may occur before or after the renewal period expires.  

Procedure

When refusing to renew a permit, CCR staff:

  • leave the renewal application pending;
  • do not send CLASS Form Final Permit Renewal Application Rejection Notification to the operation; and
  • follow procedures in 7630 Taking Adverse Action. 

26 TAC Section 745.8655 

3930 Expiration of a Permit

July 2018

There are three ways a permit can expire:

  1. The operation does not submit a permit renewal application by the end of the late renewal period.
  2. CCR rejects a permit renewal application that the operation submitted during the renewal period, and the operation does not submit another renewal application by the end of the late renewal period.
  3. CCR rejects a permit renewal application that the operation submitted during the late renewal period, and the operation does not submit a complete renewal application within 15 days after the date of rejection.

26 TAC Section 745.481

Procedure

CLASS will identify any operation that meets one of the conditions for expiration of the permit.

Within five days of receiving the To-Do notification that an operation meets the conditions for expiration, the inspector must either work with the operation to accept the renewal application or expire the permit.

To expire the permit of an operation that meets one of the conditions for expiration, the CCR inspector:

  1. obtains supervisory approval to expire the permit;
  2. documents the reason for the expiration, the name of the supervisor who approved the expiration, and the date of the approval in the Comments narrative box in the Expire Permit section on the Permit Renewal page;
  3. selects Proceed to Expire Permit;
  4. prints and sends the CLASS Form Permit Expiration Notification to the operation via certified mail; and
  5. sets the Operating Status to No on the operation’s main page in CLASS and enters the date the permit was expired as the Effective Date.

A supervisor may provide approval for the inspector to exceed the five-day time frame. Natural disasters or other issues beyond the operation’s control that may have interrupted mail services or otherwise prevented the operation’s ability to meet the deadline should be considered before expiring the operation’s permit.

The inspector documents the supervisor’s approval to exceed the five-day time frame in a Chronology (type Renewal). Documentation includes the supervisor’s full name and date of approval.

3931 Closing the Operation Due to Expiration of the Permit

Revision 22-4; Effective Sept. 20, 2022

Procedure

Within 15 days of expiring the permit and sending the CLASS form Permit Expiration Notification, the CCR inspector conducts an inspection to verify the operation is no longer caring for children. 

After the inspection: 

  • the inspector generates a new unregulated operation investigation if the operation is caring for children; and 
  • the CCR staff assigned to the operation takes the following actions on the Application/Closure page in CLASS:
    • generates the CLASS Form 2865e, 2825 Vol Suspension/Relocation/Clsr Letter, selects the appropriate statement about expiration of a permit, and mails notification to the operation;
    • enters the current date in the Closure Date field; and
    • selects Permit Expired as the reason for the closure.

See 6530 Investigations of Unregulated Operations

3932 When Operations are Ineligible for Grandfather Provisions if Ownership Changes

3932.1 Child Day Care

April 2010

If a child day care operation that was issued a permit before September 1, 2003, changes ownership, the operation must comply with all current minimum standard rules and can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 746 and 747.

Texas Human Resources Code §42.048(e)

3932.2 Residential Child Care

April 2010

If a residential child care operation that was issued a permit before January 1, 2007, changes ownership, the operation must comply with all current minimum standard rules and can no longer operate under any of the grandfather provisions in Chapters 748749, and 750 of the Texas Administrative Code.

Texas Human Resources Code §42.048(e)

3933 Steps to Process an Application

September 2012

Procedure

For licensed operations, see 3313.4 Evaluating Compliance to determine whether an initial or non-expiring license permit is needed.

The application is processed according to the procedures in 3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing.

As with any new application, a new operation number will be issued.

See also:

6200 Assessing and Processing Intake Reports

CLASS Online Help:

Close an Operation

Receive a Day Care License Application

4100, Inspecting Child-Care Operations

Revision 23-4; Effective Nov. 30, 2023

CCR staff inspect child care operations to assess the risk to children in those operations, in accordance with statutes, administrative rules, and minimum standards.

To determine an operation’s compliance, CCR staff:

  1. observe the operation’s performance;
  2. review the records and files maintained by the operation;
  3. cite the operation’s deficiencies, based on statutes, administrative rules and minimum standards;
  4. document observations to capture scope and severity;
  5. consider the risks posed by violations of statutes, administrative rules and minimum standards;
  6. use critical thinking to assess the operation’s overall compliance history;
  7. help the permit holder identify problems that contribute to deficiencies and provide technical assistance to help the permit holder understand how to comply with statutes, administrative rules and minimum standards; and
  8. consider all the relevant information together for a broad perspective.

The operation is responsible for developing and implementing plans to correct problems and prevent risk to children.

CCR staff are not responsible for managing the operation.

26 TAC Sections 745.8401; 745.8403

Procedure

CCR staff evaluate the risk associated with deficiencies and help the permit holder understand that he or she must comply with statute, administrative rules and minimum standards.

Documenting Findings

Once compliance is determined, CCR staff document the results of:

  • their observations, to capture the scope and severity of issues that potentially pose a risk to children in care; and
  • their inspections, within the specified time frame.

All monitoring activities, including results of inspections and technical assistance provided, must be documented in CLASS. Form 2936 Child-Care Facility Inspection is generated from CLASSMate.

See 4160 Documenting the Results of an Inspection.

4110 The Authority to Monitor Child Care in Texas

Revision 23-4; Effective Nov. 30, 2023

CCR staff may visit an operation during its operating hours to investigate, inspect and evaluate.

Human Resources Code Section 42.044(a)

26 TAC Sections 745.8401; 745.8403; 745.8405; 745.8407

CCR staff have the authority to:

  1. determine whether an operation is subject to regulation;
  2. conduct a walkthrough of the operation;
  3. verify the operation’s compliance with statutes, administrative rules and minimum standards; 
  4. assess the risk to children in the operation; 
  5. assist the operation with identifying problems contributing to deficiencies in statutes, administrative rules and minimum standards;
  6. offer technical assistance; 
  7. gather information; 
  8. make a fair, accurate and impartial decision regarding the operation’s compliance with statutes, administrative rules and minimum standards; and
  9. investigate reports related to all operations.

4120 Types of Inspections

December 2015

Licensing staff select the most appropriate inspection type to record an inspection in CLASS. Except for inspections of child-placing agencies, all inspections at all operations must include a walk-through for obvious minimum standard deficiencies (deficiencies that are in plain view).

See:

4121 Application Inspections                       
4122 Attempted Inspections                       
4123 Follow-Up Inspections                       
4124 Initial Inspections                       
4125 Investigation Inspections                       
4126 Monitoring Inspections                       
4127 Monitoring and Investigation Inspections                       
4128 Other Types of Inspections                       
4150 Conducting Inspections

4121 Application Inspections

December 2011

Procedure

Application inspections are conducted during the application phase and generally include an evaluation of all applicable subchapters. See 3313 Inspecting the Operation (Except Listed Homes).

4122 Attempted Inspections

August 2012

Procedure

Attempted inspections include inspections conducted without making contact with the operation. See 4156 When an Inspection Is Attempted.

4123 Follow-Up Inspections

Revision 24-2; Effective May 22, 2024

Procedure

Follow-up inspections include evaluating individual minimum standards, conditions, or restrictions, instead of evaluating an entire subchapter of minimum standards or all conditions or restrictions on the operation’s permit. 

Examples of reasons for follow-up inspections include:

  1. Making sure the operation addressed recent deficiencies or a pattern of repeated deficiencies that may be followed up on without an inspection. Reference 4300 Conducting a Follow-Up with an Operation.
  2. Meeting with the designated director at a licensed day care center. Reference 4131.3 Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center.
  3. Amending a permit or certificate. Reference 3810 Circumstances That May Require Amending the Permit.
  4. Evaluating an operation’s compliance with the conditions established to address the issues identified during a risk evaluation. Reference 4152 Reviewing Restrictions, Conditions, Waivers, and Variances, and 10000 Background Checks.
  5. Following up on suspension, revocation, or denial. References 7631.5 Follow-Up After Delivery of Notice of Intent to Take Adverse Action When Operation Required to Close Immediately and 7636 Follow-Up to Final Notice of Suspension, Revocation, or Denial. 
  6. Monitoring during the appeal process. Reference 5720 Regulating Pending the Due Process Hearing for Denial, Refusal to Renew, Revocation, or Suspension.
  7. Following up on a waiver-variance condition. References 4152 Reviewing Restrictions, Conditions, Waivers, and Variances and 5120 Decision Guidelines for Recommending to Grant or Deny a Waiver or Variance. 
  8. Monitoring the temporary relocation of an operation. Reference 5520 Temporary Relocation.

Reference

Conducting a Follow-Up With an Operation, 4300

4124 Initial Inspections

December 2015

Procedure

Initial inspections are inspections that are conducted during the initial period for a licensing permit.

See 3511 Conducting Inspections During the Initial License Period.

4125 Investigation Inspections

September 28, 2018

Procedure

Investigation inspections include the investigation of reports alleging:

  • violations of Licensing statutes;
  • violations of administrative rules;
  • violations of minimum standards; or
  • a combination of these.

If an investigation interview is conducted at an operation other than the one named in the report, the inspection is classified as Other in CLASS. See 6000 Investigations.

4126 Monitoring Inspections

December 2015

Procedure

Monitoring inspections must include evaluation of at least one entire subchapter of the applicable minimum standards and may include evaluation of additional individual laws, administrative rules, or minimum standards, or any conditions or restrictions. See 4140 Preparing for Inspections.

4127 Monitoring and Investigation Inspections

December 2015

Monitoring and investigation inspections include the investigation of a report during a monitoring inspection.

See 4125 Investigation Inspections and 4126 Monitoring Inspections.

4128 Other Types of Inspections

Revision 24-2; Effective May 22, 2024

Other types of inspections are conducted for such purposes as:

  1. consulting with an operation’s administrator or director;
  2. hand-delivering a corrective or adverse action notice;
  3. conducting an investigation interview; or
  4. conducting a heightened monitoring (HM) inspection, including an HM follow-up inspection.
     

4130 Minimum Requirements for Monitoring Inspections

Revision 24-1; Effective Feb. 20, 2024

The operation’s permit type determines:

  • the minimum frequency that monitoring inspections are conducted; and
  • the time frame by which compliance with all minimum standards must be evaluated.

An operation’s deficiencies and the associated weight of the deficiencies may indicate a need for more frequent inspections. Find the recommended monitoring frequency on the Enforcement Recommendations page in CLASS.

References:

4131 Minimum Requirements for Licensed Operations                       
4132 Minimum Inspection Requirements for Registered Child Care Homes                       
4133 Operations That Are Not Regularly Inspected                       
4150 Conducting Inspections                       
4500 Evaluating Risk to Children and Handling Immediate Danger                
7441 Inspecting an Operation During Probation

4131 Minimum Requirements for Licensed Operations

August 2020

First 12 Months After Issuance of a Full License

During the first 12 months following the issuance of a full license, the inspector:

  • conducts at least one unannounced monitoring inspection every six months; and
  • evaluates for compliance with all minimum standards within 12 months.

The inspector has until the last day of the last month during each six-month period to complete the inspection that is due during the relevant six-month period. For example, a full license is issued in January 2019, so:

  • the first six-month inspection is due by June 30, 2019;
  • the second six-month inspection is due by January 31, 2020; and
  • the inspector would cumulatively have to evaluate the operation for compliance with all minimum standards during the entire 12-month period.

Subsequent Years After Issuance of a Full License

After the first 12 months following the issuance of a full license, the inspector:

  • conducts an unannounced monitoring inspection at least annually (not more than 366 days), based upon an assessment of risk to children; and
  • evaluates for compliance with the following minimum standards, depending on the operation type:
Type of OperationWhat Standards and in What Time Frame
Licensed Child Care Centers, School-Age Programs, Before- or After-School Programs, and Licensed Child Care Homes
  • All minimum standards every two years.
  • Core health and safety minimum standards annually.

See 4131.4 Collection of Ratio Data for Licensed Child Care Centers

Licensed residential operationsAll minimum standards every two years.

Texas Human Resources Code Section 42.044(b)

45 Code of Federal Regulations §98.41

Required Inspections During Night or Weekend Hours for Residential Operations (Other Than a Child-Placing Agency)

At least once every two years, CCR staff must inspect a residential operation (other than a child-placing agency) after 7 p.m. on a weekday or anytime on the weekend. Staff are not required to read records when conducting an inspection at a residential operation during night hours.

Required Inspections for Day Care Operations When Nighttime Care is Provided

At least once every two years, staff must inspect a day care operation that provides nighttime care during the hours that the operation provides nighttime care. Staff must conduct at least some portion of the inspection between 9 p.m. and 6 a.m. during hours of operation.

Procedure

If an inspection cannot be made during night or weekend care, staff:

  1. obtain supervisory approval to conduct the inspection during regular visiting hours;
  2. document the justification for conducting the inspection during regular visiting hours in CLASS as a Chronology with a category of Monitoring; and
  3. document a plan for how nighttime and weekend care will be evaluated for compliance with minimum standards.

Two-Year Period Measurement

Procedure

The inspector measures a two-year period by beginning with the first day of the month in which CCR issued the full license and counting in two-year increments. For example, if the license was issued on September 10, the two-year period would begin on September 1 and end on August 31 two years later.

Selecting Subchapters on CLASS Form 2936 Child-Care Facility Inspection

Procedure

Within the first 12 months of issuance and within each subsequent two-year period, the inspector selects all checkboxes that are available for selection in CLASS that pertain to minimum standard subchapters. If the inspector cannot complete an evaluation of the operation’s compliance with all subchapters during the final inspection of the period, the inspector documents in the Narrative box of CLASS Form 2936 any specific subchapter that the inspector did not evaluate compliance with and explains why the evaluation of the operation’s compliance with that subchapter was not necessary or possible during the inspection.

Example: When the Evaluation of an Operation’s Compliance is Not Necessary

A school-age program does not transport children, but the checkbox for Subchapter Q (Transportation) is available for selection on CLASS Form 2936. The final monitoring inspection of the current two-year period is being conducted and the inspector selects all remaining subchapters (including Subchapter Q) that had not previously been selected in the two-year period. Because Subchapter Q does not apply to the operation, the inspector also documents the following in the Narrative box: “Although Subchapter Q was selected for this inspection, the operation does not provide transportation services; therefore, compliance could not be evaluated with that subchapter.”  

Example: When the Evaluation of an Operation’s Compliance is Not Possible

A child-placing agency is licensed to provide foster care and adoptive services; however, no adoptive placements occurred in the current two-year period. The final monitoring inspection of the current two-year period is being conducted and the inspector selects Subchapters Q (Adoptive Services: Children), R (Adoptive Services: Birth Parents), and S (Adoption Services: Adoptive Parents) on CLASS Form 2936, but also documents the following in the Narrative box: “Although Subchapters Q, R, and S were selected for this inspection, the operation has not provided any adoption services during this two-year period; therefore, compliance could not be evaluated with those subchapters.”

4131.1 Residential Child Care Monitoring Inspections for CPA Branch Offices

September 28, 2018

When a child-placing agency (CPA) with a full license opens a branch office, the inspector conducts a monitoring inspection at the branch office.

Branch Office Opens During the First 12 Months After the CPA is Issued a Full License

Procedure

When a CPA opens a branch office during the first 12 months following the issuance of the CPA’s full license, the inspector:

  • conducts a monitoring inspection at the branch office evaluating compliance with all minimum standards within six months after the branch office opens; and
  • schedules and conducts additional inspections at the branch office according to the monitoring frequency of the CPA’s main office, until the CPA has had a full license for one year.

After the CPA has had a full license for more than 12 months, the inspector:

  • conducts additional monitoring inspections at the branch office at least annually, based upon an assessment of the risk to children (see 4130 Minimum Requirements for Monitoring Inspections); and
  • evaluates each CPA branch office for compliance with all minimum standards during each two-year period.

Branch Office Opens More than 12 Months After the CPA is Issued a Full License

Procedure

When a CPA opens a branch office after the first 12 months following the issuance of the CPA’s full license, the inspector conducts a monitoring inspection at the branch office and evaluates for compliance with all minimum standards within six months after the branch office opens.

Thereafter, the inspector:

  • schedules inspections in CLASS.
  • conducts additional monitoring inspections at least annually, based upon an assessment of the risk to children (see 4130 Minimum Requirements for Monitoring Inspections); and
  • evaluates each CPA branch office for compliance with all minimum standards during each two year period.

4131.2 Residential Child Care Team Inspections

December 2011

Licensing staff conduct an unannounced team inspection at each residential child care facility, including each child-placing agency (CPA) branch office, at least once annually. A team inspection is an inspection that is conducted by at least two residential child care inspectors.

Texas Human Resources Code §42.044(b-1)

Procedure

Licensing staff conduct team inspections at each residential child care facility, including CPA branch offices, at least once per year. Each team inspection must:

  • be unannounced; and
  • be conducted by at least two residential child care inspectors who work at different residential child care inspection units.

If the inspectors do not work at different inspection units, Licensing staff:

  • document the reason in the CLASS Chronology / Monitoring Category; and
  • obtain approval from a Licensing supervisor before conducting the team inspection.

4131.3 Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center

August 2021

The inspector meets with the designated director at least once annually during an unannounced inspection at a licensed child care center, to determine whether the designated director:

If the inspector is unable to evaluate director qualifications because the director is not present during at least one of the unannounced inspections within a 12-month period, the inspector conducts a follow-up inspection. If the director is not present during the follow-up inspection, the inspector schedules a follow-up meeting at the operation to meet with the director to review the director’s qualifications.

If the director is not present during at least one of the unannounced inspections within a 12-month period, the inspector schedules a meeting with the director to review the director’s qualifications. This meeting must be held at the operation.

Texas Human Resources Code Section 42.044(b-2)

Procedure

Annual Review of the Designated Director’s Qualifications

The inspector meets with the designated director of a licensed child care center during at least one monitoring inspection within each 12-month period. During this meeting, the inspector evaluates the director’s qualifications by reviewing:

  1. The original Child Care Center Director’s Certificate or approved waiver or variance for director qualifications; and
  2. Most recent background check to ensure it is current.

The inspector documents the review of the director’s qualifications by selecting the Dir Qual Eval box on the Inspection Detail page in CLASS.

The inspector cites the appropriate minimum standard and unchecks the Valid Director Certificate checkbox on the Governing Body Designation page in CLASS, if:

  • the director does not meet the qualifications or have a current waiver or variance for director qualifications; or
  • the director’s certificate has expired.

If the designated director has an approved waiver or variance for director qualifications, the inspector documents whether the director has made progress toward compliance in the Narrative text box on the Inspection Detail page in CLASS. The inspector also evaluates whether the director qualifies for a non-expiring director’s certificate if the director has an expiring one.

If there are any changes in how the director qualifies since the last inspection, the inspector documents how the director meets the qualifications by selecting the appropriate option in the How DC Director Qualified field on the Governing Body Designation page in CLASS and issues a new director certificate that indicates how the director now meets the qualifications.

When the Director is Not Present for an Annual Review of Qualifications

If the designated director is not present during an unannounced monitoring inspection that requires the inspector to complete the annual review of the director’s qualifications, the inspector meets with the director during a follow-up inspection at the operation as follows:

Deficiency Cited at the Last Monitoring Inspection?Complete the Annual Review of Director Qualifications During…
High-weighted only,an unannounced follow-up inspection conducted no later than 15 days after the latest compliance date of the deficiencies.
Non-high-weighted only (that is, medium-high, medium, medium-low and low),an unannounced follow-up inspection conducted no later than 30 days after the latest compliance date of the deficiencies.
High- and non-high-weighted,an unannounced follow-up inspection within 15 days of the latest compliance date of the high-weighted deficiencies.
No,an announced or unannounced follow-up inspection conducted no later than 30 days after the last monitoring inspection.

If the director is not present during an unannounced follow-up inspection, the inspector schedules a meeting with the director at the operation.

If the director does not respond to a request to meet, the inspector cites the operation for a violation of minimum standard, 26 TAC Section 746.1011, and follows up as appropriate.

When the Annual Review of Qualifications is Late

If the director’s qualifications cannot be reviewed within the required 12-month period, the inspector:

  • obtains the supervisor’s approval to conduct the inspection at a later date; and
  • documents the supervisor’s approval in CLASS, in the Chronology/Monitoring Category.

Tracking How Frequently a Director is Present During Inspections

The inspector evaluates how frequently or infrequently the director is not present by reviewing how often the Director Present check box in CLASS has been checked in the past year. If the director is frequently not present, the inspector determines a plan of action, which may include contacting the permit holder to acquire the director’s work schedule.

4131.4 Collection of Ratio Data for Licensed Child Care Centers

April 2021

Child Care Regulation (CCR) staff will gather certain ratio data for each classroom during a monitoring or monitoring/investigation inspection at a licensed child care center when there are children four years of age or younger present during the inspection.

Texas Human Resource Code Section 42.0412(c)

Procedure

During the walk-through of a monitoring or monitoring/investigation inspection of a licensed child care center, CCR staff will document the following in the Classroom Information section on the Inspection Details page of CLASS Form 2936 for each classroom with children four years of age and younger present:

  • the total number of children;
  • the specified age of children in each group;
  • the number of caregivers supervising the group of children;
  • classroom type;
  • a name exclusive to each classroom;
  • activities observed in the classroom during the inspection; and
  • if child/caregiver ratio is not met (this information does not replace a citation for ratio).

Staff selects the Add Classroom button to add classroom details in the Classroom Information section for each classroom that has children age four years old or younger present during the inspection.

If no children age four years old or younger are present at the operation during the inspection, staff will select The operation has zero classrooms where children age four years old or younger are present check box.

This information can be modified in CLASS until the inspection is frozen.

See 4161.2 Documenting Inspection Results on CLASS Form 2936

4131.5 Health and Safety Audits for Licensed Child Day Care Operations

April 2021

Child Care Regulation (CCR) must annually conduct at least one health and safety audit during an unannounced monitoring inspection for licensed child care centers, before- or after-school programs, school-age programs, and licensed child care homes.

45 Code of Federal Regulations Section 98.42

Procedure

A health and safety audit is a review of core measures related to health and safety, conducted during a monitoring inspection. The inspector completes a health and safety audit by completing the appropriate Health and Safety Audit Checklist or conducting a standard-by-standard monitoring inspection.

Selecting Subchapters on the Inspection Form

The CCR inspector selects a minimum standard subchapter on CLASS Form 2936 Child-Care Facility Inspection when:

  • the inspector plans to evaluate the entire subchapter, not just a core measure within the subchapter; or
  • the operation is deficient with two or more core measures within a content area that requires a review of an entire subchapter.

See:

4161.1 Creating a Draft CLASS Form 2936

4132 Minimum Inspection Requirements for Registered Child Care Homes

Revision 23-4; Effective Nov. 30, 2023

First 12 Months After Issuance of a Registration

During the first 12 months following the issuance of the registration, the inspector conducts an unannounced monitoring inspection to evaluate compliance with all minimum standards.

Additional monitoring inspections are based on an assessment of risk to children.

45 Code of Federal Regulations Section 98.42

Subsequent Years After Issuance of a Registration

The inspector conducts unannounced inspections for compliance with all minimum standards at least every two years, unless the home has an agreement to receive a subsidy from the Texas Workforce Commission (TWC).

The inspector measures a two-year period by beginning with the first day of the month in which CCR issued the registration and counting in two-year increments. For example, if a registration was issued on Sept. 10, the two-year period would begin on Sept. 1 and end on Aug. 31 two years later.

26 TAC Section 745.8405(a)(3)

Selecting Subchapters on CLASS Form 2936 Child-Care Facility Inspection

Procedure

Within the first 12 months of issuance and within each subsequent two-year period, the inspector selects either:

  • the Standard x Standard Inspection checkbox if only one monitoring inspection is planned; or
  • all checkboxes available for selection in CLASS that pertain to minimum standard subchapters.

If the inspector cannot complete an evaluation of the operation’s compliance with all subchapters during the final inspection of the period, the inspector documents in the Narrative box of CLASS Form 2936 any specific subchapter that the inspector did not evaluate compliance with and explains why the evaluation of the operation’s compliance with that subchapter was not possible or necessary during the inspection.

Example: When the Evaluation of an Operation’s Compliance is Not Necessary

A home does not transport children, but the checkbox for Subchapter X (Transportation) is available for selection on CLASS Form 2936. The final monitoring inspection of the current two-year period is being conducted and the inspector selects all remaining subchapters (including Subchapter X) that had not previously been selected in the two-year period. Because Subchapter X does not apply to the operation, the inspector also documents the following in the Narrative box: “Although Subchapter X was selected for this inspection, the operation does not provide transportation services; therefore, compliance could not be evaluated with that subchapter.”

Example: When the Evaluation of an Operation’s Compliance is Not Possible

A home is approved to provide field trips as one of its services; however, the primary caregiver has indicated no field trips have occurred in the current two-year period. The final monitoring inspection of the current two-year period is being conducted and the inspector selects Subchapter N (Field Trips) on CLASS Form 2936, but also documents the following in the Narrative box: “Although Subchapter N was selected for this inspection, the operation has not had any field trips during this two-year period; therefore, compliance could not be evaluated with that subchapter.”

Registered Child Care Homes with a TWC Subsidy Agreement

For a registered child care home that has entered into a subsidy agreement with TWC, the inspector conducts an unannounced Standard x Standard monitoring inspection annually.

The inspector conducts the inspection within 12 months from the date the operation’s subsidy status changed in CLASS, or two years from the date of the last monitoring inspection, whichever comes sooner.

Additional Requirements for All Inspections on Registered Child Care Homes

Procedure

If CCR staff find any of the following conditions when inspecting a registered child care home that participates in the Child and Adult Care Food Program (CACFP) of the Texas Department of Agriculture, staff send a letter to the contract manager for the CACFP, using Form 2874 Report of Provider Contact available on the CCR SharePoint site:

  1. The operator is not caring for children.
  2. No children are in care when meals are served.
  3. The operator has a full-time job outside of the home.
  4. Meals are served, but child care is not provided.
  5. Only the operator’s own children are in care.
  6. The home has exceeded its capacity (serves more children than it is approved to serve).
  7. The children in care are older or younger than the home is approved to serve.

4133 Operations that are Not Regularly Inspected

Revision 23-4; Effective Nov. 30, 2023

Listed Family Homes

CCR staff inspect listed family homes only as part of an investigation.

See:

6231.1 Intake Reports to Be Investigated by CCR                       
6231.11 Reports Received for Listed Family Homes Caring for Related Children Only

Human Resources Code Section 42.044(b)

26 TAC Sections 745.8405(a)(1) and (2)

Small Employer-Based Child Care and Temporary Shelter Programs

CCR staff do not conduct regular monitoring inspections on small employer-based child care or temporary shelter programs. However, CCR staff may need to conduct any of the other types of inspections listed below:

  1. Application Inspections
  2. Follow-up Inspections
  3. Investigation Inspections
  4. Other

See:

4121 Application Inspections                       
4123 Follow-Up Inspections                       
4125 Investigation Inspections                       
4128 Other Types of Inspections

Human Resources Code Sections 42.153, 42.162, 42.203, 42.209

26 TAC Sections 745.8405(a)(7) and (8)

4140 Preparing for Inspections

4141 Preparing for Application, Initial, and Monitoring Inspections

Revision 24-2; Effective May 22, 2024

CCR staff prepare for each application, initial, or monitoring inspection by reviewing the:

  • operation’s record;
  • last enforcement action recommended for the operation;
  • frequency of inspections of the operation;
  • operation’s compliance history documented in CLASS;
  • operation’s fee payment history;
  • operation’s background check records documented in CLASS;
  • operation’s controlling person list documented in CLASS;
  • recommendations from enforcement team conferences for residential operations inspections; and
  • results of random-sampling inspections of CPAs if preparing to inspect a CPA.

CCR staff also complete an extended compliance history review for residential child care operation inspections per 4143 Conducting an Extended Compliance History Review (RCCR Only).

CCR staff use information obtained during the review to decide which minimum standards to evaluate during the planned inspection.

If deficiencies with standards that pose a risk to the health and safety of children were cited during a previous inspection or investigation, CCR staff must reevaluate the same and related standards at the inspection.

Procedure

Reviewing Background Materials

To prepare for an inspection, CCR staff review the following:

  1. the most recent information in CLASS on enforcement recommendations for the operation, including:
    • the recommendation;
    • any other enforcement actions taken in the past year by other HHSC staff; and
    • the operation’s recommended monitoring frequency;
  2. the capacity of the operation, the ages of the children served, the days, months, and hours of operation, and the services provided;
  3. the operation’s address, including the Location Address Validation Status and Mailing Address Validation Status, to determine if either status is set to Not Validated;
  4. the directions to the operation;
  5. the name of the designated director, operator, or licensed administrator;
  6. the qualifications of the designated director or operator;
  7. the last renewal date of the license of a designated director or licensed administrator, if applicable;
  8. a history of the operation, including:
    • prior investigations, including investigation and inspection findings and technical assistance provided;
    • prior inspections, including findings and technical assistance provided;
    • minimum standard rules that may need to be reevaluated for compliance;
    • conditions and expiration dates of any waivers, variances, and risk evaluations;
    • results of random-sampling inspections of CPA foster homes for inspections of child-placing agencies only as outlined in 4431 Using Random-Sampling Inspections to Regulate a Child-Placing Agency; and
    • prior extended compliance history reviews for residential operations;
  9. the operation’s fee payment history to determine if the operation is current on all applicable fees unless the operation is exempt from paying all fees per 5240 Verification of Fee Payments;
  10. the operation’s background check records in CLASS to verify the operation has complied with all background check requirements as outlined in 10000 Background Checks;
  11. the operation’s controlling person list in CLASS to determine if any person on the list has a status of Review per 5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation and the relevant subsections;
  12. recommendations from enforcement team conferences for inspections of CPAs and GROs as outlined in 4441 Enforcement Team Conferences for Child-Placing Agencies and General Residential Operations;
  13.  optional checklists, forms, reading guides, and applicable technical assistance materials.

Draft Form 2936 Child-Care Facility Inspection

After reviewing the background materials related to an operation but before conducting the inspection, CCR staff:

  • complete a draft inspection Form 2936 Child-Care Facility Inspection, located in CLASS; and 
  • upload the draft Form 2936 to CLASSMate.

Staff refer to 4142 Preparing for Investigation Inspections for information on preparing for investigation inspections.

Reference

Completing CLASS Form 2936 Child-Care Facility Inspection, 4161

4141.1 Monitoring Inspections During an Investigation

May 2020

If an operation is under investigation, inspectors consult with the CCR supervisor while preparing for the inspection to determine whether an inspection will interfere with the investigation. CCR staff do not conduct an inspection if it would interfere with an ongoing investigation.

4142 Preparing for Investigation Inspections

May 2020

Child Care Regulation (CCR) staff prepare for an investigation inspection by reviewing:

  1. intake report;
  2. operation’s record;
  3. last enforcement action recommended for the operation;
  4. frequency of inspections made of the operation;
  5. operation’s compliance history, as documented in CLASS; and
  6. operation’s background check records, as documented in CLASS.

CCR staff also complete an extended compliance history review for residential child care operations. See 4143 Conducting an Extended Compliance History Review (RCCR Only).

Draft Form 2936 Child-Care Facility Inspection

After reviewing the information listed above, but before conducting the inspection, CCR staff create and save the initial draft of Form 2936 Child-Care Facility Inspection in CLASS. See 4161 Completing CLASS Form 2936 Child-Care Facility Inspection.

For information on preparing for other types of inspections, see 4141 Preparing for Application, Initial, and Monitoring Inspections.

Procedure

Reviewing Background Materials

To prepare for an inspection, CCR staff review all of the following:

  1. the most recent information in CLASS on enforcement recommendations for the operation, including the recommendation, and the enforcement actions taken by other CCR staff;
  2. the capacity of the operation, the ages of the children served, the hours of operation (including days and months), and the services provided;
  3. the operation’s address and the directions to the operation;
  4. the name of the designated director, operator, or the name of the licensed administrator;
  5. a history of the operation, including all of the following:
    • prior investigations;
    • previous deficiencies;
    • conditions and expiration dates of any waivers or variances and risk evaluations, if included as part of the allegations; and
    • prior extended compliance history reviews (for residential operations);
  6. the operation’s background check records in CLASS to verify that the operation has complied with all background check requirements (see 6470 Reviewing Background Check Records During Investigations and 10700 Monitoring Operations for Compliance with Background Check Requirements); and
  7. optional checklists, forms, reading guides, and applicable technical assistance materials.

Create a Draft Inspection Form in CLASS

After reviewing the background materials related to an operation but before conducting the inspection, CCR staff:

  • complete a draft inspection Form 2936 Child-Care Facility Inspection, in CLASS; and
  • download the draft Form 2936 to CLASSMate.

See 4161 Completing CLASS Form 2936 Child-Care Facility Inspection.

4143 Conducting an Extended Compliance History Review (RCCR Only)

Revision 24-1; Effective Feb. 20, 2024

An inspector conducts an extended compliance history review (ECHR) as part of inspecting a residential child care operation. This requirement applies to the following types of inspections: monitoring, investigation, and monitoring and investigation. 

The inspector completes a review and assessment of certain high-risk areas that occurred in the past five years while preparing for the inspection. These include:

  1. the number of abuse, neglect or exploitation intakes;
  2. the number of confirmed abuse, neglect or exploitation findings; and
  3. the number of citations issued for corporal punishment.

When conducting this review and assessment, the inspector reviews data for the current operation and all prior operation numbers listed under the Issuance History section on the Operation Main page in CLASS. 

After reviewing all the information gathered and before conducting the inspection, the inspector completes and documents a written narrative analysis that describes their evaluation of the operation’s compliance history, and any risks identified. 

Before finalizing the inspection, the inspector also documents the steps the inspector took during the inspection to mitigate any risk identified during the assessment, inspection, or both.

Procedure

To complete the review and assessment of certain high-risk areas noted above, the inspector does the following:

Type of Information to be ReviewedCLASS Page on Which this Information is ListedHow CLASS Page is Accessed
Number of abuse, neglect, or exploitation intakes at the operation and all prior operation numbers listed under the Issuance History section on the Operation Main page in CLASS.ANE Intake and Finding DetailsBy clicking the View Compliance History button in the Extended Compliance History Review section on the Inspection Details page.
Number of confirmed abuse, neglect, or exploitation findings at the operation and all prior operation numbers listed under the Issuance History section on the Operation Main page in CLASS.ANE Intake and Finding DetailsBy clicking the View Compliance History button in the Extended Compliance History Review section on the Inspection Details page.
Number of citations issued for corporal punishment at the operation and all prior operation numbers listed under the Issuance History section on the Operation Main page in CLASS.Corporal Punishment Citation DetailsBy clicking the View Compliance History button in the Extended Compliance History Review section on the Inspection Details page.

The inspector must review the investigation or inspection with the finding(s) if their review of this history shows findings of abuse, neglect or exploitation, or a violation of a minimum standard related to corporal punishment, and consider:

  1. the Explanation of the Disposition Based on Preponderance narrative box located on the Investigation Conclusion page, if applicable;
  2. the allegation narrative for the citation if applicable;
  3. whether the allegations involved a child under 6 years;
  4. any follow-up activity that was completed; and
  5. any patterns of: 
    • investigations; or 
    • the agency homes involved in the investigations.

During the inspection, the inspector addresses with the person in charge any risks identified during:

  • the inspector’s review of the ANE Intake and Finding Details and Corporal Punishment Citation Details pages in CLASS;
  • the inspection; or
  • both.

4143.1 Assessing the Extended Compliance History

August 2020

Procedure

The inspector conducts an overall assessment of the information to determine if any of the following actions are necessary:

  1. a discussion with the operation regarding patterns or trends;
  2. a review of additional training records or serious incident reports;
  3. a review of additional agency home history; or
  4. recommend enforcement action.

4143.2 Documenting an Extended Compliance History Review

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector does the following for each inspection requiring an ECHR:

ActionWhen Action is Completed
  1. Documents the following information in the Extended Compliance History Review section on the Inspection Details page in CLASS:
    1. the date the inspector reviewed the ECHR;
    2. the total number of the following for the current operation and all prior operation numbers identified on the Operation Main page under the Issuance History section:
      1. abuse, neglect, or exploitation intakes received;
      2. the number of confirmed findings of abuse, neglect, or exploitation;
      3. the number of citations issued for corporal punishment; and
    3. the inspector’s assessment of the information reviewed, including risks identified, by completing each applicable field on the Extended Compliance History Assessment page, accessed by clicking the Complete/View Assessment button in the Extended Compliance History Review section on the Inspection Details page.
No earlier than five days before the inspection.
  1. Notifies the appropriate supervisor by email that the Extended Compliance History Review section has been completed if the ECHR is for an inspection at a foster home.
  • P1 and P2 investigations when CCR is required to initiate by conducting an inspection: As early as possible before the inspection.
  • P1 and P2 investigations when CCR is not required to initiate by conducting an inspection: At least two days before the inspection.
  • P3 investigations: At least two days before the inspection.
  • P4 Investigations: At least two days before the inspection.
  1. Creates a draft of CLASS Form 2936 Child Care Facility Inspection and downloads the saved draft to CLASSMate.

If the ECHR is for a foster home, after the supervisor replies to the inspector by email that the ECHR has been approved.

If the ECHR is not for a foster home, after the inspector completes the Extended Compliance History Review section.

  1. Documents a summary of the steps taken to mitigate risk at the operation in the Steps Taken to Mitigate Risk field on the Inspection Details page in CLASSMate.
During the inspection and before signing and finalizing CLASS Form 2936.

References: 

Completing CLASS Form 2936 Child-Care Facility Inspection, 4161 

Extended Compliance History Review Guide on the CCR SharePoint site.

4143.21 Supervisor Oversight of Extended Compliance History Review Documentation

Revision 24-1; Effective Feb. 20, 2024

Procedure

A supervisor ensures compliance with the ECHR documentation requirements outlined in 4143.2 Documenting an Extended Compliance History Review by:

  • verifying the inspector is completing an ECHR in the required time frame, for each inspection that requires an ECHR;
  • reviewing, providing feedback, and approving the completed ECHR in CLASS for all inspections of foster homes before the inspector conducts the inspection; and
  • if case reading errors are identified on any ECHR, meeting with the inspector within five days of receiving the case reading results to review: 
    • the results of the case reading; and
    • applicable policy and procedures.

4143.22 Documenting Supervisory Approval of an Extended Compliance History Review for an Inspection of a Foster Home

Revision 24-1; Effective Feb. 20, 2024

A supervisor documents approval of an ECHR for an inspection of a foster home within one day of approving the ECHR.

Procedure

To document approval of an ECHR for an inspection of a foster home, the supervisor enters the following information as a Chronology in CLASS using the Investigation category type:

  • Inspection Id for the associated inspection, listed on the Inspection Details page;
  • date listed in the Inspection Start Date field on the Inspection Details page;
  • name of the inspector completing the inspection; and
  • date the supervisor approved the ECHR.

4150 Conducting Inspections

Revision 23-4; Effective Nov. 30, 2023

When conducting any type of inspection, CCR staff must:

  1. identify themselves as HHSC CCR staff and state the specific purpose of the inspection upon arrival at the site;
  2. assess the risk to children;
  3. terminate the inspection if the safety of CCR staff is threatened;
  4. document the inspection results in CLASS (see 4160 Documenting the Results of an Inspection);
  5. conduct an exit interview at the end of the inspection; and
  6. offer technical assistance to help the permit holder identify problems that contribute to deficiencies with the statutes, administrative rules and minimum standards and understand how to comply with the requirements.

26 TAC Section 745.8401; 745.8403

Procedure

CCR staff must observe the following requirements when conducting any type of inspection on an operation:

  1. Carry a valid HHSC identification card and present it to the person in charge.
  2. Explain to the person in charge, upon arrival:
    1. the purpose of the inspection;
    2. the relevant statutes, administrative rules and minimum standards by which compliance will be evaluated;
    3. that compliance with additional statutes, administrative rules and  minimum standards may be evaluated as the situation demands; 
    4. that photographs and video may be taken by CCR during the inspection; and
    5. the operation may not record or listen to any CCR interview with staff, caregivers, or children or internal discussion between CCR staff, but an individual may record their own interview.
  3. Obtain written consent before interviewing owner’s biological or adopted children, even when the owner’s or operator’s children are in care at the operation. Other children in care may be interviewed, provided the child’s parent has not previously refused to allow CCR staff to interview his or her children. See 6000 Investigations.
  4. Terminate the inspection at any time when CCR staff feel unsafe. Staff must not be placed at risk. Report termination of an inspection to the supervisor. If the danger arises from the caregiver’s resistance to the inspection, follow the procedures in 4159 Handling Resistance or Refusal to Allow Inspection.
  5. Follow the procedures in 4520 Handling Immediate Danger to Children, if children are at risk.
  6. Follow the procedures in 4156, When an Inspection is Attempted, if there is no one at the operation or no children are in care.
  7. Follow the procedures in 6231.21 Upgrading an Intake Report to an Abuse, Neglect, or Exploitation Intake Report, if abuse or neglect is reported or is observed during the inspection.

4150.1 Additional Requirements for Investigation Inspections

Revision 23-4; Effective Nov. 30, 2023

The investigator conducts an unannounced investigation inspection at an operation that is the subject of the investigation according to the time frames in 6431 Requirements for Conducting Unannounced Inspections.

The first investigation inspection to the operation may be announced if the investigator has:

  1. attempted one or more unannounced inspections;
  2. obtained supervisory approval to conduct an announced inspection; and
  3. documented the following in the Observations Made During Inspection narrative box on the Investigation Conclusion page in CLASS:
    • The reason for an unannounced inspection could not be conducted; and
    • The dates supervisory approval was requested and obtained.

Subsequent investigation inspections may be announced or unannounced.

Inspection Not Required

An investigation inspection is not required when the investigation was assigned a priority of 5 (P5).

See 6241 Classifying the Priority of the Intake Report.

26 TAC Section 745.8405

4150.2 Additional Requirements for Initial and Monitoring Inspections

April 2021

The inspector evaluates the operation’s compliance in validating its Employee List at every initial and monitoring inspection.

See 10730 Validating the Employee List for an Operation

4151 Operation Walk-Throughs

June 2015

Any time Licensing staff visit an operation other than a child placing agency, staff perform an operation walk-through and cite any deficiencies observed during the walk-through.

Licensing staff walk through all of the following areas in the operation:

  1. Indoor and outdoor activity areas;
  2. Areas where meals are prepared and served;
  3. Restrooms accessible to children; and
  4. Sleeping areas.

Procedure

During all inspections, Licensing staff walk through the operation and assesses the risk to children related to obvious violations of the Licensing statutes, administrative rules, or minimum standards related to:

  1. supervision of children;
  2. child/caregiver ratio;
  3. swimming pools and transportation safety, if applicable;
  4. fire, safety, and sanitation requirements; and
  5. responsibilities of the director, administrator, staff, or caregivers.

4151.1 Exceptions for an Investigation Inspection

June 2015

If Licensing staff has conducted previous investigations at the operation and a supervisor determines that Licensing staff is sufficiently familiar with the operation’s compliance and investigation history, the supervisor may grant an exception that allows Licensing staff to conduct a condensed operation walk-through.

However, at minimum, Licensing staff must walk through:

  1. the sleeping area of the alleged victim, if applicable;
  2. the restrooms accessible to the alleged victim, if applicable; and
  3. the specific area where the incident being investigated is alleged to have occurred.

When granting approval, the supervisor explains to Licensing staff which areas of the operation that Licensing staff is required to conduct a walk-through.

Licensing staff documents the exception approved by the supervisor in CLASS.

Procedure

For investigation inspections, Licensing staff is responsible for:

  1. obtaining approval from the supervisor before conducting a condensed operation walk-through;
  2. checking for and citing any obvious plain-view violations observed during the operation walk-through; and
  3. inspecting the specific area where the incident being investigated is alleged to have occurred and citing any necessary deficiencies.

For an investigation inspection, Licensing staff documents the exception to conducting a full walk-through in the Observations Made During the Inspection section of the Investigation Conclusion page in CLASS. Documentation must include:

  • the areas included in the walk-through; and
  • the date the supervisor approved the exception.

4151.2 Exceptions for a Follow-Up Inspection

June 2015

If a follow-up inspection is conducted within the time frame referenced in 4320 Following Up With an Inspection, CCR staff may conduct a condensed walk-through limited to the area of the operation relevant to the follow-up inspection.

If a follow-up inspection is not conducted within the time frames referenced in 4310 Time Frames for Conducting Follow-Up. CCR staff must conduct a full walk-through.

4152 Reviewing Restrictions, Conditions, Waivers, and Variances

June 2016

At each initial or monitoring inspection, Licensing staff review any:

  • restrictions on a permit;
  • conditions on a permit;
  • conditions related to a waiver or variance still in effect;
  • conditions related to a risk evaluation still in effect;
  • conditions related to a corrective action still in effect; and
  • waivers or variances that have expired since the last monitoring inspection.

During an investigation or follow-up inspection, Licensing staff review and evaluate the operation’s compliance with any restrictions or conditions if they are relevant to the investigation or follow-up being conducted.

4152.1 Documenting Deficiencies Related to Restrictions and Conditions

Revision 24-1; Effective Feb. 20, 2024

CCR staff document an operation’s deficiencies in CLASS after reviewing the restrictions and conditions.

Procedure

CCR staff document any violations of restrictions or conditions on CLASS Form 2936 Child Care Facility Inspection for each inspection where restrictions or conditions are reviewed, by:

  • citing the CCR statute, administrative rule, or minimum standard that was violated;
  • describing the restriction or condition that was violated.
  • using numbers or letters to reference each restriction or condition when it is being evaluated, if multiple restrictions or conditions were originally referenced using numbers or letters;
  • describing the deficiency observed;
  • describing how the deficiency was identified, such as if staff reviewed paperwork, interviewed the operation’s staff or the children, or took photographs; and
  • documenting the following, if the deficiency was corrected during the inspection:
    • If the deficiency was corrected during the inspection, CCR staff explain how it was corrected.
    • If the deficiency was not corrected during the inspection, CCR staff:
      • explain what correction is needed to either meet the conditions or to comply with the CCR statute, rule or minimum standard; and
      • provide a correction deadline date.

References:

Completing CLASS Form 2936 Child Care Facility Inspection, 4161                  
Inspecting an Operation During Probation, 7441

4152.2 When an Operation Repeatedly Fails to Meet Restrictions or Conditions

Revision 24-1; Effective Feb. 20, 2024

CCR staff consult with the supervisor on what action to take if the operation repeatedly fails to meet the restrictions or conditions.

References:

Handling Changes in an Operation, Type of Permit, Location, and Ownership, 3800 
Revoking a Waiver or Variance, 5180 
Amending Conditions of a Waiver or Variance, 5181 
Voluntary Actions and Enforcement Actions, 7000 
Background Checks, 10000

4152.3 Discussing Waivers and Variances

Revision 24-1; Effective Feb. 20, 2024

CCR staff discuss with the operation any waivers or variances that have expired since the last monitoring inspection. This is to assess the outcome of the waiver or variance and document the outcome in CLASS. Staff also discuss any waivers or variances that are still in effect to determine if any are no longer needed.

Reference: 5190 Documenting Outcomes for Waiver and Variance.

4153 Reviewing Records at an Operation or a Central Administrative Location

Revision 23-4; Effective Nov. 30, 2023

CCR staff review the records of licensed, registered and certified operations to evaluate compliance with relevant CCR statutes, administrative rules and minimum standards.

CCR staff must review a minimum number of records based on the operation’s type and its capacity unless the inspection is being conducted during night hours at a residential operation.

The records are reviewed at the operation or at a central administrative location. If a Child-Placing Agency (CPA) operates at a main office or branch office that is not open between 8:00 a.m. and 5:00 p.m. Monday through Friday, the CPA must ensure that the office and employees are available upon CCR’s request for the purpose of inspecting or investigating the CPA. CCR staff may make copies of documents, as needed, but they do not remove original records from the operation.

26 TAC Section 745.8405(c); 745.8413(c)  

After evaluating records as part of an inspection, CCR staff document the type and number of records evaluated on CLASS Form 2936 Child-Care Facility Inspection.

See:

4161 Completing CLASS Form 2936 Child-Care Facility Inspection.
4153.4 Reviewing Records at a Central Administrative Location.

4153.1 Selecting a Sample of Records During Each Two-Year Period

Revision 23-2; Effective June 26, 2023

Procedure

CCR staff must read records that relate to:

  1. children enrolled in or admitted to the operation;
  2. personnel; and
  3. serious incident reports (for residential operations).

CCR staff do not sample background check records. For policies on reviewing background check records, see 4153.2 Reviewing Background Check Records During Inspections.

When selecting records to read, CCR staff must not select records of children who are no longer enrolled in the operation or staff who are no longer employed by the operation, unless CCR is evaluating standards related to discharge requirements or the availability of records.

Additional Requirements for Child-Placing Agencies

In addition to the types of records listed above, staff read CPA records that relate to:

  • verified foster homes;
  • approved adoptive homes; and 
  • birth parents who have applied for services (for CPAs that do private adoptions).

When evaluating for standards related to transfers and agency home closure requirements, including agency home closure recommendations, staff select a sample of homes that within the past two years:

  • transferred to another CPA;
  • transferred to the CPA from another CPA; and 
  • closed.

Exception for personnel records at a CPA: If a CPA maintains personnel records only at the main office and the records are not available electronically at the branch office(s), the CCR staff assigned to the main office is responsible for selecting and reading personnel records for both the main office and all branch offices.

4153.11 Determining the Number of Records to Read at a Monitoring Inspection (All Record Types except Serious Injury Reports)

October 2020

Procedure

During at least one monitoring inspection during the operation’s two-year compliance period, CCR staff read records associated with the subchapter(s) being evaluated during the inspection (as indicated on the Inspections Details page in CLASS). The minimum number of each type of record that staff must evaluate is based on:

  • the operation’s capacity, if the operation is not a child-placing agency; or
  • the total number of verified foster homes and/or approved adoptive homes, if the operation is a child-placing agency. If reading personnel records for the main office and all branch offices, staff must base the number of personnel records on the total number of homes for all CPA office locations.
Capacity or Number of HomesMinimum Number of Each Type of Record to Review During the Two-Year Compliance Period (Except Serious Injury Reports)
44 or less4
45-746
75-948
95 or more10

CCR staff may read more than the minimum number of records, if necessary, based on the risk identified at the operation or patterns of deficiencies observed.

If a CPA maintains personnel records only at the main office, and the records are not available electronically at the branch office(s), CCR staff must review personnel records from each branch during the two-year compliance period. To help ensure that all records are reviewed, CCR staff document in a Chronology the number of records reviewed from each branch office.

4153.12 Determining the Number of Serious Incident Reports to Read at a Monitoring Inspection (Residential Child Care Only)

October 2021

During each monitoring inspection of a general residential operation or child-placing agency, CCR staff read the minimum number of serious incident reports according to the operation’s capacity or number of homes indicated in the following chart:

Capacity or Number of HomesMinimum Number of Serious Injury Reports to Review During Each Inspection
44 or less4
45-746
75-948
95 or more10

When conducting a Heightened Monitoring (HM) inspection, the HM inspector follows the procedures outlined in 11454 Determining the Type and Number of Records to Review at a Heightened Monitoring Inspection of a GRO or CPA Office.

4153.13 Sampling Additional Records During a Follow-Up Inspection

October 2020

During a follow-up inspection conducted to confirm that the operation is now in compliance, CCR staff may sample additional records to ensure compliance. See 4300 Conducting a Follow-Up with an Operation.

4153.2 Reviewing Background Check Records During Inspections

June 2015

During each application, initial, and monitoring inspection, Licensing staff review background check records on all persons required to have a background check to determine whether the operation is in compliance with all background check requirements.

During each investigation inspection, Licensing staff ensures the operation has complied with background check requirements concerning the persons involved in the investigations, including principals and any collaterals interviewed. For follow-up inspections, Licensing staff review any background check records relevant to the follow-up being conducted.

See 4140 Preparing for Inspections, and 10700 Determining Compliance with Background Check Requirements.

4153.3 Reviewing Information on Controlling Persons

June 2015

Procedure

During inspections with a category of ApplicationInitial, or Monitoring, the inspector reviews the list of controlling persons with the person in charge to determine if:

  1. the list accurately reflects the status of all controlling persons for the operation;
  2. the information entered on each controlling person on the Controlling Person Detail page in CLASS is accurate; and
  3. the operation has complied with all requirements on controlling person in statute, administrative rules, and minimum standards.

Controlling Person with a Status of Review

If any controlling person on the list has a status of Review, the inspector follows the procedures in 7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS.

List of Controlling Persons in CLASS is Inaccurate

If the list of controlling persons in CLASS is inaccurate, the inspector:

  1. documents the changes in a Chronology (category, Controlling Persons);
  2. directs the operation to submit updated information according to the procedures in 5420 When and How Applicants and Operations Submit Information on Controlling Persons; and
  3. cites a deficiency of the appropriate minimum standard, if the operation did not notify Licensing within two days of when a person became or ceased to be a controlling person.

4153.4 Reviewing Records at a Central Administrative Location

December 2019

If an operation, other than a child-placing agency, maintains records at a central administrative location, the inspector must visit the central location to review records within seven days before or after conducting an Initial or Monitoring inspection.  

Reviewing records at a central administrative location is not documented as an inspection in CLASS.

Licensing staff documents the review of records in the following manner:

  1. documents the visit to the central administrative location in CLASS Chronology;
  2. selects subchapter(s) applicable to the review of records on CLASS Form 2936 Child Care Facility Inspection for the inspection that precedes or follows the review of records;
  3. cites deficiencies:
    1. as an assessment in CLASS; or
    2. on CLASS Form 2936 associated with the inspection, if reviewing records before conducting the inspection at the operation and deficiencies do not present high risk to children in care.

Licensing staff follows up on deficiencies with the operation that were cited or with the person who maintains records at the central administrative location.

4154 Technical Assistance

4154.1 Providing Technical Assistance

Revision 23-4; Effective Nov. 30, 2023

CCR staff provide technical assistance as needed to help applicants, permit holders and operation employees understand and comply with statutes, administrative rules and minimum standards.

CCR staff provide technical assistance for each high-weighted violation.

Technical assistance supplements CCR's regulatory requirements by providing additional information or clarification. Technical assistance does not repeat the language as written in statutes, administrative rules or minimum standards.

All technical assistance provided by CCR staff must be documented in CLASS (4154.2 Documenting Technical Assistance).

Procedure

CCR staff provide technical assistance by giving applicants, permit holders and operation employees additional guidance and information to help them understand and comply with requirements in a specific statute, administrative rule or minimum standard.

Technical assistance may be provided orally or in writing: 

  • at any time during or at the conclusion of an inspection or investigation, including on the inspection form or investigation letter, regardless of whether the operation is deficient or in compliance with a particular statute, administrative rule or minimum standard; 
  • as part of an ongoing regulatory process; or 
  • at the operation’s request. 

26 TAC Sections 745.8581 and 745.8583 

Distributing Documents as Part of Providing Technical Assistance

Any documents CCR staff distribute as part of providing technical assistance must:

  • come from the Technical Assistance Library (TA Library); or
  • be an approved HHSC form.

CCR staff may print or email documents from the TA Library to applicants, permit holders or operation employees.

4154.2 Documenting Technical Assistance

May 2020

Child Care Regulation (CCR) staff document all technical assistance provided to an applicant, permit holder, or operation employee in CLASS, including the:

  • name of any technical assistance resource or document given; and
  • details of discussions regarding how to achieve or maintain compliance.

Documenting Technical Assistance Provided During an Inspection

Procedure

To document technical assistance provided during the course of an inspection, CCR staff enter the following information on the Standards Detail page of the inspection in CLASSMate or CLASS:

  1. Select an individual CCR statute, administrative rule, or minimum standard and choose the appropriate finding.
  2. Mark the Technical Assistance check box.
  3. Document in the CLASS or CLASSMate Technical Assistance Documentation narrative box:
    • a summary of the information provided to the operation, and
    • the documents that were shared with the operation. See 4154.1 Providing Technical Assistance.

Documenting Technical Assistance Provided Outside of an Inspection

Procedure

If CCR staff provide technical assistance (TA) outside the course of an inspection, staff document the TA in the operation's record in CLASS as follows:

  1. Create a new chronology, selecting Operation General for the type of chronology.
  2. List which minimum standard, administrative rule, or statute the assistance was related to.
  3. Summarize the information provided.
  4. List which documents were shared with the operation. See 4154.1 Providing Technical Assistance.

4155 Determining When a Deficiency Can Be Corrected at Inspection

March 2019

CCR staff evaluate certain criteria to determine whether a deficiency may be corrected at inspection or whether CCR staff must follow up on a deficiency with or without an inspection. CCR staff consider the following criteria:

  • risk to children;
  • scope and severity of the deficiency;
  • time and expense needed to correct the deficiency;
  • provider’s previous compliance history, including previous enforcement actions;
  • provider’s willingness and ability to comply; and
  • action taken by the operation to comply.

See 4310 Time Frames for Conducting a Follow-Up

Procedure

CCR staff may indicate that the operation corrected the deficiency at the inspection if CCR staff determine that:

  • the operation has the ability to correct the deficiency at the time of the inspection; and
  • no follow-up action is needed to further evaluate compliance with the minimum standard.

Before concluding the inspection, CCR staff document that the operation corrected the deficiency at inspection. On the CLASS Form 2936 Child-Care Facility Inspection, CCR staff:

  • select the Corrected at Inspection check box associated with the deficiency that was corrected; and
  • document how the operation corrected the deficiency at inspection in the Narrative section associated with the deficiency.

4156 When an Inspection is Attempted

Revision 23-2; Effective June 26, 2023

For all inspections, except follow-up inspections on operations with a suspended, revoked, or denied permit, when there is no contact person at the operation when CCR staff arrives to conduct the inspection, CCR staff:

  • document in CLASSMate and in CLASS that the inspection was not carried out for lack of a contact at the operation; and
  • establish contact with the operation to determine whether the operation is providing child care services, unless contacting the operation would impede an ongoing investigation. CCR staff document all contacts or attempted contacts in CLASS as a Chronology with a category of Monitoring or Investigation, as appropriate.

For instructions on attempted inspections related to a follow-up inspection on an operation with a suspended, revoked, or denied permit, see 7636 Follow-Up to Final Notice of Suspension, Revocation, or Denial.

Procedure

Licensed, Certified, Registered, or Listed Operations

CCR staff document an attempt to inspect a licensed, certified, registered, or listed operation as follows:

  1. Complete CLASS Form 2936 Child-Care Facility Inspection, documenting the attempted inspection and cite any observed deficiencies of CCR statutes, administrative rules, or minimum standards, if appropriate.
  2. If mailing the form would not impede an ongoing investigation, CCR staff include in the form:
    • a request that the operation contact CCR staff within 10 days of receiving the form or letter, and
    • a warning that failure to respond may be interpreted by CCR as an indication that the operation has voluntarily closed.
  3. Mail a copy of the form to the operator, applicant, or designee by regular mail.
  4. If mailing the form would impede an ongoing investigation, CCR staff consult with the supervisor on when to mail the form to the operator, applicant, or designee.

If CCR staff mail CLASS Form 2936 after the attempted inspection, CCR staff follow the procedures in the chart below, based upon the operation’s response to receiving CLASS Form 2936:

If …then …
the operation does not respond on or before the first workday after 13 calendar days from the date CLASS Form 2936 was mailed (10 days after the date that the operation is presumed to receive the notification by regular mail) …

re-inspect to ensure the operation has closed.                       
If there is no staff at the operation during the second attempt to inspect:

  • enter the inspection in CLASS as Attempted (see 5540 Voluntary Closure); and
  • close the operation in CLASS.
the operation notifies CCR that it is still in business but has no children in care …notify the operation that it must be open to inspection and maintain compliance with CCR statute, administrative rules, or minimum standards, unless the person in charge chooses to close temporarily. See 5530 Voluntary Suspension.
the operation responds and notifies CCR that it is still in business and children are in care …conduct an inspection, and continue to conduct inspections, thereafter, as appropriate. See 4140 Preparing for Inspections.

CPA Foster Homes – Attempted Investigation Inspections

To document an attempt to conduct an investigation inspection of a foster home verified by a child-placing agency (CPA), CCR staff do as follows:

  1. Complete CLASS Form 2936 Child-Care Facility Inspection, documenting the attempted inspection and cite any observed deficiencies of CCR statutes, administrative rules, or minimum standards, if appropriate.
  2. If mailing the form would not impede an ongoing investigation, CCR staff include in the form:
    • a request that the CPA contact CCR staff within 10 days of receiving the form or letter, and
    • a warning that failure to respond may be interpreted by CCR as an indication that the foster home is no longer verified by the CPA. 
  3. Mail a copy of the form to the CPA by regular mail.
  4. If mailing the form would impede an ongoing investigation, CCR staff consult with the supervisor on when to mail the form to the CPA.

After completing CLASS Form 2936, CCR staff:

  • consult with the supervisor on how to proceed with the investigation; and
  • document the supervisor’s guidance in CLASS as a Chronology with the type of Investigation.

CPA Foster Homes – Attempted Random-Sampling Inspections

If the inspector attempts a random-sampling inspection of a foster home that is verified by a child-placing agency (CPA), the inspector follows procedures in 4435.3 Attempted Random-Sampling Inspections.

4157 Visiting an Operation to Conduct an Investigation Interview When the Operation is Not the Subject of the Investigation

August 2012

When Licensing staff visit an operation as part of an investigation to interview a child or a person of interest and the operation is not involved in the allegations, Licensing staff:

  1. Document the inspection on Form 2936 Child-Care Facility Inspection as Other. See 4161 Completing Form 2936 Child-Care Facility Inspection.
  2. Do not conduct a walk-through inspection, but do cite any obvious, plain-view deficiency seen or heard.
  3. Do not evaluate background check requirements.
  4. Do not evaluate the operation’s compliance with minimum standards.

4158 Avoiding Duplication of Child Day Care Inspections

July 2019

Child Care Regulation (CCR) staff do not monitor a licensed child care center, school-age program, before or after-school program, licensed child care home, or registered child care home for compliance with minimum standards when another state agency or political subdivision has inspected it for compliance with equivalent standards. See Texas Human Resources Code §§42.044242.0443.

4158.1 Avoiding Duplication of Child Day Care Inspections by State Agencies and Political Subdivisions

May 2021

To eliminate redundancy, CCR reviews documentation from other state agencies and political subdivisions that inspect the same operations as CCR. CCR staff do not inspect an operation for compliance with a minimum standard if another agency or political subdivision:

  • inspected the operation for compliance with an equivalent requirement within the last 12 months before the CCR inspection; and
  • found the operation to be in compliance, or the operation provides documentation showing that it has:
    • corrected deficiencies to the satisfaction of the other agency or political subdivision; and
    • complied with all restrictions or conditions placed by the other agency or political subdivision.

CCR staff always investigate reports of alleged violations of minimum standards, regardless of whether another state agency or political subdivision has inspected the operation.

Procedure

The entities that inspect child day care operations for compliance with standards that are equivalent to CCR’s minimum standards are:

  • Immunization Branch of the Texas Department of State Health Services (DSHS);
  • State Fire Marshal’s Office (SFMO);
  • Child and Adult Care Food Program (CACFP) of the Texas Department of Agriculture; and
  • Some political subdivisions (cities, counties, junior college districts or public health districts), depending on what inspection requirements exist in those areas.

Actions Required by CCR

If a state agency or political subdivision finds that an operation is not in compliance with a requirement that is equivalent to a CCR law, administrative rules, or minimum standards and the operation does not correct the deficiency, CCR staff:

  • evaluate the operation’s compliance with applicable minimum standards to ensure protection of the children; and
  • document any compliance or correction issues.

In All Cases

In all cases, during each inspection of an operation, CCR staff:

  • evaluate the operation for obvious fire, sanitation, and safety hazards; and
  • cite the deficiencies observed.

If deficiencies related to fire safety or sanitation are cited at a licensed child care center, school-age program, or before or after-school program, report those deficiencies to the appropriate state agency or political subdivision, if applicable.

Texas Human Resources Code §42.0442; §42.0443

Civil Practices and Remedies Code §101.001(3)(B)

Fire, Immunization, Nutrition and Sanitation Standards for Child Day Care Facilities

CCR staff do not evaluate for compliance with any part of the following minimum standards if the operation has documentation showing that another state agency or political subdivision evaluated equivalent requirements within the past year and there are no outstanding deficiencies:

Inspection TypeMinimum Standard Rules
Fire

§§744.3561; 744.3563; 744.3565; 744.3603-3619

§§746.5207; 746.5209; 746.5211; 746.5303-5319

§§747.5007; 747.5011-5015; 747.5105-5117

Immunization

§§744.613-623

§§746.613-625

Nutrition

§§744.2401-2407; 744.2411-2421

§§746.3301-3303; 746.3319

§§747.3101-2103; 747.3119

Sanitation

§§744.2419; 744.2507; 744.2513; 744.2525-2531; 744.2701-2703; 744.3001-3011

§§746.3317; 746.3407; 746.3427; 746.3429; 746.3431; 746.3433; 746.3901; 746.3903; 746.4419; 746.4403; 746.4405; 746.4407; 746.4409; 746.4411; 746.4417

§§747.3117; 747.3203-3209; 747.3223-3229; 747.3701-3703; 747.4201-4207

4158.2 Child Day Care Operations Located at Public School Facilities

July 2019

CCR does not evaluate for compliance with the following minimum standards if the operation is in a public school facility operated by the local independent school district.

TopicMinimum Standard Rules
Sanitation Inspection

§744.2501

§746.3401(a)

Fence

§744.2953

§746.4305(1)

Active Play Equipment

§744.3101

§746.4601(11)

Fire Inspection

§744.3501

§746.5101(a)

Fire–Extinguishing System

§744.3601

§746.5301

Smoke Detectors

§744.3611

§746.5311(b)

Gas

§744.3651

§746.5401

4159 Handling Resistance or Refusal to Allow Inspection

Revision 23-4; Effective Nov. 30, 2023

An operation’s employees must admit CCR staff and not delay or interfere with CCR staff from making inspections during its hours of operation.

Human Resources Code Sections 42.044(a) and 42.04412 

26 TAC Sections 745.8411; 745.8413

Procedure

If the employees of an operation refuse to allow, delay or interfere with an inspection during the operation’s business hours, CCR staff follow the procedures outlined below.

If …then …

the operation’s employees:

  • refuse to admit CCR staff to the operation;
  • attempt to delay or interfere with CCR staff from inspecting the operation during its business hours;
  • refuse to allow CCR staff to inspect an area of the operation that affects or could affect the children’s health, safety or well-being; or
  • delay or interfere with an attempt to inspect or investigate, so that CCR staff cannot carry out their responsibilities…

CCR staff:

  1. advise the person in charge of the operation that the inspection or investigation is authorized by Human Resources Code Sections 42.044(a) and 42.04412 and HHSC may take any or all of the following actions if the resistance continues:
    • issue the operation a deficiency;
    • take an enforcement action against the operation; or
    • seek a court order granting access to the operation and records.
  2. obtain the name of the person in charge at the operation, if possible;
  3. cite interference of the inspection or investigation and violation of rules using CLASS Form 2936 Child-Care Facility Inspection. Include documentation on the form that, if CCR inspections are further denied, interfered or delayed, CCE may take enforcement action against the operation’s permit under Human Resources Code Sections 42.071 and 42.072;
  4. consult with the CCR supervisor about the necessary follow-up actions;
  5. see 4520 Handling Immediate Danger to Children, if children are in immediate danger;
  6. take one or more of the following actions, depending on the circumstances:
    • schedule an appointment with the permit holder or applicant.
    • make an unannounced inspection of the operation.

See 7600 Adverse Actions.

4159.1 Attempted Interference by a Licensed Administrator or Applicant for an Administrator’s License

Revision 23-4; Effective Nov. 30, 2023

A licensed administrator or applicant for an administrator's license may not attempt to interfere with HHSC’s ability to conduct agency business.   

Conduct that constitutes an attempt to interfere with HHSC ability to conduct agency business includes: 

  • interfering with, coercing, threatening, intimidating, retaliating against or harassing an HHSC staff member in connection with the person's exercise of HHSC regulatory duties; or
  • engaging in conduct or directing language at HHSC staff that a reasonable person would find to be harassing, intimidating or threatening to HHSC staff.

26 TAC Sections 745.8411, 745.8929 and 745.8930

Procedure

If the Attempted Interference Occurs During Routine Monitoring

During an inspection, investigation or while evaluating an operation, if CCR staff encounter an attempt by a licensed administrator or applicant for an administrator’s license to interfere with staff’s ability to monitor the operation, CCR staff:

  1. consult with the supervisor to determine whether the underlying action or behavior supports a citation for either 26 TAC Section 745.8411 or 745.8929. When determining whether a citation is warranted, staff consider:
    1. the action or behavior observed such as unauthorized recording outside of normal operation surveillance or not allowing CCR staff to interview operation staff or children as part of an investigation; 
    2. the impact the action or behavior had on staff’s ability to complete regulatory activities; and
    3. whether there is evidence available to support a citation for attempted interference;
  2. if the supervisor approves, cite either 26 TAC Section 745.8411 or 745.8929, whichever is most appropriate;
  3. document details of the incident including specifics on how the incident impacted the staff’s ability to conduct regulatory activities in a Chronology in CLASS; and
  4. upload any evidence to support the incident of attempted interference in the CLASS Document Library.

The supervisor notifies the Licensed Administrator Program Specialist of the incident for review and possible referral to Child Care Enforcement. 

See 9710 Handling Attempts to Interfere or Interference by a Licensed Administrator

Job Aid “Addressing Attempted Interference by a Licensed Administrator or Applicant for an Administrator’s License (RCCR Only),” available on CCR SharePoint site.

If the Attempted Interference Occurs Outside of Routine Monitoring

If CCR staff become aware of an action or behavior by a licensed administrator or applicant for an administrator’s license that occurs outside of routine monitoring, CCR staff:

  1. consult with a supervisor to determine if a referral to CCE is appropriate. When determining whether a referral to CCE is appropriate, the supervisor considers:
    1. the action or behavior observed such as making online threats against CCR staff or coercing CCR staff to release confidential information; 
    2. the impact the action or behavior had on staff’s ability to carry out regulatory activities, including attending meetings; and
    3. whether there is evidence available to support the interference or attempted interference;
  2. document details of the incident in an email; and 
  3. email any evidence to support the incident to the Licensed Administrator Program Specialist. See 9710 Handling Attempts to Interfere by a Licensed Administrator. 

4160 Documenting the Results of an Inspection

Revision 23-4; Effective Nov. 30, 2023

When documenting the results of an inspection, CCR staff:

  1. document deficiencies clearly and concisely;
  2. cite the specific CCR statutes, administrative rules or minimum standards for which compliance was evaluated and describe the deficiencies observed;
  3. document any technical assistance given for each CCR statute, administrative rule or minimum standard;
  4. state the date for compliance. Compliance dates must be reasonable and based on the risk to children. See 4500 Evaluating Risk to Children and Handling Immediate Danger;
  5. complete the Photo Taken at Inspection radio button as applicable; and
  6. complete the Supporting Documents/Photos Obtained radio button on each Standard Details page in CLASS for each standard marked as:
    • deficiency;
    • compliance;
    • sampling concern; or
    • not a sampling concern; and
  7. provide the inspection results at the conclusion of the inspection, on CLASS Form 2936 Child-Care Facility Inspection.

CCR staff create a supplemental CLASS Form 2936 to finalize inspection results left pending or to make corrections.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files    
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files    
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library    
4161  Completing CLASS Form 2936 Child-Care Facility Inspection    
4162  Finalizing Form 2936 and Synchronizing CLASSMate with CLASS    
4163  Final Determination of Findings Left Pending During an Inspection    
4165  Completing a Supplemental Inspection Form                      
4200  Assessments

4161 Completing CLASS Form 2936 Child-Care Facility Inspection

Revision 23-4; Effective Nov. 30, 2023

After reviewing the background materials related to the operation (see 4140 Preparing for Inspections), CCR staff create a draft of CLASS Form 2936 Child-Care Facility Inspection.

On the same day as the inspection, after the inspection is completed, CCR staff complete CLASS Form 2936 to document inspection results.

Documenting a Possible Deficiency as Pending on Form 2936

If CCR staff need to conduct further investigation or consult with the supervisor before determining compliance with a specific CCR statute, administrative rule or minimum standard, each item requiring further action is documented as Pending on CLASS Form 2936. CCR staff use the Pending status only if staff cannot determine an operation’s compliance with a statute, administrative rule or minimum standard before leaving the operation.

CCR staff must determine whether issues related to an inspection that were documented as pending are deficient or compliant within 10 days after an inspection is completed. (4163 Final Determination of Findings Left Pending During an Inspection).

Signing and Providing a Copy of Form 2936

After conducting the exit conference, CCR staff provide a copy of Form 2936 to the:

  • designee, director, administrator or primary caregiver; and
  • person in charge, if the designee, director, administrator or primary caregiver is not available during the exit interview.

See 4172 Signing and Providing a Copy of Form 2936 Child-Care Facility Inspection

26 TAC Section 745.8443(a)

4161.1 Creating a Draft CLASS Form 2936

April 2021

CCR staff follow the procedures below to create a draft version of CLASS Form 2936 Child-Care Facility Inspection.

Enter the Details

To enter the inspection details in CLASS, on Form 2936 Child-Care Facility Inspection, CCR staff take the following steps:

  1. On the Operation main page, select the Monitoring tab.
  2. On the Inspection/Assessment List page, select Add New Inspection.
  3. On the Inspection Details page in the General section, select the appropriate Inspection Type (see 4120 Types of Inspections).
  4. Choose the investigation numbers if the inspection type is Investigation or Monitoring and Investigation.
  5. Choose the appropriate Follow Up to Inspections IDs (select up to three IDs) if the inspection type is Follow Up.
  6. Enter the Inspection Start Date (The inspection start date may be updated after the inspection, if necessary).
  7. Select the check box(es) corresponding to the subchapter(s) if evaluating compliance of all rules in the subchapter(s) as part of a Monitoring or Monitoring/Investigation inspection.
  8. Select the HASA check box if a health and safety audit or standard-by-standard evaluation is being conducted as part of an unannounced Monitoring or unannounced Monitoring/Investigation inspection of a licensed child care center, school-age program, before- or after-school program, licensed child care home or registered child care home.
  9. Complete other applicable fields and select Save.

Save and Download

  1. Save the draft form.
  2. Download the saved draft to CLASSMate before conducting the inspection.

See also 4321 Documenting Follow-Ups Completed During an Inspection Unrelated to Heightened Monitoring Activities

4161.2 Documenting Inspection Results on CLASS Form 2936

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector uses CLASS Form 2936 to document the inspection. The inspector documents the results of an inspection per the table below.

Operation TypeInspection TypeWhat to DocumentHow to Document in CLASS
All Day Care and Residential Care OperationsAll InspectionsThe finding (Deficiency, Compliance or Pending) for each CCR statute, administrative rule or minimum standard that was evaluated during the inspection.Complete the Standard Details page.

References:    
4161.21 Documentation of the Findings Evaluated from the Inspection    
4300 Conducting a Follow-Up with an Operation    
4323 Documenting Follow-up Results on CLASS Form 2936
All Day Care and Residential Care OperationsAll InspectionsThe technical assistance provided.Complete the Standard Details page.    

Reference 4154.2 Documenting Technical Assistance
All Day Care and Residential Care OperationsAll InspectionsA list of any hazards that the operation must correct immediately.Complete the Narrative text box on the Inspection Details page.
All Day Care and Residential Care OperationsAll InspectionsIf the inspector obtained any documents or photos to support a regulatory decision.Select the appropriate Supporting Documents and/or Photos Obtained radio button on the Standard Details page.
All Day Care and Residential Care OperationsAll InspectionsIf the inspector took any photos during the inspection.Select the appropriate Photos Taken During Inspection radio button on the Inspection Details page.
All Day Care and Residential Care Operations
  • Monitoring 
  • Monitoring and Investigation
The inspector’s evaluation of all corrective action conditions.Select the Probation conditions were evaluated checkbox in the Other Items Evaluated section on the Inspection Details page.    

References:
7315 Inspecting an Operation During a Plan of Action
7441 Inspecting an Operation During a Probation
All Day Care and Residential Care Operations
  • Monitoring 
  • Monitoring and Investigation
The inspector’s evaluation of all action items for a plan of action.Select the Plan of Action action items were evaluated checkbox in the Other Items Evaluated section on the Inspection Details page.   

References:
7315 Inspecting an Operation During a Plan of Action
7441 Inspecting an Operation During a Probation
All Day Care and Residential Care Operations
  • Monitoring 
  • Monitoring and Investigation
The number of each record type reviewed during the inspection, based on the operation type and capacity.In the Records Evaluated section on the Inspection Details page, enter the number of records evaluated in the field which corresponds to the record type.   

Reference 4153 Reviewing Records at an Operation or a Central Administrative Location
All Day Care and Residential Care Operations
  • Initial
  • Monitoring
  • Monitoring and Investigation
The inspector’s review of permit restrictions and permit conditions.Select the …items regarding risk to children… check box on the Inspection Details page.   

Reference 4152 Reviewing Restrictions, Conditions, Waivers, and Variances
All Day Care and Residential Care Operations
  • Application
  • Initial
  • Monitoring 
  • Monitoring and Investigation
The inspector’s assessment of risk to children during the operation walk-through.Select the …items regarding risk to children… check box on the Inspection Details page.   

References:   
4151 Operation Walk-Throughs
4157 Visiting an Operation to Conduct an Investigation Interview When the Operation is Not the Subject of the Investigation
All Day Care and Residential Care Operations
  • Application
  • Initial
  • Monitoring
  • Monitoring and Investigation
The inspector’s evaluation of the operation’s compliance with background check requirements.Select the Background Checks have been Verified/Evaluated check box on the Inspection Details page.   

Reference 10700 Monitoring Operations for Compliance with Background Check Requirements
All Day Care and Residential Care Operations
  • Application
  • Initial
  • Monitoring
  • Monitoring and Investigation
The inspector’s review of the operation’s Controlling Persons List in CLASS with the person in charge. This is to determines if the list is correct and in compliance with CCR statutes, administrative rules and minimum standards.Select the Controlling Persons Have Been Verified check box on the Inspection Details Page.   

References:
4153.3 Reviewing Information on Controlling Persons   
4164 Procedures When the Operation’s List of Controlling Persons Cannot Be Verified During the Inspection   
4171 Discussing the Results of an Inspection   
5400 Controlling Person
All Day Care and Residential Care OperationsInvestigationThe inspector’s evaluation of the operation’s compliance with background check requirements for principals and collaterals known at time of the investigation inspection.Select the Background Checks have been Verified/Evaluated check box on the Inspection Details page.   

Reference 10700 Monitoring Operations for Compliance with Background Check Requirements
All Residential Care Operations
  • Monitoring
  • Investigation
  • Monitoring and Investigation
A summary of the steps the inspector took to mitigate risk during the inspection. This is part of the Extended Compliance History Review.   

Reference: Extended Compliance History Review Guide and Extended Compliance History Review Documentation Template Form 7292 on the CCR SharePoint site.
In the Steps Taken to Mitigate Risk field on the Inspection Details page.
  • Licensed Child Care Centers
  • Before- or After-School Programs
  • School-Age Programs
All InspectionsIf the designated director is present during the inspection.If the director is present, select the Director Present check box on the Inspection Details page.   

Reference 4131.3 Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center
  • Licensed Child Care Centers
  • School-Age Programs
  • Before- or After-School Programs
  • Licensed Child Care Homes
  • Monitoring
  • Monitoring and Investigation
The inspector conducted a health and safety audit (HASA) using the Health and Safety Audit Checklist or a standard-by-standard evaluation during an unannounced annual inspection.Select the Health and Safety Audit conducted checkbox on the Inspection Details page.   

Reference 4131.5 Health and Safety Audits for Licensed Child Day Care Operations
Registered Child Care Homes (with a TWC Subsidy Agreement)
  • Monitoring
  • Monitoring and Investigation

The inspector conducted an unannounced annual inspection:

  • using the Health and Safety Audit Checklist; or
  • by conducting a standard-by-standard evaluation.
Select the Health and Safety Audit conducted checkbox on the Inspection Details page.   

Reference 4132 Minimum Inspection Requirements for Registered Child Care Homes
Licensed Child Care Centers Only
  • Monitoring
  • Monitoring and Investigation
Ratio data for each classroom that is caring for children 0-4 years old during the inspection.Complete the Classroom Information section on the Inspection Details page.   

The finalized CLASS Form 2936 does not display the ratio data, but the ratio data will display in CLASS.   

Reference 4131.4 Collection of Ratio Data for Licensed Child Care Centers
 
Licensed Child Care Centers OnlyAnnual Inspection (once every 12 months)The inspector’s evaluation of the director's qualifications during the inspection.If the inspector evaluated the director’s qualifications during the inspection, select the Dir Qual Eval check box on the Inspection Details page.   

References: 
3331 Evaluating Director and Primary Caregiver Qualifications for Licensed Child Day Care Operations    
4131.3 Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center
All Day Care and Residential Care Operations
  • Follow Up
  • Other
The reason for the inspection if the reason does not fall into any of the situations listed above.In the Narrative text box on the Inspection Details page, document a summary of the reason for the inspection.   

References:
4123 Follow-Up Inspections   
4128 Other Types of Inspections

4161.21 Documentation of the Findings Evaluated from the Inspection

Revision 23-3; Effective Sept. 22, 2023

If documenting a deficiency, the inspector documents the following in the Narrative text box on the Standard Details page in CLASS or CLASSMate:

  • Explains how the operation is deficient. (Describe observations in detail. Do not merely repeat the requirement in the CCR statute, administrative rule, or minimum standard.)
  • Describes how the deficiency was corrected during the inspection, if applicable.

If further investigation or consultation with the supervisor is needed before determining whether the operation is in compliance with a CCR statute, administrative rule or minimum standard, the inspector documents the finding as Pending.

Staff complete the Photo Taken During the Inspection radio button as appropriate on the Inspections Details page in CLASS prior to saving the applicable final form to indicate whether a photo was, or was not, taken by the inspector during the investigation.

If documenting an inspection being conducted as part of an investigation, investigators also:

  • code any citations for plain-view violations observed during the walk-through as Monitoring (MN); and
  • add appropriate minimum standards with a code of Investigation (IV), if the investigator obtains information regarding a violation related to the allegation being investigated that was not previously identified.

See: 

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library   
4160  Documenting the Results of an Inspection

4161.22 Limits to Documenting Names of Children

Revision 23-4; Effective Nov. 30, 2023

When documenting inspection results, the inspector does not include the names of children when entering information that could be published on the public website. For example, deficiency narratives, follow-up documentation or information in the Narrative text box on the Inspection Details page may not include the name of any child.

CCR staff use only a child’s first name and last initial on hard copy forms (such as inspection guides) and in sections of CLASS that are not published on the public website, such as the Chronology and Investigation Conclusion pages.

See 8210 Confidential Information Not for Release to the Public.

4161.23 Limits to Documenting Names of Persons in CLASS

Revision 23-3; Effective Sept. 22, 2023

When documenting inspection results, the inspector does not include the name of any person in documentation that will be published on the public website or that the operation must post. For example, deficiency narratives, follow-up documentation or information in the Narrative text box on the Inspection Details page may not include the name of any person.

CCR staff may include names on paper copies of forms, such as inspection guides, and in CLASS fields that are not published on the public website, such as fields on the Chronology and Investigation Conclusion pages.

Exception for Listed Family Homes or Registered Child Care Homes: A person’s name may be automatically included on certain public forms if the person’s name is the same as the name of the operation. 

See 8210 Confidential Information Not for Release to the Public.

4161.24 Technical Assistance for Violations Recommended for an Administrative Penalty

Revision 23-3; Effective Sept. 22, 2023

When citing a deficiency for a CCR statute, administrative rule or minimum standard that requires the immediate assessment of an administrative penalty, the inspector provides and documents technical assistance in CLASS (see: Protocol for Administrative Penalties for Single High-Risk Violations (Immediate Enforcement) job aid located on the CCR SharePoint site).

The technical assistance the inspector documents must include both:

  • the statement “HHSC will recommend an administrative penalty as a result of this citation, per HRC Section 42.078”; and
  • guidance on how to comply with the CCR statute, administrative rule or minimum standard that was violated.

See 7521 A Single High Risk Violation

4161.3 Leaving an Operation Temporarily to Document Inspection Results

August 2012

Procedure

If Licensing staff leave the operation to record the results of the inspection on Form 2936 Child-Care Facility Inspection in CLASSMate, staff document in the Narrative field:

  • the time leaving the operation; and
  • the time returning to the operation to conduct the exit conference.

For example:

Left operation at (insert time) and returned at (insert time).

CLASSMate captures the time the inspection ended when Licensing staff click the Lock button on the form.

4161.4 Documenting an Inspection Continued on the Following Day

August 2012

Procedure

If an inspection must be continued on the following day, staff complete a new CLASS Form 2936 Child-Care Facility Inspection.

4162 Finalizing Form 2936 and Synchronizing CLASSMate with CLASS

August 2012

Finalizing Form 2936

Procedure

Before finalizing the form, Licensing staff:

  1. conduct the exit interview to discuss the results of the inspection with the person in charge at the operation;
  2. sign Form 2936;
  3. have the person in charge at the operation sign Form 2936.

See:

4170 Conducting the Exit Conference                       
4171 Discussing the Results of the Inspection                       
4172 Signing and Providing a Copy of Form 2936 Child Care Facility Inspection

After conducting the exit interview and signing the form, Licensing staff finalize Form 2936 Child-Care Facility Inspection in CLASSMate by clicking:

  • Save Final; and
  • Lock.

After finalizing the form, Licensing staff provide a copy of Form 2936 to the person in charge. See 4172.

Synchronizing CLASSMate with CLASS

On the same day Form 2936 is completed, when possible, Licensing staff synchronize with CLASS in order to upload the inspection into CLASS.

4163 Final Determination of Findings Left Pending During an Inspection

Revision 23-4; Effective Nov. 30, 2023

Within 10 days after completing an inspection, CCR staff:

  • determine whether the operation is deficient or compliant regarding any pending inspection findings coded as Monitoring; and
  • document the final determinations on a supplemental Form 2936 Child-Care Facility Inspection and mail or email it to the operation. See 4165 Creating a Supplemental Inspection Form.

4164 Procedures When the Operation’s List of Controlling Persons Cannot Be Verified During the Inspection

March 2013

Procedure

If during an Initial or Monitoring inspection the inspector cannot verify whether the operation’s list of controlling persons in CLASS is accurate, the inspector does all of the following within 10 days of the inspection:

  1. Contacts the operation’s governing body to verify whether an operation’s list of controlling persons list in CLASS is accurate.
  2. Follows the procedures in 7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS, if any controlling person on the list has a status of Review.
  3. Documents the contact with and information obtained from the governing body as a Chronology (category, Controlling Persons).
  4. Does as follows, if the controlling persons has changed:
    1. Documents the changes in a Chronology (category, Controlling Persons);
    2. Directs the operation to submit updated information according to the procedures in 5420 When and How Applicants and Operations Submit Information on Controlling Persons; and
    3. Cites a deficiency of the appropriate minimum standard by completing a supplemental CLASS Form 2936 Child Care Facility Inspection, if the operation did not notify Licensing within two days of when a person became or ceased to be a controlling person. See 4165 Completing a Supplemental Inspection Form.

4165 Completing a Supplemental Inspection Form

Revision 23-3; Effective Sept. 22, 2023

The CCR inspector creates a supplemental CLASS Form 2936 Child-Care Facility Inspection only to:

  • document the final determination about an operation’s compliance with statutes, administrative rules or minimum standards that were left pending during an inspection; or
  • correct errors in spelling, grammar or content on the original CLASS Form 2936 Child-Care Facility Inspection.

If deficiencies unrelated to an inspection must be cited, the CCR inspector uses CLASS Form 2939 Child-Care Facility Assessment.

See: 

4200 Assessments.

Procedure

To complete a supplemental CLASS Form 2936 Child-Care Facility Inspection, the CCR inspector follows these steps:

  1. Selects the appropriate inspection in CLASS.
  2. Updates pending findings to NC (noncompliant) or CO (compliant).
  3. Enters the following information in the Narrative field on the supplemental CLASS Form 2936:
    1. A description of the change that is being made.
    2. A statement that the supplemental CLASS Form 2936 replaces the original CLASS Form 2936 that was left at the operation on the date of the inspection.
    3. The date of the previous inspection.
  4. Changes the date of notification in CLASS to the date the supplemental CLASS Form 2936 is created.
  5. Saves and finalizes the second version of CLASS Form 2936 by selecting Save Final and Lock.

See: 

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library  
4160  Documenting the Results of an Inspection

4165.1 Contacting the Permit Holder

Revision 23-3; Effective Sept. 22, 2023

Before mailing the supplemental CLASS Form 2936, CCR staff contact the permit holder to:

  1. discuss the determination made on findings left pending during the inspection, if any;
  2. discuss other changes to the inspection findings, if any; and
  3. inform the permit holder of his or her right to an administrative review. See 5600 Administrative Reviews.

4170 Conducting the Exit Conference

Revision 24-1; Effective Feb. 20, 2024

After completing an inspection, CCR staff conduct an exit conference with the person in charge at the operation. During the conference, staff:

  • discuss the results of the inspection, including the reason for any deficiency issued;
  • review, but do not provide copies of, all photographs that were taken during the inspection that relate to deficiencies;
  • provide any technical assistance that may help the operation to address issues that have been identified and documented;
  • review the requirements and time frames to request an administrative review, if any deficiencies were issued; and
  • provide a copy of CLASS Form 2936 Child-Care Facility Inspection to the designee, director, administrator or primary caregiver, and the person in charge if none of these persons were available during the exit interview.

References:

5611  Explaining the Right to an Administrative Review 
8230  Confidential Information Not for Release to the Public 

26 TAC Sections 745.8443(a), 745.8483(8), 745.8491 and 745.8801–8811

Human Resources Code Section 42.0441

When conducting the exit conference for an initial or monitoring inspection, CCR staff also:

  • verify the operation’s contact information; and
  • review the operation’s compliance history, including concerns or patterns, with the person in charge.

References:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 
4160  Documenting the Results of an Inspection 

4171 Discussing the Results of an Inspection

Revision 24-2; Effective May 22, 2024

Procedure

During each exit conference, CCR staff:

  • Allow the person in charge an opportunity to discuss the findings.
  • Provide the person in charge with the following, if applicable:
    1. Any technical assistance needed to address issues identified and documented during the inspection. Reference 4154 Technical Assistance.
    2. Information about how high-risk deficiencies or a pattern of deficiencies may affect the frequency of inspections.
    3. Information about how failure to comply within specified deadlines or repeated deficiencies may result in enforcement action without further opportunity to correct the deficiencies.
    4. Information about how to comment on the inspection by completing the CCR Inspection Feedback Survey. The Web address for the survey is printed on CLASS Form 2936 Child-Care Inspection Form, which CCR staff provide before leaving the operation.
    5. Information about how the operation may request an administrative review in writing within 15 days of receiving the results of the inspection and information on what the request must include to be considered complete. Reference 5614 Receiving a Request for an Administrative Review.

Additional Requirements for Initial and Monitoring Inspections

During each exit conference for an inspection with a category of Initial, Monitoring, or Monitoring and Investigation CCR staff also:

  • review with the person in charge the operation’s compliance history since the previous monitoring inspection, including any concerns or patterns of deficiencies; and
  • verify the accuracy of the information entered on the Operation Main page in CLASS.

If either the Location Address Validation Status or Mailing Address Validation Status is set to Not Validated, CCR staff must review the address with the person in charge. If the person in charge indicates either the location or mailing address in CLASS is inaccurate, the inspector:

  • documents the correct information in a Chronology, under category Operation General; and
  • enters the corrected address in CLASS and attempts to validate the address per the procedures in 1600 Validating an Address in CLASS following the inspection.

4171.1 Discussing Pending Results

September 2012

Except for inspection findings coded as Investigation, if a determination cannot be made on any aspect of an inspection, Licensing staff explain to the person in charge that Licensing:

  • will mail a final determination, in the form of a supplemental inspection form, within 10 days; and
  • may include additional information on the supplemental inspection form that was not included on the original CLASS Form 2936 Child Care Facility Inspection.

See:

4161 Completing CLASS Form 2936 Child Care Facility Inspection                       
4165 Completing a Supplemental Inspection Form

4171.2 Addressing an Operation’s Concerns About Inspection Findings

September 2012

Licensing staff work with the person in charge to address any concerns relating to:

  • minor changes to a deficiency narrative, if the change does not impact the meaning of the citation and does not minimize the scope or severity of the violation; and
  • compliance dates, if the person in charge has a valid reason for not being able to come into compliance sooner than the proposed date, as long as the change does not compromise the health or safety of children in care.

Immediately after changing any documentation on CLASS Form 2936 Child Care Facility Inspection as a result of feedback from the person in charge, Licensing staff enter a Chronology in CLASS that includes:

  1. the CLASS inspection number;
  2. a description of the changes requested by the person in charge; and
  3. a description of what changes were made.

4172 Signing and Providing a Copy of Form 2936 Child Care Facility Inspection

December 2015

Procedure

At the end of the exit conference, Licensing staff ask the person in charge to sign CLASS Form 2936 Child Care Facility Inspection, even if the findings are left pending. Licensing staff explain that signing Form 2936 does not indicate that the person signing agrees with the inspection results. It is only an acknowledgment that Licensing conducted an inspection at the operation and does not waive the operation’s right to an administrative review.

Both the Licensing staff and the person in charge at the operation sign Form 2936. If the person in charge refuses to sign Form 2936, Licensing staff note on the inspection form the person’s name and his or her decision not to sign.

After Form 2936 is signed by Licensing staff and the person in charge, Licensing staff provide the person in charge with a printed or emailed copy of the completed form before leaving the operation.

If the operation is required to post Form 2936 in a prominent place where it may be viewed by staff, parents, and others, Licensing staff must explain this to the person in charge before leaving the operation.

See:

4160 Documenting the Results of an Inspection                       
4161 Completing CLASS Form 2936 Child Care Facility Inspection                       
4173 Posting the Day Care Inspection Form or Assessment Form

4173 Posting the Day Care Inspection Form or Assessment Form

Revision 24-1; Effective Feb. 20, 2024

The following must display the most recent CLASS Form 2936 Child-Care Facility Inspection or CLASS Form 2939 Child-Care Facility Assessment:

  • Licensed child care center
  • School-age program
  • Before or after-school program 
  • Licensed child care home 
  • Registered child care home

The most recent CLASS Form 2936 or CLASS Form 2939 must be displayed in a prominent place for viewing by staff, parents, and others.

Confidential information must not be posted.

26 TAC Sections 744.403, 746.403, 745.8801 and 747.401 

If the operation disagrees with a CCR decision or action and requests an administrative review, the operation may delay posting Form CLASS 2936 or CLASS Form 2939 until the administrative review is complete.

References:

Assessments, 4200 
Administrative Reviews, 5600

Procedure

CCR staff explain to the person in charge of the operation that CLASS Form 2936 Child-Care Facility Inspection or CLASS Form 2939 Child-Care Facility Assessment, and any supplemental inspection forms, must be posted in a prominent place to be viewed by staff, parents and other people.

If CCR staff document part of the inspection on CLASS Form 2936 and document the rest of the inspection on a supplemental inspection form, CCR staff attach the original CLASS Form 2936 to the supplemental form so that both will be posted.

The person in charge of the operation may note the date a correction was made on the posted form.

The operation is not required to publicly post findings of abuse or neglect.

The names of children and staff:

  • must not appear on any forms or letters that require posting in a prominent place for viewing by staff, parents and others. References: 8210 Confidential Information Not for Release to the Public and 4160 Documenting the Results of an Inspection; and
  • must not be documented in the areas of CLASS that appear on the public website.

Children and staff names may be documented in the hard copy record or in the areas of CLASS that are not published on the public website.

Reference: 6630 Notifying the Operation of the Results of an Investigation.

4200, Assessments

Revision 23-3, Effective Sept. 22, 2023

CCR uses an assessment as a regulatory tool to do the following when CCR is not required to conduct an inspection or investigation:

  • cite and notify an operation of a deficiency when an inspector learns about a violation unrelated to an inspection or investigation; or
  • document findings from a follow-up without an inspection when the operation is being re-cited (see 4330 Following Up Without an Inspection).

Citing a deficiency without an inspection does not replace a required inspection.

CCR staff follow up on deficiencies cited by assessment according to 4220 Documenting an Assessment and Notifying the Operation, or 4300 Conducting a Follow-up with an Operation.

Procedure

When an inspector determines a monitoring assessment is needed to cite a deficiency, the inspector has 10 days from the date CCR learned about the violation to complete all the following tasks:

  1. consult with a supervisor, program administrator or regional director to discuss the inspector’s recommendation to cite a deficiency by assessment;
  2. document the decision in a Chronology in CLASS; and
  3. if the supervisor, program administrator or regional director approves citing the deficiency, complete the procedures in 4220 Documenting an Assessment and Notifying the Operation. 

The inspector documents photos or other records received in support of the assessment according to 1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files and the associated subsections.

4210 Assessment Types

Revision 23-1, Effective Apr. 21, 2023

When citing by assessment, inspectors choose from two types of assessments. Inspectors refer to the following table when deciding which assessment type to use:

Assessment TypeUse to Cite a Deficiency when:See CCRH Section(s):
Monitoring Assessment
  1. DFPS reported a monitoring violation related to:
    • a DFPS investigation (see 6940 Citing Deficiencies for a DFPS Investigation), or
    • Heightened Monitoring visit;
  2. CCR identified a violation during CCR activities other than an inspection or investigation. Examples:
    • enforcement team conference (see 4441 Enforcement Team Conferences for Child-Placing Agencies and General Residential Operations);
    • random-sampling inspection of a CPA’s foster homes (see 4431 Using Random-Sampling Inspections to Regulate a Child-Placing Agency);
    • background check(s) not submitted as required (see 10110 Overview of Background Checks and 10120 Background Check Requests); or
    • an inspection or investigation that reveals a deficiency at a different operation (for example: during an interview);
  3. Another agency (other than DFPS) or a political subdivision reported a violation; or
  4. The operation self-reports a violation (see 6275 Incidents Reported by an Operation (Self-Reports).
4211 Citing a Deficiency with a Monitoring Assessment
Follow-up AssessmentFollowing up on deficiencies from a previous inspection, assessment or investigation without conducting an inspection to re-cite the operation for one or more deficiencies that were not corrected as required.4212 Follow-Up Assessments, 4300 Conducting a Follow-Up with an Operation, and 4330 Following Up Without an Inspection

4211 Citing a Deficiency with a Monitoring Assessment

Revision 23-1, Effective Apr. 21, 2023

Procedure

When an inspector determines a monitoring assessment is needed to cite a deficiency, the inspector has 10 days from the date CCR learned about the violation to complete all the following tasks:

  1. consult with a supervisor, program administrator or regional director to discuss the inspector’s recommendation to cite a deficiency by assessment;
  2. document the decision in a Chronology in CLASS; and
  3. if the supervisor, program administrator or regional director approves citing the deficiency, complete the procedures in 4220 Documenting an Assessment and Notifying the Operation.

4212 Follow-Up Assessments

Revision 23-1, Effective Apr. 21, 2023

Procedure

When an inspector re-cites a deficiency during a follow-up without an inspection, the inspector documents the outcome of the follow-up using an assessment (type Follow-up) in CLASS.

See also: 

4220 Documenting an Assessment and Notifying the Operation       
4310 Time Frames for Conducting a Follow-Up       
4330 Following Up Without an Inspection

4220 Documenting an Assessment and Notifying the Operation

Revision 23-1, Effective Apr. 21, 2023

Procedure

The inspector:

  • documents assessment results on CLASS Form 2939 Child-Care Facility Assessment;
  • notifies the operation; and
  • sends a copy of CLASS Form 2939 to the operation.

Corrections

If the inspector needs to correct the original CLASS Form 2939, the inspector creates a supplemental CLASS Form 2939 according to 4223 Completing a Supplemental Assessment Form.

See also:

4210 Assessment Types       
4211 Citing a Deficiency with a Monitoring Assessment        
4212 Follow-Up Assessments

4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment

Revision 23-4, Effective Nov. 30, 2023

Procedure

When creating a monitoring assessment or follow-up assessment, the inspector chooses the assessment type from the Assessment Type field in the General section of the Assessment Details page (see 4210 Assessment Types).

For both types of assessments, on CLASS Form 2939 Child-Care Facility Assessment, the inspector:

  1. documents compliance with the evaluated CCR statutes, administrative rules and minimum standards; 
  2. documents any technical assistance given; and
  3. for each deficiency cited, documents:
    • the deficiency clearly and concisely; and
    • the compliance date.

The inspector ensures compliance dates are reasonable and based on the risk to children (see 4500 Evaluating Risk to Children and Handling Immediate Danger).

The inspector documents photographs and other records related to the deficiency according to 1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files.

4221.1 Additional Requirements for Documenting Follow-Up Assessments

Revision 23-1, Effective Apr. 21, 2023

Procedure

When creating a follow-up assessment, the inspector completes the following additional steps:

  • if the purpose of the follow-up assessment is for a Heightened Monitoring (HM) inspector to document a follow-up on a HM-related deficiency, the HM inspector completes the Heightened Monitoring section;
  • links the follow-up assessment to the appropriate previous inspection(s), investigation(s) without an inspection, assessment(s) or a combination of these activities;
  • deletes any linked deficiencies that automatically prefill on the Inspection Summary page if:
    • the deficiency is not evaluated during the current follow-up assessment; or
    • the operation requested an extension during the current follow-up assessment, and CCR granted an extension (Note: the inspector documents the extension in the original inspection or assessment in CLASS. See 4350 Granting an Operation Additional Time to Comply with a Requirement Cited as a Deficiency); and
  • consults the table below for remaining linked deficiencies:
If...Then...
the operation is in compliance…

the inspector:

  • selects Compliance in the Finding field;
  • deletes the date in the Compliance Date field; and
  • deletes the text in the Narrative text box and replaces it with a statement outlining how the operation corrected the deficiency.
the operation is still deficient…

the inspector:

  • selects Deficiency in the Finding field;
  • enters the new compliance date in the Compliance Date field; and
  • deletes the text in the Narrative text box and replaces it with information about how the operation continues to be deficient.  
     

CLASS Updates the Follow Up Information section for the Original Deficiency

For each deficiency linked to the follow-up assessment and documented as Compliance or Deficiency, CLASS automatically updates the Follow Up Information section on the Standard Details page for the original inspection, investigation or assessment. Therefore, the inspector does not take any further steps to update the Follow Up Information section for the linked deficiency.

4222 Notifying the Permit Holder or Designee

Revision 23-3, Effective Sept. 22, 2023

Procedure

Before mailing CLASS Form 2939 Child-Care Facility Assessment, the inspector contacts the permit holder or designee to:

  • discuss the assessment findings; and
  • inform the permit holder or designee of the right to request an administrative review within 15 days from the date of receiving CLASS Form 2939 (see 4170 Conducting the Exit Conference and 5600 Administrative Reviews).

4223 Completing a Supplemental Assessment Form

Revision 23-1, Effective Apr. 21, 2023

The CCR inspector creates a supplemental assessment form to correct errors in spelling, grammar or content on the original CLASS Form 2939 Child-Care Facility Assessment.

Procedure

To complete a supplemental CLASS Form 2939, the inspector:

  1. selects the appropriate assessment in CLASS.
  2. makes the corrections.
  3. enters all the following information in the Narrative field on the supplemental CLASS Form 2939:
    1. description of the change that the inspector is making.
    2. statement that the supplemental CLASS Form 2939 replaces the original CLASS Form 2939.
    3. the date the previous CLASS Form 2939 was sent to the operation.
  4. changes the date in the Date Notification Sent field to the date the supplemental CLASS Form 2939 is created.
  5. saves and finalizes the supplemental CLASS Form 2939.

4300, Conducting a Follow-Up with an Operation

Revision 24-2; Effective May 22, 2024

An inspector conducts a follow-up with an operation to:

  1. make sure that the operation is in compliance with any statutes, administrative rules and minimum standards that were cited during an inspection, investigation or assessment;
  2. determine if operation is complying with the conditions of a waiver or variance;
  3. determine if the operation is complying with the conditions of a risk evaluation;
  4. conduct the annual review of director qualifications at a licensed child care center;
  5. make sure the operation is in compliance after a probation ended;
  6. make sure the operation is no longer operating because denial of a permit, suspension or revocation;
  7. make sure the operation is no longer operating after an auto revocation;
  8. monitor the operation during the appeal process; 
  9. monitor the operation during a temporary relocation;
  10. evaluate a foster home’s record and have a discussion with the administrator or person in charge after sending notification to the CPA of an approved agency home closure recommendation; or 
  11. discuss the warning letter with the director, administrator, or person in charge of the operation after sending the letter.

When following up with an operation about a deficiency the operation did not correct at inspection the inspector verifies the operation corrected the deficiency. This may include:

  1. reviewing records about the deficiency;
  2. inspecting areas of the physical plant about the deficiency; and
  3. observing activities about health and safety.

Reference 

Determining When a Deficiency Can Be Corrected at Inspection, 4155  

Procedure

For each deficiency, the inspector decides to follow up on the deficiency with or without an inspection based on:

  1. the risk to children;
  2. the scope and severity of the deficiency;
  3. the time and expense needed to correct the deficiency;
  4. the provider's previous compliance history; and
  5. if an inspection is required to determine if the provider corrected the deficiency.

When following up on more than one deficiency, the inspector does not re-cite a deficiency if the compliance date for the deficiency is in the future. When documenting follow-up, the inspector follows procedures in 4221.1 Additional Requirements for Documenting Follow-Up Assessments and 4323 Documenting Follow-Up Results on CLASS Form 2936.

If the inspector determines an operation is not in compliance with a previously cited deficiency during the follow-up, the inspector follows the procedures in  4340 When an Operation Continues to Be Deficient.

References

Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center, 4131.3 
Reviewing Restrictions, Conditions, Waivers, and Variances, 4152 
Time Frames for Conducting a Follow-up, 4310 
Following Up with an Inspection, 4320
Following Up Without an Inspection, 4330
Inspecting a CPA after Sending Notification of an Approved Closure Recommendation, 4454
Evaluating the Conditions of a Waiver or Variance, 5160 
Following-Up to a Warning Letter, 5313
Temporary Relocation, 5520
Regulating Pending the Due Process Hearing for Denial, Refusal to Renew, Revocation or Suspension, 5720 
Follow-Up to Final Notice of Suspension, Revocation, or Denial, 7636
When a Risk Evaluation is Required, 10410
Types of Eligibility Determinations, 10510

26 TAC Section 745.8447 

4310 Time Frames for Conducting a Follow-Up

Revision 23-1, Effective Apr. 21, 2023

The inspector verifies and documents corrections of deficiencies within the time frames outlined in the following chart for deficiencies cited in the same inspection, investigation or assessment.

Weights of Standards Cited in a Single Inspection, Investigation or AssessmentTime Frame for Completing Follow Up
High-weighted onlyWithin 15 days of the latest compliance date
Non-high-weighted only (that is, medium-high, medium, medium-low and low)Within 30 days of the latest compliance date
High- and non-high-weighted

Within 15 days of the latest compliance date for the high-weighted standards.              

Exception: If the compliance date for a non-high-weighted deficiency is a future date and the operation has not yet corrected the deficiency, the inspector:

  • does not re-cite the deficiency; and
  • follows up on the deficiency no later than 30 days after the latest compliance date of all non-high-weighted deficiencies.

4311 Granting Staff Additional Time to Complete a Follow-Up with an Operation

Revision 23-1, Effective Apr. 21, 2023

CCR staff may extend the established time frame for completing a follow-up with an operation if:

  • the operation unexpectedly closes; or
  • a condition exists that is beyond CCR’s control (examples include weather-related office closures or natural disasters).

The inspector obtains approval from a supervisor, program administrator or regional director to extend the follow-up time frame.

Procedure

If the inspector determines that an extension of the time frame for completing a follow-up is needed, the inspector consults with the supervisor, program administrator, or regional director to request approval.

If the request to extend the time frame is approved, the inspector documents the following in the Additional Documentation field on the Standard Details page in CLASS:

  • the extension date; 
  • the date the supervisor, program administrator or regional director approved the extension; 
  • the name and title of the person who approved the extension; and 
  • the reason for the extension.

4320 Following Up with an Inspection

Revision 24-1, Effective Feb. 20, 2024

Procedure

If the inspector determines following up on a deficiency requires a follow-up inspection, the inspector conducts the inspection as soon as possible, but no later than the time frames outlined in 4310 Time Frames for Conducting a Follow-Up. 

If the inspection is a Heightened Monitoring (HM) inspection, the HM inspector also follows procedures in 4322 How Heightened Monitoring Staff Completed and Document Follow-Ups Completed with an Inspection.

References:

4120 Types of Inspections   
4152 Reviewing Restrictions, Conditions, Waivers, and Variances   
4311 Granting Staff Additional Time to Complete a Follow-Up with an Operation   
4350 Granting an Operation Additional Time to Comply with a Requirement Cited as a Deficiency  
4510 CLASS Enforcement Recommendations  
5160 Evaluating the Conditions of a Waiver or Variance
10400 Risk Evaluation

4321 Documenting a Follow-Up Completed During an Inspection Unrelated to Heightened Monitoring Activities

Revision 23-4, Effective Nov. 30, 2023

Procedure

When an inspector conducts an inspection to follow up on a deficiency cited during a previous inspection, investigation or assessment, and the inspection and deficiencies are unrelated to Heightened Monitoring (HM) activities, the inspector:

  • creates a new CLASS Form 2936 Child-Care Facility Inspection;
  • selects the appropriate inspection type:
    • Follow-up;
    • Monitoring;
    • Investigation;
    • Monitoring and Investigation; or
    • Initial;
  • documents the follow-up for each deficiency according to procedures in 4323 Documenting Follow-Up Results on CLASS Form 2936; and
  • documents findings unrelated to the follow-up according to procedures in 4100 Inspecting Child Care Operations.

4322 How Heightened Monitoring Staff Complete and Document Follow-Up Completed with an Inspection

Revision 23-1, Effective Apr. 21, 2023

Heightened Monitoring (HM) staff follow up on HM deficiencies and non-HM deficiencies by conducting inspections (type Follow-up or Other), assessments (type Follow-up), or a combination of the two. How HM staff document these follow-ups depends on:

  • the type of deficiency staff is evaluating during the follow-up; and
  • whether staff are completing the follow-up during an HM inspection.

When completing a follow-up by an assessment, HM staff follow the procedures in 4212 Follow-Up Assessments and 4220 Documenting an Assessment and Notifying the Operation.

Procedure

When conducting a follow-up to evaluate deficiencies, the HM inspector may do any a combination of the following activities: 

  • evaluate HM-related deficiencies;
  • evaluate non-HM-related deficiencies;
  • conduct an HM inspection to evaluate the HM plan tasks; or
  • conduct a non-HM inspection to evaluate CCR statutes, administrative rules and minimum standards not included in the HM plan tasks. 

When conducting a combination of follow-ups or inspections at the same time, staff must complete the appropriate CLASS forms 2936 Child-Care Facility Inspection and 2939 Child-Care Facility Assessment indicated in the sections below.

The HM inspector also refers to the Heightened Monitoring CLASS Release 3 HM Inspections Job Aid and the Heightened Monitoring CLASS Release 4 HM Assessments Job Aid, located on the Heightened Monitoring SharePoint site.

4322.1 Conducting Follow-Up While Completing a Weekly HM Inspection

Revision 23-1, Effective Apr. 21, 2023

Procedure

When conducting a follow-up to evaluate deficiencies while conducting a weekly HM inspection, the HM inspector follows the procedures in the table below:

Type(s) of Deficiencies Being Evaluated in the Follow-UpProcedures
Only HM-related deficiencies
  1. In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section.
  2. Conduct and document results of the weekly HM inspection according to existing policies and procedures.
  3. Follow up on deficiencies being evaluated.
  4. Document the follow-up on the HM-related deficiencies being followed up on in CLASS as outlined in 4323 Documenting Follow-Up Results on CLASS Form 2936.
Only non-HM-related deficiencies
  1. In CLASS, create an inspection (type Other) and complete the Heightened Monitoring section.
  2. Conduct and document results of the weekly HM inspection according to existing policies and procedures.
  3. Follow up on the non-HM-related deficiencies being evaluated.
    • Document the follow-up on the HM-related deficiencies in CLASS as outlined in 4323 Documenting Follow-Up Results on CLASS Form 2936.
    • Document the follow-up on non-HM deficiencies in a separate follow-up assessment as outlined in 4212 Follow-Up Assessments. 
  4. When conducting the exit interview, explain to the person in charge:
    1. the results of the weekly HM inspection;
    2. the results of the follow-up on the non-HM-related deficiencies evaluated; and
    3. that the follow-up results will be sent on an assessment form (CLASS Form 2939 Child-Care Facility Assessment).
  5. No later than the next day, document the follow-up on the non-HM related deficiencies in an assessment (type Follow-up) as outlined in:
    1. 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and 
    2. 4221.1 Additional Requirements for Documenting Follow-Up Assessments.
Both HM-related and non-HM-related deficiencies
  1. In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section.
  2. Conduct and document results of the weekly HM inspection according to existing policies and procedures.
  3. Follow up on HM-related and non-HM-related deficiencies being evaluated.
    • Document the follow-up on the HM-related deficiencies in CLASS as outlined in 4323 Documenting Follow-Up Results on CLASS Form 2936.
    • Document the follow-up on non-HM deficiencies in a separate follow-up assessment as outlined in 4212 Follow-Up Assessments.
  4. When conducting the exit interview, explain to the person in charge:
    1. the results of the weekly HM inspection;
    2. the results of all follow-ups on deficiencies evaluated;
    3. that the follow-up results for the HM-related deficiencies are documented on CLASS Form 2936; and
    4. that the follow-up results for the non-HM-related deficiencies will be sent on an assessment form (CLASS Form 2939 Child-Care Facility Assessment).
  5. No later than the next day, document the follow-up for the non-HM related deficiencies in an assessment (type Follow-up) as outlined in:
    1. 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and 
    2. 4221.1 Additional Requirements for Documenting Follow-Up Assessments.

4322.2 Conducting Follow-Up Without Completing a Weekly HM Inspection

Revision 23-1, Effective Apr. 21, 2023

Procedure

When conducting follow-up to evaluate deficiencies without a weekly HM inspection to evaluate HM plan tasks, the HM inspector follows the procedures in the table below:

Type(s) of Deficiencies Being Evaluated in the Follow-UpProcedures
Only HM-related deficiencies
  1. In CLASS, create an inspection (type: Follow-up) and complete the Heightened Monitoring section.
  2. Conduct the inspection without evaluating HM plan tasks.
  3. Follow up on the HM-related deficiencies being evaluated.
  4. Document the follow-up to the HM-related deficiencies in CLASS as outlined in 4323 Documenting Follow-Up Results on CLASS Form 2936.
Only non-HM-related deficiencies
  1. In CLASS, create an inspection (type: Follow-up).
  2. Conduct the inspection without evaluating HM plan tasks.
  3. Follow up on the non-HM-related deficiencies being evaluated.
  4. Document the follow-up for the non-HM deficiencies as outlined in 4321 Documenting Follow-Ups Completed During an Inspection Unrelated to Heightened Monitoring Activities.
Both HM-related and non-HM-related deficiencies
  1. In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section.
  2. Conduct and document the inspection without evaluating HM plan tasks.
  3. Follow up on HM-related and non-HM-related deficiencies being evaluated.
    • Document the follow-up to the HM-related deficiencies in CLASS as outlined in 4323 Documenting Follow-Up Results on CLASS Form 2936.
    • Document the follow-up on non-HM deficiencies in a separate follow-up assessment as outlined in 4212 Follow-Up Assessments.
  4. When conducting the exit interview, explain to the person in charge:
    1. the results of the inspection;
    2. the results of all follow-ups being evaluated;
    3. that the follow-up results for the HM-related deficiencies are documented on CLASS Form 2936 Child-Care Facility Inspection; and
    4. that the follow-up results for the non-HM-related deficiencies will be sent on an assessment form (CLASS Form 2939 Child-Care Facility Assessment).
  5. No later than the next day, document the follow-up for the non-HM-related deficiencies in an assessment (type Follow-up) as outlined in:
    1. 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and
    2. 4221.1 Additional Requirements for Documenting Follow-Up Assessments.

4323 Documenting Follow-Up Results on CLASS Form 2936

Revision 23-1, Effective Apr. 21, 2023

Procedure

The inspector follows the steps below when documenting the results of a follow-up completed during an inspection on CLASS Form 2936 Child-Care Facility Inspection:

  • selects the appropriate inspection type; 
  • links the inspection to the appropriate previous inspection(s), investigation(s) without inspection(s), assessment(s) or a combination of these activities (see 4321 Documenting Follow-Ups Completed During an Inspection Unrelated to Heightened Monitoring Activities and 4322 How Heightened Monitoring Staff Document Follow-Ups Completed with an Inspection);
  • deletes any linked deficiencies that automatically prefill on the Inspection Summary page if:
    • the deficiency is not evaluated during the current follow-up inspection; or
    • the operation requested an extension during the current follow-up inspection and the extension was granted (the inspector documents the extension in the original inspection in CLASS; see 4350 Granting an Operation Additional Time to Comply With a Requirement Cited as a Deficiency);
  • consults the table below for the remaining linked deficiencies:
If...Then...
the operation is in compliance…

The inspector: 

  • enters Compliance in the Finding field;
  • deletes the date in the Compliance Date field; and
  • deletes the text in the Narrative text box and replaces it with a statement outlining how the deficiency was corrected.
the operation is still deficient…

the inspector:

  • enters Deficiency in the Finding field;
  • enters the new compliance date in the Compliance Date field; and
  • deletes the text in the Narrative text box and replace it with information about how the operation continues to be deficient.

CLASS Updates the Follow Up Information section for the Original Deficiency

For each deficiency that was linked to the inspection and documented as Compliance or Deficiency, CLASS automatically updates the Follow Up Information section on the Standards Details page for the original inspection, investigation or assessment. Therefore, the inspector does not take any further steps to update the Follow Up Information section for the linked deficiency.

4330 Following Up Without an Inspection

Revision 24-4, Effective Feb. 20, 2024

Procedure

The inspector may follow up without an inspection when the they can assess compliance by:

  • reviewing documents, photographs or videos the operation submits; or
  • participating in video calls with the permit holder, designee, director or administrator. 

If the inspector determines the operation has corrected all deficiencies evaluated during the follow-up, the inspector follows the procedures explained in 4331.1 Documenting a Follow-Up Without an Inspection When the Operation Corrected All Deficiencies. 

If the inspector determines the operation has not corrected all deficiencies evaluated during the follow-up, the inspector follows the procedures explained in 4331.2 Documenting a Follow-Up Without an Inspection When CCR Re-cites One or More Deficiencies and 4340 When an Operation Continues to be Deficient.

References:

1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library
4120  Types of Inspections        
4152  Reviewing Restrictions, Conditions, Waivers, and Variances
4310  Time Frames for Conducting a Follow-Up        
4311  Granting Staff Additional Time to Complete a Follow-Up with an Operation
4350  Granting an Operation Additional Time to Comply with a Requirement Cited as a Deficiency
4510  CLASS Enforcement Recommendations        
5160  Evaluating the Conditions of a Waiver or Variance   
10400  Risk Evaluation

4331 Documenting Follow-Ups Completed Without an Inspection

Revision 23-1, Effective Apr. 21, 2023

Procedure

When following up without conducting an inspection, the inspector refers to the table below to determine how to document the follow-up:

Deficiencies Being EvaluatedFollow Procedures in
Operation corrected all deficiencies4331.1 Documenting a Follow-Up Without an Inspection When the Operation Corrected All Deficiencies
Inspector will re-cite one or more deficiencies4331.2 Documenting a Follow-Up Without an Inspection When CCR Re-cites One or More Deficiencies

4331.1 Documenting a Follow-Up Without an Inspection When the Operation Corrected All Deficiencies

Revision 23-1, Effective Apr. 21, 2023

Procedure

If the operation has corrected all deficiencies being evaluated during the follow-up without an inspection, the inspector updates the Follow Up Information section of the Standard Details page in CLASS for each deficiency the inspector is evaluating as follows:

FieldWhat to Document
Follow Up DateThe date the information was received from the operation.
Follow Up MethodThe method the inspector used to complete the follow-up.
ResultsSelect Compliance Met.
Additional Documentation
  • a description of how the operation corrected the deficiency;
  • a description of the evidence the inspector used to determine how the operation corrected the deficiency (for example, the operation submitted a copy of the fire inspection or the inspector viewed the repair to the wall on a video call); and
  • the position or title of the person submitting the information.

If the compliance date had been extended, the documentation is added above the extension documentation.

4331.2 Documenting a Follow-Up Without an Inspection When CCR Re-cites One or More Deficiencies

Revision 23-1, Effective Apr. 21, 2023

Procedure

When the result of the follow-up without inspection is that the inspector will re-cite one or more deficiencies, the inspector: 

  • documents the results of all follow-ups (both deficiencies re-cited and deficiencies found in compliance) using an assessment (type Follow-up); and
  • follows the procedures in:
    • 4221 Documenting an Assessment Using CLASS From 2939 Child-Care Facility Assessment ; and
    • 4221.1 Additional Requirements for Documenting Follow-Up Assessments.

See also:

4212 Follow-Up Assessments        
4220 Documenting an Assessment and Notifying the Operation       
4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment          
4221.1 Additional Requirements for Documenting Follow-Up Assessments

4340 When an Operation Continues to be Deficient

Revision 23-1, Effective Apr. 21, 2023

Procedure

When the inspector conducts a follow-up and determines the operation continues to be deficient according to 4310 Time Frames for Conducting a Follow-Up, the inspector re-cites the deficiency. 

In addition to re-citing the deficiency, the inspector may: 

  1. issue a warning letter and conduct a follow-up with an inspection; 
  2. expedite the next monitoring inspection;  
  3. recommend the operation go on a plan of action; or 
  4. recommend making a referral to HHSC Regulatory Enforcement for an enforcement action. 

See also: 

4320 Following Up with an Inspection       
4330 Following Up Without an Inspection       
4510 CLASS Enforcement Recommendations       
5310 When to Issue a Warning Letter      
7000 Voluntary Actions and Enforcement Actions      
Appendix 7000-1: Factors to Consider for Enforcement Actions

4350 Granting an Operation Additional Time to Comply with a Requirement Cited as a Deficiency

Revision 23-4, Effective Nov. 30, 2023

The inspector may extend the time an operation has to comply with a cited deficiency if:

  • the operation provides the reasons that an extension is being requested and CCR staff determine that: 
    • there is cause for the extension; and 
    • extending the time frame would not pose an immediate danger to children in care; or
  • the operation has requested an administrative review of the deficiency, and the deficiency does not pose an immediate danger to children in care (see definition of immediate danger in Definitions of Terms).

26 TAC Section 745.8447

Procedure

If an Extension is Approved

If an extension is approved, the inspector:

  • notifies the operation about the approval and the new compliance date;
  • manually creates a To-Do in CLASS to notify the inspector to follow up by the compliance date; and
  • documents the extension on the Standards Details page for the applicable deficiency in CLASS according to the following table:
FieldWhat to Document
Compliance DateChange the date to the new compliance date.
Follow Up MethodSelect the method inspector used to complete the follow-up.
Follow Up DateEnter the date of the extension approval.
ResultsSelect Extension Granted.
Additional Documentation

Document the following in the text box:

  • the date of the follow-up;
  • the follow-up method;
  • a statement that the extension was approved;
  • the date that CCR staff approved the extension;
  • the original compliance date; and
  • the new compliance date.

If an Extension is Denied

If an extension is denied, the inspector:

  • notifies the operation about the decision; and
  • enters the date CCR denied the extension in the Additional Documentation box on the Standard Details page.

If the compliance date has passed and the inspector determines that the operation is still not in compliance, the inspector follows the procedures explained in 4340 When an Operation Continues to be Deficient.

4400, Additional Regulatory Activities for Certain Types of Operations

4410 Monitoring Certified (State-Operated) Child Care Operations

September 28, 2018

A certified child care operation must comply with all law, administrative rules, and minimum standard rules applicable to its facility type and the services it provides.

Situations that place children at risk must be immediately communicated to a Licensing supervisor, who ensures that the appropriate CCL director is informed about the situation and about any Licensing action taken.

Texas Human Resources Code §42.052(a) and (b)

Procedure

Licensing staff notify a Licensing supervisor about:

  • any resistance to regulation; and
  • any inspection or investigation of reports in which deficiencies involving the children's health or safety are cited.

The supervisor informs the appropriate CCL director about the concerns, who in turn notifies the assistant commissioner of Licensing.

If a state-operated facility violates the law, administrative rules, or minimum standard rules and the violation threatens serious harm to the children in care, the associate commissioner of Licensing notifies the executive commissioner.

At the commissioner's direction, the associate commissioner of Licensing notifies the governor, if the situation presents immediate danger to the children's health or safety.

Licensing staff send the associate commissioner of Licensing copies of:

  • any inspection or investigation reports that cite deficiencies involving the health or safety of children; and
  • all correspondence regarding corrective or adverse action.

4420 Monitoring Residential Child Care Operations

 

4421 Monitoring Child-Placing Agencies

Revision 23-4; Effective Nov. 30, 2023

A child-placing agency (CPA) verifies, approves and monitors its foster and adoptive homes.

For the purposes of CCR, branch offices, foster homes and adoptive homes are considered part of the CPA. If the CPA, any branch office of the CPA, or any of the CPA's foster homes or adoptive homes fail to comply with relevant statutes, administrative rules or minimum standards, CCR may do one or both of the following:

  • Cite the CPA (including a branch office) for deficiencies.
  • Submit a Referral for Enforcement Action to Child Care Enforcement.

If a CPA operates at a main office or branch office that is not open between 8:00 a.m. and 5:00 p.m. Monday through Friday, the CPA must ensure that the office and employees are available upon CCR’s request for the purpose of inspecting or investigating the CPA.

Human Resources Code Section 42.053

26 TAC Sections 745.8405(c); 749.301

Procedure

Inspectors:

  • monitor the CPA by conducting interviews and reviewing the CPA's records and the information gathered from random sampling of the CPA's foster homes; and
  • use the information to determine whether the CPA:
    • is complying with statutes, administrative rules and minimum standards; and
    • is following the policies it submitted to CCR.

Human Resources Code Section 42.044

See 4100 Inspecting Child Care Homes and Operations.

Branch Offices

Branch offices must comply with all relevant statutes, administrative rules and minimum standards related to CPAs.

Inspectors maintain separate compliance information for each branch office, but notify the CPA permit holder about all deficiencies cited at the branch offices.

For purposes of data collection, CLASS assigns a branch number to each branch office and creates a separate file in CLASS for each branch office.

4422 Monitoring CPAs That Conduct International Adoptions

October 2020

A child-placing agency (CPA) that conducts international adoptions must comply with all law, administrative rules, or minimum standard rules that apply to the type of permit the CPA holds and the services it provides.

Texas Human Resources Code §§42.002(12)42.07242.044(e)(4)

Procedure

Child Care Regulation (CCR) staff monitor CPAs that provide international adoption services. A CPA's adoption activities that occur in Texas are evaluated for compliance with all applicable minimum standard rules.

CCR staff do not evaluate child-placing activities that occur in other countries.

CPAs in Texas that handle international adoptions must comply with the U.S. Department of State's requirements for international adoptions. The requirements are based on The Hague Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption (Hague Adoption Convention). CCR staff do not enforce the requirements in the Hague Adoption Convention, but may provide technical assistance to help CPAs obtain information from the U.S. Department of State.

4423 Certifying the Licensing Status of a Child-Placing Agency for International Adoptions

October 2020

A child-placing agency (CPA) licensed in Texas may request that HHSC certify, in writing, the status of its license.

Inspectors only process certification requests from child-placing agencies (CPAs) licensed in Texas.

Before preparing a response letter to the CPA, inspectors review the CPA's Child Care Regulation (CCR) record to confirm that the CPA is in good standing.

Procedure

When CCR receives a request to certify the status of a CPA's license, the inspector responsible for the CPA responds to the request.

The inspector provides certification status only:

  • to CPAs that are licensed in Texas; and
  • upon the CPA's request.

Upon receiving a request to certify the status of a CPA's license, the inspector takes the following actions:

  1. Review the CCR record to ensure that the CPA is in good standing.
    • An operation with a valid permit is considered in good standing with CCR, if no corrective or adverse action is pending against the operation.
    • If a CPA is on corrective or adverse action, or such action is pending, consult with the supervisor before replying to the request.
  2. Complete a reply letter (Form 2983 Certification of a CPA License Status Letter). The letter requires:
    • supervisor approval; and
    • a notarized signature.
  3. Send the letter to the CPA.    
    Before responding to a CPA that is not in good standing (that is on corrective or adverse action, or that has such action pending), the inspector obtains approval from the director of residential CCR or a CCR attorney.
  4. Document the request in CLASS, in the Chronology field, and note the date the reply letter (Form 2983) is sent.
  5. File a copy of the reply letter in the CPA's hard copy record.

Other requests are handled as follows:

  • Requests from other entities, such as the U.S. Department of State, are handled as open records requests. See 8000 Responding to Requests for Child Care Regulation Information.
  • Requests for information not addressed in Form 2983 Certification of a CPA License Status Letter, require approval from the director of residential CCR or a CCR attorney.

4430 Random-Sample Monitoring of CPA Foster Homes

Revision 23-4; Effective Nov. 30, 2023

The purpose of a random-sampling inspection is to ensure that a CPA:

  1. is complying with applicable statutes, administrative rules and minimum standards;
  2. has correctly determined that a foster home meets the requirements for verification; and
  3. has made appropriate decisions regarding:
    • the foster home's ability to work with children of a certain age or gender;
    • foster home's ability to care for children who have special needs or supervision requirements;
    • services the foster home is providing; and
    • foster home's capacity.

Human Resources Code Section 42.044(e)

26 TAC Sections 745.8405(a)(5) and 749.2470

Inspectors do not conduct a sampling inspection if the inspection would interfere with an ongoing investigation.

An investigation of a home does not replace a sampling inspection. A sampling inspection of a foster home does not replace a required monitoring inspection of the CPA that regulates the home.

4431 Using Random-Sampling Inspections to Regulate a Child-Placing Agency

Revision 23-4; Effective Nov. 30, 2023

Inspectors must evaluate a child-placing agency's (CPA's) compliance history and sampling information on an ongoing basis to determine the CPA's compliance with statutes, administrative rules and minimum standards.

Inspectors assigned to the CPA cite the CPA for a deficiency if the CPA fails to maintain substantial compliance with statutes, administrative rules and minimum standards or if the random-sampling inspections show a pattern of non-compliances within the CPA.

Procedure

The inspector assigned to the CPA must evaluate the CPA's compliance with statue, administrative rules and minimum standards. This information is used to prepare for the CPA monitoring inspection, continuing appraisal of the CPA, and the CPA's annual enforcement team conference. To evaluate the CPA, the inspector reviews the following information:

  1. the sampling results received from the CCR staff who conduct the random-sampling inspections of foster homes verified by the CPA;
  2. any investigation results;
  3. compliance history report for random-sampling in CLASS; and
  4. other compliance information.

Inspectors must be alert to indicators such as:

  1. patterns or repetition found in the concerns noted during sampling inspections;
  2. falsification of CPA records;
  3. non-compliance with background check rules;
  4. immediate hazards observed during an inspection;
  5. conflict-of-care issues (disagreements between the family and the CPA about the method or quality of care expected); and
  6. the CPA's failure to correct concerns found during a random-sampling inspection.

See:

4140  Preparing for Inspections    
4500  Evaluating Risk to Children and Handling Immediate Danger

4431.1 Citing Deficiencies Based on Random-Sampling Inspection Results

Revision 23-3; Effective Sept. 22, 2023

Procedure

The inspector assigned to the child-placing agency (CPA) cites a deficiency if their evaluation of the CPA's compliance history and sampling information do not reflect substantial compliance with law, administrative rules, and minimum standard rules.

When citing deficiencies that are the result of a random-sampling inspection, the inspector must check the indicator box in CLASS.

If a deficiency is cited without a monitoring inspection of the CPA, the inspector:

  • uses the CLASS Assessment function to notify the CPA; and
  • informs CPA staff about their right to an administrative review of the deficiency.

See:

4200  Assessments   
5600  Administrative Reviews

4432 Selecting CPA Foster Homes for Random-Sampling Inspections

April 2022

Each year, CCR inspects one-third of all foster homes. These foster homes are selected through a random-sampling process. In addition, CCR also conducts sampling inspections each year for all active foster homes verified to serve children with primary medical needs.

Texas Human Resources Code §42.044(e)

40 TAC §745.8407(4)

Procedure

Each September, CCR staff from state office provide each regional director in the residential care program with the annual random-sampling goals for the fiscal year. The regional directors or their designees assign inspections in a way that ensures the region's annual goals are met and the workload is distributed over the fiscal year.

To meet the annual goals, CCR staff select foster homes that have been randomly selected for an inspection from the Agency Home Sampling Report List on the AH (Agency Home) Reports tab in CLASS. This list is generated on the last day of each month and contains a sufficient number of homes for primary and back-up lists.

Homes remain on the list and are available for sampling activities for 60 days, after which they drop off the list and any assigned worker's workload and return to the sampling pool.

If additional homes are needed to meet the assigned number of home inspections for the period, the supervisor or regional director contacts:

  • the director of Residential Care Operations; or
  • the director's designee.

4432.1 Pre-Screening CPA Foster Homes Selected for Random-Sampling Inspections

May 2022

Before scheduling a random-sampling inspection of a foster home, the inspector pre-screens the home to ensure that it meets the following criteria:

  • An active foster home actively caring for children (including homes verified for respite care only); or
  • An active foster home that is empty, but ready to accept placement.

Foster homes with children placed in the home are priority for random-sampling selections.

A random-sampling inspection is not conducted on a home if one or more of the following is true:

  • A foster home is closed or inactive (not currently accepting children for care).
  • A random-sampling inspection was conducted on the foster home within two years before the sample is drawn, unless:
    • the home serves children with primary medical needs;
    • the home has transferred to a different child-placing agency (CPA); or
    • all of the CPA's foster homes have been sampled at least once before the end of the two-year period.
  • A CCR supervisor determines that conducting a random-sampling inspection on the foster home would interfere with an ongoing investigation. 
  • CCR staff determine the home is an adoption-only home (random-sampling inspections are not conducted on adoption-only homes).

Procedure

Before preparing for or conducting a random-sampling inspection of a foster home, the inspector ensures that the home is eligible for a random-sampling inspection by pre-screening the home by reviewing information in CLASS, in IMPACT or from the CPA.

If DFPS or CCR has an open investigation on a foster home on the Agency Home Sampling Report List in CLASS, CCR staff consult with the supervisor to determine if conducting a random sampling inspection would interfere with the ongoing investigation. If a random-sampling inspection would interfere with the ongoing investigation, CCR staff select another foster home. See 6510 Investigations Involving Homes Regulated by a Child-Placing Agency (CPA) for special considerations when conducting investigations at agency foster homes.

4432.2 When a Foster Home is Screened Out

August 2012

If the home is not inspected because it has been determined it is ineligible, the inspector:

  • records the reason for not inspecting the home on the AH (Agency Home) Sampling Report page in CLASS; and
  • reassigns the home to the appropriate staff person.

If needed, the inspector asks for a different home from the random-sampling list in CLASS to be assigned for inspection.

4433 Preparing for a Random-Sampling Inspection

June 2016

Before conducting a random-sampling inspection at an agency foster home, the inspector:

  • requests records about the foster home from the child placing agency (CPA);
  • reviews the records to gain insight into the foster home;
  • completes the Foster Home Screening Review Guide (Form 7291); and
  • contacts the foster home to schedule an inspection, if the inspection is going to be announced.

See:

4433.1 Requesting CPA Foster Home Records in Preparation for a Random-Sampling Inspection    
4433.2 Reviewing a CPA's Record on a Foster Home in Preparation for a Random-Sampling Inspection    
4434 Scheduling Random-Sampling Inspections

4433.1 Requesting CPA Foster Home Records in Preparation for a Random-Sampling Inspection

Revision 23-3; Effective Sept. 22, 2023

Procedure

The inspector contacts the child-placing agency (CPA) to request photocopies or electronic files from the CPA foster home’s record. For homes verified by Child Protective Services (CPS), foster home records are available electronically and must be reviewed in the IMPACT system instead of requesting them from the CPS foster or adoptive home development worker. The inspector converts any paper copies of records received to PDF files and uploads them to CLASS Document Library when conducting the sampling inspection of the home.

Inspectors do not keep the records for homes that they do not inspect. See 4437 Retaining Records of Random-Sampling Inspections.

If a monitoring inspection is planned at the CPA before the random-sampling inspection of the CPA’s foster home, the inspector:

  • obtains copies during the monitoring inspection; or
  • reviews the foster home’s record as part of the monitoring inspection.

See:

1330  Records Retention   
1427  Using Scanned Documents and Other Digital Files as a Regulatory Tool   
1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files   
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 

4433.11 If Requested Records are Not Received Within Five Days

August 2012

Procedure

If Licensing does not receive the child-placing agency's (CPA's) records within five days of requesting the records, the inspector:

  • conducts an unannounced inspection of the CPA; and
  • cites the CPA for not providing the foster home records that were requested.

4433.2 Reviewing a CPA's Record on a Foster Home in Preparation for a Random-Sampling Inspection

June 2016

Procedure

Inspectors prepare for the random-sampling inspection of an agency foster home by reviewing the following information:

  • The CPA's foster home screening
  • Background check records in CLASS for the foster home
  • Developmental or corrective action plans in place for the foster home
  • Investigation history for the last 12 months, or since the last enforcement team conference, whichever is more recent
  • Inspection reports, the foster home's floor plan, serious incident reports, and other documentation in the CPA's foster home record, if:
    • questions or issues are identified as a result of reviewing the home screening; or
    • the records are being reviewed as a part of a monitoring inspection at the CPA; and
  • The children's records in the IMPACT system if CPS foster children are placed in the home.

After reviewing all of the information, the inspector takes note of any questions or issues that may need to be addressed with:

  • the foster parent during the sampling inspection; or
  • the CPA's staff before the sampling inspection.

If it is determined that information documented in the CLASS system regarding the agency foster home is outdated or incorrect, the inspector conducting the random-sampling inspection:

  • instructs the CPA to update the foster home's information; and
  • notifies the inspector assigned to the CPA.

The inspector assigned to the CPA then considers citing a deficiency, using an assessment, if outdated or incorrect information is a pattern for the CPA. See 4431.1 Citing Deficiencies Based on Random-Sampling Inspection Results.

4433.3 Completing the Foster Home Screening Review Guide

June 2016

Procedure

After reviewing the CPA's foster home screening, the inspector completes the Foster Home Screening Review Guide (Form 7291).

4434 Scheduling Random-Sampling Inspections

April 2022

A random-sampling inspection may be:

  • announced (CCR staff contact the foster home before inspecting the home); or
  • unannounced (CCR staff do not contact the foster home before inspecting the home). A minimum of 25 percent of the random-sampling inspections CCR conducts over the annual period must be unannounced.

4434.1 Scheduling Announced Inspections

August 2012

Procedure

When scheduling an announced random-sampling inspection, the inspector works with the agency foster home to ensure that the visit causes as little disruption to the family routine as possible.

If the foster home does not respond to voice messages left by the inspector, the inspector notifies the child-placing agency (CPA) using Form 2990 Agency Foster Home No Contact Letter.

4434.2 Scheduling Unannounced Inspections

April 2022

Procedure

When scheduling an unannounced inspection, the inspector chooses a time that:

  • is likely to cause as little disruption to the family routine as possible; and
  • is a time when the children in care will likely be at the home during the inspection.

If the inspector makes an unannounced random-sampling inspection and no contact is made, the inspector follows procedures in 4435.3 Attempted Random-Sampling Inspections.

4435 Conducting Random-Sampling Inspections at CPA Foster Homes

December 2019

  1. Inspect the home using Form 2978 Foster Home Random-Sampling Guide located on the CCL SharePoint site.
  2. Interview at least one foster parent.
  3. Interview all foster children who are present during the inspection who are able and willing to talk.
  4. Observe all non-verbal foster children who are present during the inspection.
  5. Point out immediate safety and health hazards to the foster parent or adult who is in charge during the inspection.

See 4435.1 Immediate Hazards.

An adult other than the foster parent may be the primary contact person present during the random-sampling inspection; however, at least one foster parent must be present at some time during the inspection in order to be interviewed.

Procedure

To conduct a random-sampling inspection, inspectors take the following actions:

  1. Present, on arrival, a valid HHSC identification card to the person in charge and explain the purpose of the visit.
  2. Use Form 2978 Foster Home Random-Sampling Guide to conduct the random-sampling inspection.    
    The sample interview questions on Form 2978 are suggestions only. They are designed to help the inspector gather information. The inspector reviews the interview questions and tailors them to the circumstances of the inspection in order to ensure that they are appropriate for the child's age, developmental level, and situation.
  3. Determine whether background checks have been completed on all persons at the foster home who are required to have background checks completed. The background checks may be conducted in CLASSMate during the inspection. See 10000 Background Checks.
  4. Interview at least one foster parent in person during the inspection. If another foster parent cannot be present during the inspection and an interview is necessary, the inspector interviews that foster parent by phone.
  5. Interview all foster children who are present during the inspection and are able and willing to talk. Observe all non-verbal foster children who are present during the inspection. When a foster child has not been interviewed, the inspector notes the reason on Form 2978 Foster Home Random-Sampling Guide.
  6. Interview other household members or the staff of the child-placing agency (CPA), as needed, to determine how well the CPA is regulating its foster homes. Obtain written consent before interviewing the foster parent's biological or adopted children. See 6421.2 Observing and Interviewing a Child Related to a Child Care Provider.

If there are any meaningful discrepancies between the results of the home screening and observations made at the foster home during the random-sampling inspection, the inspector notes them on Form 2978 Foster Home Random-Sampling Guide.

If photographs are taken during the inspection, see 1400 State-Issued Equipment, Photographs, Video, Audio and Digital Files.

The sampling inspection is considered complete when both of the following have been addressed through observations and interviews:

  • All of the questions or issues noted during the review of the foster home's record.
  • All topics on CLASS Form 2978 Foster Home Random-Sampling Guide.

4435.1 Immediate Hazards

January 2013

Immediate hazards include, but are not limited to:

  1. unsupervised access to bodies of water, firearms, or medication;
  2. no water or electricity;
  3. structural damage to the home that makes the home uninhabitable;
  4. unsafe equipment; and
  5. construction hazards.

Procedure

When an immediate hazard is observed, the inspector conducting the random-sampling inspection must:

  1. point out immediate safety and health hazards to the foster parent or adult who is in charge during the inspection;
  2. notify the CPA within 24 hours of the inspection about immediate hazards found in the foster home; and
  3. notify the inspector assigned to the CPA within 24 hours of the inspection about immediate hazards found in the foster home.

The CPA must follow up to ensure that:

  • a plan exists for the home to come into compliance; and
  • the home follows the plan for the protection of the children.

The inspector assigned to the CPA follows up with the CPA, as appropriate, to ensure that the CPA has taken the appropriate actions regarding immediate hazards identified during the random-sampling inspection.

4435.2 When Abuse or Neglect is Reported or Observed

August 2012

See 6200 Assessing and Processing Intake Reports, if abuse or neglect is reported or observed during the inspection.

4435.3 Attempted Random-Sampling Inspections

August 2012

If a random-sampling inspection of a foster home is attempted but no contact is made, the inspector:

  • documents the attempted random-sampling inspections in CLASS; and
  • conducts another random-sampling inspection.

See:

4435.31 Attempted Announced Inspections    
4435.32 Attempted Unannounced Inspections

4435.31 Attempted Announced Inspections

August 2012

If the family is not home when the inspector makes an announced random-sampling inspection, the inspector:

  • documents the attempted inspection as a Chronology in the foster home's record in CLASS;
  • contacts the family to reschedule the announced inspection; and
  • creates and sends Form 2990 Agency Foster Home No Contact Letter to the child-placing agency and foster home.

See 4434 Scheduling Random-Sampling Inspections.

4435.32 Attempted Unannounced Inspections

August 2012

First Attempted Unannounced Inspection

If the inspector makes an unannounced random-sampling inspection and no contact is made, the inspector:

  • documents the attempted inspection as a Chronology in the foster home's record in CLASS; and
  • conducts another unannounced inspection within 10 days.

Second Attempted Unannounced Inspection

If the family is not home at the time of the second unannounced random-sampling inspection, the inspector:

  1. documents the attempted inspection as a Chronology in the foster home's record in CLASS;
  2. contacts the family to schedule and complete an announced inspection; and
  3. creates and sends Form 2990 Agency Foster Home No Contact Letter to the child-placing agency and foster home.

See 4434 Scheduling Random-Sampling Inspections.

4436 Documenting and Sharing the Results of Random-Sampling Inspections

Revision 23-3; Effective Sept. 22, 2023

Before leaving the foster home, the inspector:

  • completes CLASS Form 2979 Agency Home Inspection to document any concerns identified and any technical assistance provided during the random-sampling inspection; and
  • conducts an exit interview with the foster parent or person in charge to:
    • inform the person about any findings identified as sampling concerns;
    • inform the person of any photographs taken during the inspection and completes the Photo Taken by CCR During the Inspection radio button as appropriate; 
    • complete the Supporting Documents/Photos Obtained indicator as appropriate; and
    • provide the person with a copy of the completed Form 2979.

Within 10 days of each inspection or attempted inspection, the inspector who conducted the random-sampling inspection:

  1. resolves any pending sampling concerns and documents the outcomes for any pending sampling concerns in CLASS;
  2. completes the Sampling Letter in CLASS; and
  3. provides a copy of the Sampling Letter to the child-placing agency (CPA) and the CCR inspector assigned to the CPA to inform them of the inspection results.

Texas Human Resources Code Sections 42.044; 42.04411

Procedure

Before Leaving the Foster Home

Before leaving the foster home, the inspector completes CLASS Form 2979 to document: 

  1. any concerns identified while reviewing the CPA’s record on the foster home; 
  2. any questions or issues identified while reviewing the foster home’s agency home record in CLASS, including records related to compliance with background check requirements; 
  3. any findings identified as sampling concerns due to conducting the random-sampling inspection;  
  4. any technical assistance provided to the foster home (see 4154 Technical Assistance); and 
  5. any photographs taken by CCR during the inspection. 

After documenting the inspection results on CLASS Form 2979, and before leaving the home, the inspector conducts an exit interview with the foster parent or other adult who is in charge, during which the inspector: 

  • informs the person about any findings identified as sampling concerns;  
  • reviews, but does not provide copies of, any photographs taken during the inspection; and 
  • provides a copy of the completed Form 2979. 

Within 24 Hours After Completing a Random-Sampling Inspection

Within 24 hours after completing the random-sampling inspection, the inspector who conducted the random-sampling inspection notifies the CPA and the CCR inspector assigned to the CPA about any immediate hazards observed in the foster home. Notification may be made by phone, email or fax.

See:

4435.1 Immediate Hazards.

Within 10 Days After the Random-Sampling Inspection

Within 10 days after the inspection, the inspector that conducted the random-sampling inspection: 

  1. resolves any pending sampling concerns and documents the results in CLASS; 
  2. completes the CLASS Sampling Letter; and 
  3. sends the Sampling Letter to: 
    • the CPA; and 
    • the inspector assigned to the CPA.

Documenting an Attempted Random-Sampling Inspection

For information on documenting an attempted random-sampling inspection of a CPA foster home, see 4435.3 Attempted Random-Sampling Inspections.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library
4160  Documenting the Results of an Inspection

4437 Retaining Records of Random-Sampling Inspections

June 2016

Procedure

Documentation collected as part of a random-sampling inspection is retained or destroyed according to the following schedule:

  • The sampling guide, Foster Home Screening Review Guide, and any home records obtained from the child placing agency (CPA) are retained in the case file for one year, or until the enforcement team conference for the CPA has been completed for the year; and
  • The sampling guide, Foster Home Screening Review Guide, and home study record are destroyed after one year, or after the conference has been completed for the year.

Confidential material must be destroyed as outlined in 1330 Records Retention.

4440 Enforcement Team Conferences

September 2017

4441 Enforcement Team Conferences for Child-Placing Agencies and General Residential Operations

September 2017

Licensing staff conduct at least one annual enforcement team conference for each child-placing agency (CPA) main and branch office and general residential operation (GRO), even if the CPA or GRO is on voluntary suspension. These conferences are a part of Licensing's effort to monitor and enforce operations' compliance with law, administrative rules, and minimum standards.

During an enforcement team conference, Licensing staff conduct a comprehensive assessment of the operation by thoroughly reviewing information about the operation in CLASS, including from inspections and investigations that were conducted either by Licensing or DFPS.

The conference may be conducted by phone as a conference call or as a face-to-face meeting.

Texas Human Resources Code (HRC) §42.044(e)(4)

4441.1 Completing the Enforcement Team Pre-Conference Synopsis for a CPA or GRO

September 2017

Procedure

The assigned inspector completes the Pre-Conference Synopsis Details page in CLASS before conducting the enforcement team conference. If a CPA has a main office and one or more branch offices, a synopsis is completed for each office. The assigned inspector completes a synopsis.

The inspector completes the synopsis by the fifth day of the month in which Licensing issued the full permit. For example, if the operation received its full permit in January, the synopsis is due each year on January 5.

The inspector reviews the following information about the operation in CLASS to complete the synopsis:

  • Compliance/Sampling Report Detail (located under CLASS Tools)
  • Emergency Behavior Intervention Report (located under CLASS Tools)
  • Waiver/Variance List
  • People List
  • Inspection/Assessment List
  • Operation Investigation List
  • Corrective and Adverse Action History

The inspector analyzes the data on these pages and reports to determine if any trends or patterns exist. Once the inspector completes the synopsis, he or she submits it for supervisory approval by selecting the Ready for Supervisor Approval checkbox and saving the Pre-Conference Synopsis Details page in CLASS.

Supervisor Responsibilities

The Licensing supervisor must approve the synopsis by the seventh day of the anniversary month in which Licensing issued the full permit. For example, if the operation received its full permit in January, the synopsis approval is due each year on January 7. After approving the synopsis, the Licensing supervisor schedules the enforcement team conference with the assigned inspector.

4441.2 Conducting the Enforcement Team Conference for a CPA or GRO

September 2017

The Licensing supervisor is responsible for ensuring that the enforcement team conference is conducted for a CPA's main office or a GRO.

Special Considerations for a CPA's Branch Office

The Licensing supervisor is responsible for ensuring that an enforcement team conference is conducted for a CPA's branch office.

If a CPA's branch office closed since the last conference, Licensing staff review the following information related to the closure of the branch office as part of the conference for the CPA's main office:

  1. Any significant compliance history associated with the branch office.
  2. Reasons for the closure of the branch office.
  3. Significant outcomes of the closure of the branch office.

4441.3 Activities After Conducting the Enforcement Team Conference for a CPA or GRO

September 2017

Procedure

The inspector documents any identified concerns, follow-up plans, and recommendations in CLASS on the Enforcement Team Conference Details page. The inspector completes this documentation:

  • before the end of the anniversary month of full issuance, for a CPA's main office or a GRO; or
  • before the end of the 15th day of the anniversary month of full issuance, for a CPA's branch office.

Within 15 days of conducting the enforcement team conference, the inspector discusses the previous year's compliance history with the operation's licensed administrator, if appropriate, and documents the discussion or lack thereof in the Review with Administrator section of the Enforcement Team Conference Details page in CLASS. If a discussion did not take place, the inspector documents the reason the discussion did not occur.

Within three days of documenting the discussion with the administrator or lack thereof, the inspector finalizes the conference on the Enforcement Team Conference Details page in CLASS by:

  • selecting Completed as the Final Action;
  • documenting the date the Final Action was entered; and
  • entering any comments if necessary.

4450 Foster Family Home Closure Recommendations

Revision 24-1; Effective Feb. 20, 2024

CCR staff recommends the closure of a foster family home when:

  • there is a high degree of risk to children; and
  • the risk cannot be mitigated.

The associate commissioner of CCR has final approval authority for foster family home closure recommendations.

4451 Assessing a Foster Family Home for Closure

Revision 24-1; Effective Feb. 20, 2024

When CCR staff identifies risk at a foster family home they use one or more of the following criteria to assess the home for closure:

  • patterns of violations of high risk deficiencies;
  • repeat violations of high risk deficiencies;
  • number and patterns of allegations;
  • if the home was previously closed for deficiencies by another CPA; and
  • if CCR approved a closure recommendation for the home while the home was verified by another CPA.

4451.1 Foster Family Home Compliance History Considerations

Revision 24-1; Effective Feb. 20, 2024

When evaluating the compliance history of the foster family home, CCR staff considers if there is a pattern or repeat violations of high-risk deficiencies, or pattern of allegations, related to:

  1. inappropriate discipline;
  2. inadequate supervision;
  3. unsafe living conditions;
  4. safe sleep violations;
  5. children's rights;
  6. interference with an investigation; or
  7. failure to report any of the following persons to the CPA for a background check:
    • a household member; or
    • frequent visitor to the home.

Additional resources for evaluating the compliance history are on the CCR SharePoint site.

4452 Recommending a Foster Family Home for Closure and Documenting the Closure Recommendation in CLASS

Revision 24-1; Effective Feb. 20, 2024

When CCR staff determine that a foster family home presents a high degree of risk to children that cannot be mitigated, CCR staff recommend closure of the home within 24 hours of identifying the risk.

Procedure

CCR staff complete the actions outlined in the table below to recommend a foster family home for closure, and document the closure recommendation in CLASS.

Staff ResponsibleActionWhen Action is Due
Regional CCR Staff
  • complete Form 2980a, available on the CCR SharePoint site;
  • gather supporting documentation such as photographs, or external documentation gathered for an investigation;
  • email Form 2980a and supporting documentation to RCCRFCL@hhs.texas.gov, or indicate if supporting documentation was uploaded to the CLASS Document Library or CCR SharePoint site; and
  • ensure the inspector, supervisor, program administrator, regional director, and state office director are included on the email.
As soon as possible but no later than 24 hours after identifying risk in an agency home.
FCL Project Manager or DesigneeAdds the closure recommendation to the Agency Home Closure Recommendation page in CLASS.Three business days after Form 2980a is received in the RCCRFCL@hhs.texas.gov mailbox.
FCL Project Manager or Designee

Schedules an internal meeting to discuss the recommendation with the agency home review team, which includes:

  • associate commissioner of CCR; 
  • deputy associate commissioner of quality and compliance;
  • director of FCL quality and compliance;
  • FCL project manager;
  • HHSC legal; and
  • as necessary:
    • deputy associate commissioner of regional operations;
    • director of residential care operations; and
    • director of heightened monitoring
After Form 2980a is received in the RCCRFCL@hhs.texas.gov mailbox.
Associate Commissioner of CCR

Meet with the agency home review team to: 

  • discuss the details of the closure recommendation;  
  • decide whether to approve, deny, or withdraw the recommendation; and
  • decide which director will be responsible for notifying the CPA of the decision.

Within 14 days from the date entered in the Received Date field on the Agency Home Closure Recommendation page.
FCL Project Manager or Designee

If the recommendation for closure is approved by the associate commissioner of CCR:

  • updates the Decision Status dropdown on the Agency Home Closure Recommendation Details page; and
  • enters the name of the director responsible for notifying the CPA of the decision in the Notification Assigned To field.

Within 14 days from the date entered in the Received Date field on the Agency Home Closure Recommendation page.

Find more resources for completing Form 2980a on the CCR SharePoint site.

Reference the Agency Home Closure Recommendation Job Aid on the CCR SharePoint site for more details on documenting the closure recommendation in CLASS.

4453 Notifying a CPA of an Approved Closure Recommendation and Documenting the CPA’s Response in CLASS

Revision 24-1; Effective Feb. 20, 2024

If the associate commissioner of CCR approves the closure recommendation, the director responsible for notifying the CPA of the decision sends the CPA notification.

Procedure

The director responsible for notification:

ActionDur Date
  • generates and sends the Agency Home Closure Recommendation Approved – AC1 letter to the CPA by email, with the inspector and supervisor copied on the email; 
  • enters the date the Agency Home Closure Recommendation Approved – AC1 letter was sent to the CPA in the Notification Date field on the Agency Home Closure Recommendation Details page; and
  • notifies the DFPS CPS director for placement services to assess for disallowance of placement.
The same date the decision was entered in the Decision Date field on the Agency Home Closure Recommendation page.
updates the CPA Response dropdown on the Agency Home Closure Recommendation Details page to show that the CPA relinquished the home.Within seven days from the date entered in the Notification Date field on the Agency Home Closure Recommendation page.

4453.1 Documenting the Relinquishment Reason in CLASS

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector may document CCR Recommended Closure in the Reason for Relinquishment field in the Operation Services section of the Agency Home page in CLASS if:

  • a foster family home has an approved closure recommendation documented in CLASS; and
  • the CPA decides to close the home with the CCR Recommended Closure relinquishment reason but is unable to enter the reason due to technical difficulties.

Reference the Agency Home Closure Recommendation Job Aid on the CCR SharePoint site for more details on how to generate and document the notification in CLASS.

4454 Inspecting a CPA after Sending Notification of an Approved Closure Recommendation

Revision 24-1; Effective Feb. 20, 2024

The inspector conducts a follow up inspection at the CPA between 30 and 45 days after the date the CPA was notified of the approved closure recommendation. This inspection is to review the foster home record and evaluate: 

  • the verification status of the foster family home and the status of any placements in the home;
  • if the Agency Home Closure Recommendation Approved – AC1 letter has been filed in the home’s record per 749.535
  • if the foster family home transferred to another CPA or was closed, the home’s transfer or closing summary for compliance with 749.2497; and
  • If the CPA did not close the home, the inspector discusses with the administrator or person in charge: 
    • the steps the operation has taken to address CCR’s concerns about the foster family home since receiving the Agency Home Closure Recommendation Approved – AC1 letter; and 
    • the steps the operation will take or continue to take in the future to address CCR’s concerns about the foster family home. 

In the Narrative text box on the Inspection Details page, the inspector summarizes the reason for the inspection. For example, “Inspector [insert inspector name] conducted an inspection at [insert CPA name] to follow up on the operation being sent an Agency Home Closure Recommendation Approved letter on [insert date letter sent].

4500, Evaluating Risk to Children and Handling Immediate Danger

Revision 23-3; Effective Sept. 22, 2023

CCR staff continuously evaluate each operation's performance in terms of risk to children to determine appropriate enforcement actions to reduce such risk throughout the duration of an operation's permit. See Appendix 7000-1 Factors to Consider for Enforcement Actions.

Human Resources Code Section 42.044

4510 CLASS Enforcement Recommendations

May 2020

CLASS Enforcement Recommendations help supplement the professional assessments of CCR staff. CLASS produces Enforcement Recommendations based upon the type, number, weight, and repetition of violations over the course of an operation's two-year compliance history.

Inspectors continue to independently evaluate risk to children in addition to reviewing CLASS Enforcement Recommendations.

An inspector's decision to select or reject recommended actions on the Enforcement Recommendation Detail page in CLASS is based on the overall risk to children exhibited by the operation.

4511 Options on the Enforcement Recommendation Page in CLASS

Revision 24-2; Effective May 22, 2024

Procedure

Each option on the Enforcement Recommendation Detail page in CLASS represents an action CCR may take on an operation based on the risk presented to children in care. Depending upon the situation, enforcement recommendations may be selected individually or in combination with other enforcement recommendations.

The page layout varies depending upon the operation's current risk as determined by the CLASS Enforcement Recommendations.

No deficiencies cited. Follow monitoring frequency

This means no action is currently being taken. Staff do not select this recommended action if any other enforcement recommendations are selected, even if no deficiencies were cited at the current inspection.

Follow-up without inspection

Reference 4330 Following Up Without an Inspection. Select this recommendation when deficiencies cited do not warrant a physical follow-up.

When this option is selected, CLASS Follow-Up and Chronology entries must clearly document how the inspector determined compliance. The decision to follow up with or without an inspection should be based upon the nature of the deficiencies cited at the most recent inspection(s).

Follow-up with inspection

Reference 4320 Following Up with an Inspection. This action indicates the inspector will conduct a follow-up inspection to determine compliance on specific deficiencies. Staff select this action any time deficiencies necessitate a physical follow-up, even if this action is not included in the Recommended Actions Based on Risk. A Scheduled Date is required when this option is chosen. This date should be the date the follow-up inspection is planned.

Plan of Action

Reference 7300 Plan of Action. A plan of action is a voluntary enforcement action that is a collaborative effort between CCR and an operation. The goal is to work with the operation to develop a plan to reduce risk and help improve the operation’s compliance with CCR statutes, administrative rules and minimum standards. CCR inspects an operation more frequently during a plan of action to evaluate the operation’s compliance with minimum standards.

Warning letter and follow-up with inspection

Reference 5310 When to Issue a Warning Letter. 

CLASS Form 2999 Warning Letter is issued to notify the governing body of a child care operation that CCR has identified risks and may recommend enforcement action if the operation’s compliance history does not improve. The warning letter prompts the operation to resolve patterns of deficiencies in a timely manner and to maintain compliance on an ongoing basis.

The inspector conducts a follow-up inspection within 60 days of sending a warning letter, and the date of the follow-up inspection is entered in the Follow Up Date field on the Warning Letter Detail page.

Expedite monitoring inspection

Staff select this action when risk at the operation warrants conducting a monitoring inspection before the Next Inspection Due Date from the Enforcement Recommendation.

  • The expedited monitoring inspection is an interim inspection. If the operation does not demonstrate improved compliance at the expedited inspection, staff consider additional action.
  • A Scheduled Date is required when this action is chosen. In many cases, if risk warrants an expedited inspection, the date of the expedited inspection should be no more than a few months after the inspection that prompted the action to reduce risk.

Probation

Probation is a type of corrective action where CCR imposes conditions beyond the requirements of the minimum standards and the basic permit to improve an operation’s compliance with minimum standards and reduce risk at the operation. The probation is 12 months and CCR conducts inspections at least monthly to evaluate compliance with minimum standards and the conditions imposed as part of the corrective action plan. CCR may recommend imposing probation if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7410 Criteria for Imposing Probation.

Adverse Amendment

Adverse amendment is a type of adverse action where an existing permit is voided, and the permit is then reissued with new or additional restrictions or conditions. Reference 7622 Criteria for Imposing an Adverse Amendment.

Involuntary Suspension

In an involuntary suspension, CCR takes away the permit holder's authority to operate for a specific period so deficiencies may be corrected. The operation must close during a suspension. Suspension may be imposed if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7623 Criteria for Imposing an Involuntary Suspension.

Injunction

If CCR determines circumstances at the operation are extreme enough to warrant immediate intervention, such as when risk of immediate harm to the health and safety of children in care is substantial, the CCR inspector may make a referral for legal action simultaneously with the mailing of the notice of an intent to deny, revoke or suspend. Reference 7710 Injunction, Including Temporary Injunction and 7631.1 When Immediate Intervention Is Warranted at an Operation.

Denial

Denial is the refusal to grant a permit or an amendment to a permit. The inspector only selects denial as an Enforcement Recommendation if intending to deny a permit amendment, as Enforcement Recommendations are not generated for operations that do not have a full permit. Reference 7621 Criteria for Imposing a Denial and 7630 Taking Adverse Action..

Revocation

Revocation is the cancellation of a permit, which requires the operation to close. Revocation may be imposed if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7624 Criteria for Imposing a Revocation.
 

4512 Acting on Enforcement Recommendations

Revision 23-3; Effective Sept. 22, 2023

The inspector has five days from the date CLASS generated the Enforcement Recommendation to select one or more recommended actions from the Enforcement Recommendation Detail page in CLASS. When acting upon an Enforcement Recommendation, the inspector must:

  • review the action that triggered the recommendation;
  • consider all relevant compliance history for the operation;
  • consult with his or her supervisor if necessary; and
  • select one or more recommended actions based on risk.

See 4500 Evaluating Risk to Children and Handling Immediate Danger

4512.1 Documenting Enforcement Recommendations

May 2020

Any combination of actions can be selected from the three categories on the Enforcement Recommendation Details page. The three categories are:

  1. Recommended Actions Based on Risk;
  2. Actions Not Requiring Supervisory Review; and
  3. Actions Requiring Supervisory Review.

Actions in the Recommended Actions Based on Risk section correspond with the risk level of the Recommended Monitoring Frequency.

Actions in the Actions Not Requiring Supervisory Review or Actions Requiring Supervisory Review sections correspond with either a higher or lower risk level than is associated with the Recommended Monitoring Frequency. Choosing an action in one of these sections will change the Recommended Monitoring Frequency and the due date of the associated inspection To-Do.

If the inspector selects an alternative action (those listed in the Actions Not Requiring Supervisory Review and Actions Requiring Supervisory Review categories), the inspector must also:

  1. choose the most appropriate reason from the Reason for Alternative Recommendation drop-down menu; and
  2. document the reasons to support the enforcement action decision in the Licensing Specialist Comments field.

Also see the CLASS Enforcement Recommendations Tip Sheet on the CCR SharePoint site for additional information.

4512.11 When to Allow CLASS to System Close the Recommendation

May 2020

If the inspector agrees with the recommended monitoring frequency on the Enforcement Recommendation Detail page in CLASS but does not find it appropriate to select an enforcement action in the Recommended Actions Based on Risk section, then the inspector should take no action and allow the enforcement action recommendation to "system close."

Within five days of receiving the recommended action, the inspector documents in a CLASS Chronology (type Recommendation) why the inspector did not take the recommended enforcement action. The documentation includes:

  • why the inspector agrees with the recommended monitoring frequency; and
  • what action(s) will be taken even though they were not noted on the Enforcement Recommendation Detail page.

Also see the CLASS Enforcement Recommendations Tip Sheet located on the CCR SharePoint site for additional information.

4512.2 Actions Requiring Supervisory Approval

May 2020

If the inspector selects any recommended action from the Actions Requiring Supervisory Review section of the Enforcement Recommendation Detail page in CLASS, the following actions are taken within five days of the selection:

  • the inspector staffs the inspector’s assessment of risk and the selected recommendations with the supervisor; and
  • the supervisor reviews the Enforcement Recommendation Details page to:
    • ensure that the selections made on the Enforcement Recommendation Details page accurately reflect the decisions made during the consultation;
    • remove or add check box selections (or both), if necessary, to only include recommended actions that will be implemented; and
    • describe what actions the inspector originally selected, what (if any) changes were made to recommendations selected, and why in the Supervisor Comments field.

After the supervisor enters the decision in CLASS, the inspector has an additional five days to review the Enforcement Recommendation Details page and initiate the approved actions.

4520 Handling Immediate Danger to Children

Revision 23-4; Effective Nov. 30, 2023

Procedure

During an inspection or investigation, staff may discover conditions in a regulated or unregulated operation that pose a threat of immediate danger to children because of violations of the minimum standards, administrative rules or statutes.

If this occurs, the inspector or investigator consults with the supervisor, program administrator and regional director to determine whether it is necessary to take one or more of the following actions:

  1. Request assistance from the Department of Family and Protective Services.
  2. Request assistance from fire, health or law enforcement officials.
  3. Remain at the operation until parents or managing conservators arrive or the dangerous situation is corrected.
  4. Request that the permit holder or person in charge notify parents or managing conservators of the situation. If that person fails to do so, notify the parents or managing conservators.
  5. Submit a referral to Child Care Enforcement.
  6. Remove the child or children from a residential operation if there is a substantial risk of harm and if the removal is approved by a CCR director.

See:

Appendix 7000-1:  Factors to Consider for Enforcement Actions  
7637  Emergency Suspension and Closure  
7740  Injunctive Relief

4521 Immediate Danger in a State-Operated Facility

Revision 23-3; Effective Sept. 22, 2023

If conditions are found that pose an immediate threat or danger to children in care in a state-operated operation because of violations of minimum standards, administrative rules or statutes, the appropriate CCR director notifies the associate commissioner of CCR, who then notifies the commissioner.

The commissioner may notify the governor at his or her discretion.

4600, Evaluating Compliance with Liability Insurance Requirements

July 2021

Licensed, registered and listed operations are required to maintain liability insurance as specified in minimum standards and Texas Administrative Code Chapter 745. Annually, these operations must verify their liability insurance by the following time frames:

  • Licensed operations: by the anniversary date of the initial license; and
  • Registered and listed operations: by the anniversary date of the full permit.

Certified (state-operated) operations, small employer-based child care programs, shelter care programs and relative-only listed family homes are not required to maintain liability insurance.

Texas Human Resources Code Sections 42.04942.0495

26 TAC Sections 745.249745.251745.253

4610 When to Evaluate for Compliance with Liability Insurance Requirements

July 2021

CCR staff annually evaluate compliance with liability insurance requirements for each licensed, registered or listed operation. The method and timing of the evaluation is determined by the operation type.

4611 When to Evaluate Liability Insurance Requirements for Licensed Operations

July 2021

Procedure

The CCR inspector evaluates whether a licensed operation is in compliance with the liability insurance requirements during the first routine monitoring inspection that is conducted after the anniversary date of the operation’s initial license.

See 4620 How to Evaluate for Compliance with Annual Verification of Liability Insurance Requirements

26 TAC Sections 744.203744.205744.207746.203746.205746.207748.158748.159748.160749.155749.157; and 749.159

4612 When to Evaluate Liability Insurance Requirements for Registered Child Care Homes

July 2021

Procedure

The CCR inspector evaluates whether a registered child care home is in compliance with the liability insurance requirements on an annual basis. The method and timing depend on whether a routine monitoring inspection will occur before the next anniversary date of the home’s permit. When a routine monitoring inspection will occur before the next anniversary date of the home’s permit, the CCR inspector evaluates the operation for compliance during the routine monitoring inspection.

When a routine monitoring inspection will not occur before the next anniversary date of the home’s permit, the CCR inspector completes the evaluation no later than 30 days after the verification of liability insurance was due. The CCR inspector may create in CLASS a manual To-Do reminder for completing this evaluation.

See 4620 How to Evaluate for Compliance with Annual Verification of Liability Insurance Requirements

26 TAC Sections 747.209747.211747.213

4613 When to Evaluate Liability Insurance Requirements for Listed Family Homes

July 2021

Procedure

Within 30 days after the anniversary date of the permit for the listed family home, CCR staff determine whether the home is in compliance with the liability insurance requirements.

Listed family homes that care for related children only are not required to maintain liability insurance.

See: 4620 How to Evaluate for Compliance with Annual Verification of Liability Insurance Requirements

26 TAC Sections 742.403742.405742.407

4620 How to Evaluate for Compliance with Liability Insurance Requirements

Revision 23-3; Effective Sept. 22, 2023

CCR staff review CLASS, digital records on the CCR Digital Storage SharePoint site, CLASS Document Library, and the operation’s hard copy record to evaluate whether the operation is in compliance. If the operation is not in compliance, CCR staff take steps to ensure the operation comes into compliance.

Procedure

CCR staff determine if the operation did one of the following by the anniversary date of the operation’s initial permit (licensed operations) or full permit (registered, certified or listed operations):

  • updated liability insurance information through the operation’s online provider account (this submission will update the Liability Insurance History page in CLASS for the operation);
  • submitted the information on a completed Form 2962, Verification of Liability Insurance; or
  • submitted the information required by Form 2962 in a manner other than completing Form 2962.

If a provider submits Form 2962 or submits the information required by Form 2962 in another manner, staff document the information submitted on the Liability Insurance History page in CLASS.

If the Operation Has Liability Insurance

If the operation has liability insurance, CCR staff verify that the operation provided written proof of insurance coverage from the insurance company. CCR staff upload the proof of insurance to CLASS Document Library, according to 1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files.

If an Operation Does Not Have Liability Insurance

If staff are evaluating liability insurance requirements during an inspection or investigation and the operation does not have liability insurance, CCR staff evaluate whether the operation notified parents as required. If the operation is not in compliance, CCR staff take steps to ensure the operation comes into compliance.

4700, Reviewing Operation Policies

November 2009

Licensing reviews certain policies of regulated operations to determine the operation's compliance with law, administrative rules, and minimum standard rules.

Licensing determines whether policies comply with minimum standard rules, but Licensing does not approve policies.

40 TAC §745.243

Procedure

When reviewing an operation's policies, Licensing staff take the following steps:

  • Determine whether the policy is required by, or directly relates to, compliance with law, administrative rules, and minimum standard rules.
  • Decline any request to review a policy that is outside of Licensing's jurisdiction.
  • For example:
    • Licensing staff may not endorse an operation's personnel policy on sexual harassment; and
    • Licensing staff do not review CPS policies related to family based services.
  • Communicate clearly to the operation that Licensing cannot endorse therapeutic techniques or programming. Licensing assesses therapeutic techniques or programming only to the extent that they directly relate to compliance with minimum standard rules.

When an Operation Requests Licensing to Review Its Policy

If an operation requests a policy review, Licensing staff use the following language to inform the operation in writing about whether its policy violates law or minimum standard rules:

Licensing received a request to review your operation's policy or policies on (insert date). Licensing reviewed the policy/policies for compliance with law and minimum standard rules. Licensing cannot otherwise review a policy or assess a clinical or therapeutic technique used by your operation. If Licensing determines that an operation's policies comply with minimum standard rules, this does not imply endorsement of any clinical or therapeutic technique noted within the policies.

The policy or policies you submitted (do or do not) comply with Licensing rules and law.

If the policy or policies do not comply with Licensing rules, Licensing staff include the rationale. For example:

The discipline policy you submitted includes use of corporal punishment. Corporal punishment is prohibited by 26 Texas Administrative Code §748.2303.

4800, Risk Analysis

Revision 23-2; Effective June 26, 2023

A risk analysis is an objective report written by the Performance Management Unit (PMU) that contains:

  1. an analysis of an operation's compliance with CCR statutes, administrative rules and minimum standards;
  2. an identification of indicators associated with the potential of a higher risk of harm to the children in care at an operation; and
  3. recommendations regarding monitoring or enforcement actions with the operation, based on the risk identified.

Human Resources Code (HRC) Section 42.0211

A risk analysis supplements the assessment of risk at an operation, but it does not replace CCR’s responsibility to assess risk before and after each inspection, investigation, assessment or significant change that occurs at an operation.

Additional information on the Risk Analysis process can be found on the CCR PMU SharePoint site.

4810 Risk Analysis Review Period

Revision 23-2; Effective June 26, 2023

Procedure

PMU identifies an operation for a risk analysis based on the operation’s two-year compliance history; however, the assigned PMU risk analyst completes the risk analysis by assessing the operation's compliance history over the last five years. The five-year time frame is determined as follows:

If …then …
the operation has had a permit for five or more years when the PMU initiates the risk analysis, and the PMU has not previously completed a risk analysis on the operation …the review period begins five years prior to the date when the PMU initiates the risk analysis.
the operation has had a permit for less than five years when the PMU initiates the risk analysis …the review period begins on the date when CCR issued the initial permit.
the PMU previously completed a risk analysis on the operation within the last five years, and PMU is no longer tracking the operation through the risk review process …the PMU completes a new risk analysis by analyzing only the operation's compliance history since the most recent risk analysis was completed.

4811 Identifying an Operation for a Risk Analysis

Revision 23-2; Effective June 26, 2023

PMU identifies operations for a risk analysis monthly, based on rates of non-compliance in high-risk areas over the preceding two years as compared to other operations: 

  • of similar type and size;
  • located in the same region; and 
  • which have been in operation for a similar length of time.

High-risk areas include:

  • deficiencies by weight of the standard;
  • reason to believe (RTB) findings;
  • RTB findings resulting from a child fatality;
  • enforcement actions previously imposed;
  • serious injuries; and
  • day care director or residential care licensed administrator vacancies reported.

Operations not operating, currently on probation, placed on heightened monitoring, or pending adverse action are exempt from being the subject of a risk analysis.

Procedure

PMU assigns the risk analysis by the 15th day of the month that an operation is identified for a risk analysis. The risk analysis is completed by the 15th day of the following month. For example, a risk analysis assigned between Jan. 1-15 is due to be completed by Feb. 15.

When an operation is identified for a risk analysis, PMU sends an email notification to the administrative assistant (if the operation is a listed family home), inspector, supervisor, program administrator and regional director assigned to the operation. This notification contains: 

  • information about the operation; and 
  • the assigned PMU risk analyst.

If regional CCR staff receive a risk analysis notification for an operation that is actively being considered for probation or adverse action, then regional CCR staff notify the assigned risk analyst via email within two days of being notified of the risk analysis assignment.

4812 CCR Staff Responsibilities after an Operation is Identified for a Risk Analysis

Revision 23-2; Effective June 26, 2023

Procedure

CCR staff complete the following tasks after the PMU identifies an operation for a risk analysis:

TaskWho is ResponsibleWhen Task is Completed

Review the operation's compliance history and all documentation in the operation’s CLASS record within the designated review period (includes reviewing abuse and neglect investigations completed by DFPS). 

See:

4811 Risk Analysis Review Period

PMU Risk AnalystUpon being assigned a risk analysis to complete.

Review any enforcement actions imposed on the operation within the designated review period.

See: 

4811 Risk Analysis Review Period

PMU Risk AnalystUpon being assigned a risk analysis to complete.
Analyze the information reviewed and recommend a monitoring or enforcement action in accordance with relevant administrative rules and CCR policy.PMU Risk AnalystAfter conducting a review of the operation’s history and record.
Draft a written report which summarizes the information reviewed and analyzed.PMU Risk AnalystBy the 15th day of the following month.
Document a summary of the risk analysis on the operation’s CLASS Chronology page.PMU Risk AnalystBy the 15th day of the following month.
Upload a copy of the written report to the operation’s record in CLASS.PMU Risk AnalystBy the 15th day of the following month.

Send the completed written report to the following regional CCR staff assigned to the operation, via email:

  • administrative assistant (listed family homes only)
  • inspector
  • supervisor
  • program administrator
  • regional director
  • director of regional operations
  • deputy associate commissioner for regional operations
  • deputy associate commissioner for quality and compliance
PMU Risk AnalystBy the 15th day of the following month.
Review the written report.Regional CCR staffUpon receiving the written report.
Determine whether to implement all, some or none of the recommendations.Regional CCR staffUpon receiving the written report.

4820 Risk Review Overview

Revision 23-2; Effective June 26, 2023

A risk review is an objective report written by the PMU that contains:  

  • a high-level overview of:  
    • the most recent risk analysis completed on the operation; or 
    • the most recent probation imposed on the operation; 
  • a summary of the operation's compliance history; and   
  • an assessment of this information to evaluate the impact of an action taken against an operation.  

A PMU risk analyst completes a risk review for an open operation: 

  • with a completed risk analysis on file;  
  • that is placed on probation; or 
  • that the director of PMU determines requires a review. 

Procedure

A risk analyst completes a risk review every six months after the completion date of the risk analysis, the probation actual begin date, or the date determined by the director of PMU. A risk review is completed every six months until: 

  • three risk reviews have been completed (even if a probation period has ended); or  
  • the operation is closed in CLASS. 

After each risk review is complete, the risk analyst sends a written copy of the results to the following regional CCR staff assigned to the operation, via email:  

  • administrative assistant (listed family homes only); 
  • inspector;  
  • supervisor;  
  • program administrator;  
  • regional director; 
  • director of regional operations;  
  • deputy associate commissioner for regional operations; and 
  • deputy associate commissioner for quality and compliance. 

The PMU risk analyst also uploads a copy of the risk review to the operation's record in CLASS.

5100, Waivers and Variances

Revision 24-1; Effective Feb. 20, 2024

Waivers and variances are tools to help child care operations comply with minimum standards within a specified period, without compromising the safety of children served by the operation.

Human Resources Code Sections 42.042(e-5), 42.042(j) and 42.048(c) 

Evaluating Risk

A waiver or variance is not an entitlement. CCR evaluates the risk to children before granting a waiver or variance. CCR may not grant a waiver or variance if child safety would be negatively impacted. When granting a waiver or variance, staff place conditions on the waiver or variance to ensure that children are not at risk.

Determining the Appropriate Action

A waiver may be appropriate if the economic impact of compliance is great enough to make compliance impractical.

A variance may be appropriate if there is good and just cause for the operation to meet the purpose of the standard in a different way.

CCR may only grant a waiver or variance for a specified period. A waiver or variance expires on the date specified by the supervisor, which the supervisor lists in CLASS.

26 TAC Sections 745.8301, 745.8311 and 745.8313

5110 Receiving a Waiver or Variance Request

Revision 24-1; Effective Feb. 20, 2024

CCR staff may receive a waiver or variance request from the operation in CLASS, by mail or email. 

Waiver or Variance Request Received in CLASS

The inspector assigned to the operation will receive a CLASS To-Do to process the waiver or variance request if the operation submits the request through the operation’s CCR Online Account. 

Waiver or Variance Request Received by Mail or Email

The inspector may receive either Form 2937 Child Care Regulation Waiver/Variance Request, or a letter with all the same information from the operation by mail or email. The inspector uploads the request to CLASS Document Library and enters the request in CLASS within one day after receiving the request. 

For All Waiver or Variance Requests

The inspector:

  • uploads all documentation to CLASS Document Library; and
  • verifies the waiver or variance request is only for:
    • one operation;
    • one minimum standard number or subsection; and
    • one foster home, if a child-placing agency is requesting a waiver or variance for a minimum standard relating to foster care.

If the request is for more than one operation, one minimum standard or subsection, or one foster home, the inspector contacts the operation to discuss if the operation should submit a separate waiver or variance request.

References: 

5141.1 Entering the Request in CLASS

26 TAC Section 745.8305

5120 Decision Guidelines for Recommending to Grant or Deny a Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

CCR staff determine if the requested waiver or variance is appropriate and consider its potential impact on child safety. The CCR inspector recommends denying a waiver or variance that could negatively impact the safety of the children in the care of the operation.

CCR presumes that a waiver or variance would negatively impact child safety and would not be appropriate if:

  • the operation requesting the waiver or variance is currently on an enforcement action or heightened monitoring; and
  • the operation is requesting to waive or vary a minimum standard that is a basis for the enforcement action or heightened monitoring.

Procedure

When deciding to recommend granting or denying a request, the inspector considers if:

  • The operation has demonstrated the ability to maintain compliance with minimum standards, administrative rules, and statutes for the past five years.
  • The operation has any current or past enforcement actions.
  • The operation is on heightened monitoring (RCCR only).
  • Any economic factors or other constraints affect the operation’s ability to comply.
  • The operation can comply with the minimum standards without a waiver or variance.
  • There are risk variables at the operation, such as the operation experiencing a staff shortage or location of the operation.
  • The operation has other waivers or variances in effect.
  • The operation’s permit status has any relevance.
  • The operation was previously granted a waiver or variance and if the operation complied with the conditions.
  • To conduct an inspection before making the decision.
  • Granting this request will negatively impact child safety.
  • The length of time requested for the waiver or variance is reasonable or a shorter time is more appropriate.

Additional Considerations for Foster Homes

When determining whether to recommend granting a waiver or variance request for a foster home, the inspector considers the following factors: 

  • the compliance history of the foster home;
  • whether the foster home may use the exception criteria in 26 TAC Section 749.2551(b), if the request is to increase the maximum number of foster children a foster home may care for ;
  • any limitations in state or federal law, including that CCR:
    • may only issue a waiver if the home is a kinship foster home;
    • may not grant a request that would result in a foster home’s total capacity exceeding eight foster children; and
    • may not grant a request that would result in a foster home’s foster care capacity exceeding six foster children unless the operation:
      • is requesting a variance for 26 TAC Section 749.2551(b)(1); and
      • is not able to use the exception criteria in 26 TAC Section 749.2551(b)(1) to increase the foster home’s foster care capacity.

References:

26 TAC Sections 745.8313 and 745.8315

Human Resources Code Section 42.0463(a)(2)

42 United States Code Section 672(c)(1)(B) 

5121 Waiver or Variance Request for a Minimum Standard with Requirements in Federal or State Law

Revision 24-1; Effective Feb. 20, 2024

CCR cannot waive or vary a requirement in minimum standards that is in Chapter 42, Human Resources Code, or any other Texas statute or federal law.

Exception: Texas Human Resources Code Section 42.042(e-5) allows for a licensed child care center or a registered child care home to request a waiver on a standard relating to nutrition, physical activity or screen time if the economic impact of compliance is great enough to make compliance impractical.

References:

26 TAC Section 745.8307

Human Resources Code Sections 42.042(e-3) and 42.042(e-5)

5130 Conditions and Time Frames for the Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

The CCR inspector establishes conditions and time frames for all granted waivers and variances. The conditions include what CCR determines is necessary to protect the health and safety of children in care. 

Each condition must be observable and measurable by CCR staff and the operation. CCR staff:

  • do not re-state the minimum standards in the conditions, but describe specific circumstances that the operation must address; and
  • evaluate the operation’s compliance with the conditions during certain types of inspections at the operation.

When deciding on conditions for the waiver or variance, the inspector considers the same factors as outlined in 5120 Decision Guidelines for Recommending to Grant or Deny a Waiver or Variance.

References:

Evaluating the Conditions of a Waiver or Variance, 5160

26 TAC Sections 745.8311 and 745.8317

5131 Establishing Conditions for a Granted Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

Procedure

When establishing conditions, the inspector ensures that the conditions include details about:

  • the specific person the request applies to;
  • the name of the foster home if the request is for a foster home;
  • the measures the operation must take to reduce risk and protect the children;
  • steps the operation must take toward meeting the standard;
  • any dates when CCR requires supporting documentation from the operation;
  • documentation or other observable items that must be available at the operation; and
  • other restrictions or requirements placed on the operation.

References:

5150 When an Operation Disagrees with Conditions or Expiration Date on the Waiver or Variance

26 TAC Section 745.8311

5132 Waiver and Variance Expiration Time Frame

Revision 24-1; Effective Feb. 20, 2024

When setting time frames for the waiver or variance, the inspector ensures:

  • the dates are reasonable based on risk to children; and 
  • the expiration date is three years or less from the date the request is granted. 

26 TAC Section 745.8317

5140 Time Frames for Processing a Waiver or Variance Request

Revision 24-1; Effective Feb. 20, 2024

Procedure

CCR staff take the actions per the time frames outlined in the table below:

Staff Person ResponsibleAction(s)Timeframe
CCR Inspector
  • enters the waiver or variance request in CLASS under the Waiver Variance tab of the operation if the operation submitted Form 2937, Child Care Regulation Waiver/Variance Request;
  • uploads the request and supporting documentation to CLASS Document Library;
  • evaluates the request, including supporting documentation; 
  • develops conditions and an expiration date for a waiver or variance if the inspector will recommend granting; and
  • makes a recommendation to the supervisor whether to grant or deny the request.
Within 15 days of receiving the request from the operation.
CCR SupervisorMakes the final decision whether to grant or deny the waiver or varianceWithin 15 days of receiving the recommendation from the CCR inspector.
CCR StaffNotify the operation of the final decisionWithin five days of the supervisor making the final decision.

References: 

5141.4 Supervisor’s Review of the Waiver or Variance Request

5142 Notifying the Operation of Waiver or Variance Decision

26 TAC Section 745.8307

5141 Documenting the Waiver or Variance Decision in CLASS

Revision 24-1; Effective Feb. 20, 2024

5141.1 Entering the Request in CLASS

Revision 24-1; Effective Feb. 20, 2024

Procedure

If the operation submits Form 2937, Child Care Regulation Waiver/Variance Request, or a request with the same information as collected on form 2937, the inspector enters the following information on the Waiver Variance Detail page in CLASS:

  • if the request is a waiver or a variance;
  • for CPS contractors only, the relationship of the children, if the request is for a foster home;
  • the Original Receive Date as the date CCR received the request;
  • comments in the Licensing Representative Comments box:
    • the comments should include the reason for the request and relevant specific details, such as the names and ages of children, the name of the person the request pertains to, if applicable, and the justification for the request;
  • the applicable minimum standard number; and
  • the date the request was completed.

The inspector uploads the paper request and supporting documentation to CLASS Document Library per 1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library.

5141.2 Recommending, Documenting, and Granting a Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

Procedure

To recommend that CCR grant a waiver or variance request on the Waiver/Variance Detail page in CLASS, the inspector:

  • selects Grant from the Recommendation drop-down menu; 
  • enters the Recommendation Date
  • documents the rationale for granting the request in the Documentation narrative field in the Licensing Representative Recommendation section; and
  • enters the Effective Date, Expiration Date and conditions in the Waiver/Variance Specifics section.

When entering conditions in CLASS, the inspector follows 5131 Establishing Conditions for a Granted Waiver or Variance.

5141.3 Recommending and Documenting Denial of a Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

Procedure

To recommend the denial of a waiver or variance request, the inspector takes the following actions in the Licensing Representative Recommendation section of the Waiver/Variance Detail page in CLASS:

  1. selects Denied from the Recommendation drop-down menu;
  2. enters the date of the decision in the Recommendation Date field; and
  3. documents the rationale in the Documentation narrative field.

5141.4 Supervisor's Review of the Waiver or Variance Request

Revision 24-1; Effective Feb. 20, 2024

Procedure

The supervisor considers the same factors as the inspector when recommending granting the request outlined in 5120 Decision Guidelines for Recommending to Grant or Deny a Waiver or Variance.

The supervisor grants or denies the waiver or variance request within 15 days of receiving notice of the inspector’s recommendation.

The supervisor takes the following actions in the Supervisor Decision section of the Waiver/Variance Details page in CLASS:

  1. enters the Decision Date;
  2. documents the rationale for granting or denying the request in the Documentation narrative field;
  3. selects Granted or Denied from the Waiver/Variance Status drop-down menu; and
  4. selects a Reason only if denying the waiver or variance request.

5141.5 Denying a Duplicate Waiver or Variance Request

Revision 24-1; Effective Feb. 20, 2024

Procedure

If CCR determines that an operation submitted a duplicate of an existing waiver or variance, the inspector recommends denying the request and follows the policy and procedure in 5141.3 Recommending and Documenting Denial of a Waiver or Variance. The supervisor then selects “Duplicate Request” from the Reason drop-down menu in the Supervisor Decision section.

5142 Notifying the Operation of Waiver or Variance Decision

Revision 24-2; Effective May 22, 2024

Procedure

The inspector sends the operation notice of the decision within five days of the supervisor’s decision. 

CCR Grants the Waiver or Variance Request

If CCR grants the waiver or variance request, the inspector pastes the information from the CCR SharePoint Form 2937 Decision on the Waiver/Variance Granted Only to the HHSC letterhead within the Waiver/Variance Detail page in CLASS.

CCR Denies the Waiver or Variance Request

If CCR denies the waiver or variance request, the inspector generates CLASS Form 2937 Decision on Waiver/Variance Letter (page 2) from the Waiver/Variance Detail page in CLASS. Then the inspector enters the reason for the denial on the CLASS Form 2937 Decision on Waiver/Variance Letter and sends the letter to the operation.

In Both Cases

If the operation indicated on Form 2937, Child Care Regulation Waiver/Variance Request, to be notified by email, the inspector sends the appropriate notification to the operation’s contact email address in CLASS.

If the operation indicated on Form 2937, Child Care Regulation Waiver/Variance Request, to be notified by certified mail, the inspector includes a certified mail number in the letter and mails the letter to the operation.

5143 Updating Administrative Review

Revision 24-1; Effective Feb. 12, 2024

Procedure

After finalizing and sending the decision letter, the inspector completes both fields of the Notifications and Administrative Review section by following the policy and procedures in 5600 Administrative Reviews.

Reference: 5150 When an Operation Disagrees with Conditions or the Expiration Date on the Waiver or Variance

5150 When an Operation Disagrees with Conditions or the Expiration Date on the Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

If the operation disagrees with the conditions or expiration date that CCR sets on the waiver or variance, the operation may:

  • contact the CCR supervisor to discuss concerns; or
  • request an administrative review of the decision.

The operation may request an administrative review without first contacting the supervisor. If the operation contacts the supervisor first, but a mutual agreement cannot be made, the operation may request an administrative review.

Reference: 26 TAC Section 745.8321

5151 Operation Contacts the Supervisor to Address Concerns with Conditions or Expiration Date on the Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

Procedure

An operation that wants to amend conditions or the expiration date of a granted waiver or variance may contact the supervisor by calling, emailing, or mailing a letter to request a meeting to discuss items of concern.

If the operation contacts the CCR supervisor to address concerns with the conditions or expiration date on the waiver or variance, the supervisor takes the following steps in CLASS:

  • documents the discussion as a Chronology (type, Waiver/Variance); and
    • makes the changes on the Waiver/Variance Detail page if the supervisor approves the changes; or
    • leaves the conditions or expiration date as originally documented if the supervisor does not approve the changes.

The supervisor advises the operation of the right to request an administrative review if the operation continues to disagree with the supervisor’s decision about the original conditions or expiration date on the granted waiver or variance.

Reference: 26 TAC Section 745.8321

5160 Evaluating the Conditions of a Waiver or Variance

Revision 24-1; Effective Feb. 20 2024

Evaluating Conditions of a Waiver or Variance During an Inspection

The inspector evaluates the operation’s compliance with the conditions on the waiver or variance during the following types of inspections:

  • initial;
  • monitoring; 
  • follow-up, if the inspection is relevant to the waiver or variance; and
  • investigation, if the investigation is relevant to the waiver or variance.

For operations on heightened monitoring (RCCR only), the heightened monitoring inspector evaluates the operation’s compliance with the conditions on the waiver or variance during at least one inspection per month. 

When evaluating conditions during an inspection, the inspector selects the check box titled The following items regarding risk were evaluated on the Inspection Details page in CLASS or CLASSMate. While at the operation, the inspector evaluates:

  1. the conditions of the waiver or variance;
  2. if conditions were met;
  3. if circumstances at the operation have changed that may affect the status of the waiver or variance; and
  4. if unintended risk to children is observed because of the waiver or variance.

If the operation is not meeting a condition, the inspector cites 26 TAC Section 745.8311(b) as deficient for the operation not meeting the condition.

Reference: 4152 Reviewing Restrictions, Conditions, Waivers, and Variances

Evaluating Conditions Outside of an Inspection

When evaluating conditions outside of an inspection, the inspector: 

  • documents the evaluation as a CLASS Chronology (type, Waiver/Variance); and 
  • includes a description of documentation that the operation submitted to CCR and if the operation has met the conditions.

Examples of when CCR may evaluate conditions outside of an inspection:

  • Reviewing documentation that the operation submitted to CCR, including:
    • proof of enrollment in courses;
    • transcripts;
    • training certificates or logs;
    • proof of GED completion; and
    • medical visit documentation; and
  • Evaluating conditions of a waiver or variance for a listed family home.

If the operation is not meeting a condition, staff cite 26 TAC Section 745.8311(b) by assessment for not meeting the condition.

Reference: 5180 Revoking a Waiver or Variance

5170 Renewing a Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

If the operation cannot come into compliance with the minimum standard by the expiration date, the operation may request to renew the waiver or variance. The operation submits a new waiver or variance request to CCR at least 35 days before the expiration date of the current waiver or variance.

If the operation does not request a new waiver or variance, the operation must comply with the minimum standard, even if a new request related to the standard is pending review by CCR.

Procedure

When deciding to recommend granting or denying a request to renew a waiver or variance, the inspector considers the following:

  1. The operation’s compliance with the conditions of the original waiver or variance.
  2. The operation’s overall compliance history since CCR granted the original waiver or variance request.
  3. If there have been any changes to the operation since CCR granted the original waiver or variance request. If so, if the changes may affect child safety.

References:

5120 Decision Guidelines for Recommending to Grant or Deny a Waiver or Variance 
5130 Conditions and Time Frames for the Waiver or Variance 
5140 Time Frames for Processing a Waiver or Variance Request

26 TAC Section 745.8309

5180 Revoking a Waiver or Variance

Revision 24-1; Effective Feb. 202, 2024

The CCR supervisor may revoke a waiver or variance that CCR previously granted, based upon:

  • the waiver or variance not addressing a risk to children that currently exists;
  • circumstances at the operation supporting the decision to grant the waiver or variance changed;
  • the operation not meeting conditions; 
  • the waiver or variance requiring an additional or alternative condition; or
  • a combination of any of the criteria above.

Procedure

Protocol to Recommend Revoking a Waiver or Variance

The CCR inspector who determines that a waiver or variance should be revoked consults with the supervisor about a recommended course of action. The inspector documents the consultation as a CLASS Chronology using type, Waiver/Variance. Note: CLASS uses the term “rescind” instead of “revoke”.

Notifying the Operation of the Revocation of the Waiver or Variance

If the supervisor agrees with the inspector’s recommendation to revoke the waiver or variance, the supervisor:

  • generates a letter on CLASS HHSC letterhead to explain CCR’s revocation of the waiver or variance;
  • includes in the letter the operation’s right to request an administrative review within 15 days of receiving the letter;
  • sends the letter by certified mail; and 
  • notifies the program administrator about the revocation of the waiver or variance.

References:

5150 When an Operation Disagrees with Conditions or Expiration Date on the Waiver or Variance
5190 Documenting Outcomes for Waiver or Variance

26 TAC Sections 745.8319 and 745.8321

5181 Amending Conditions of a Waiver or Variance

Revision 24-2; Effective May 22, 2024

The CCR supervisor may amend the conditions of a waiver or variance that CCR previously granted, based upon:

  • the waiver or variance not addressing a risk to children that currently exists;
  • circumstances at the operation that supported the decision to grant the waiver or variance changing;
  • the operation not meeting conditions; 
  • the waiver or variance requiring an additional or alternative condition; or
  • a combination of any of the criteria above.

Procedure

Protocol to Recommend Amending Conditions of a Waiver or Variance 

The CCR inspector who decides the conditions for a waiver or variance should be amended consults with the supervisor about a recommended course of action. The inspector documents the consultation as a CLASS Chronology (type, Waiver/Variance).

Notifying the Operation of the Amendments to a Waiver or Variance

If the supervisor agrees with the inspector’s recommendation to amend the waiver or variance, the supervisor: 

  • updates the conditions in CLASS; and 
  • generates and sends the updated letter by updating the conditions and pasting the information from the CCR SharePoint Form 2937 Decision on Waiver/Variance Granted Only on the HHSC letterhead in the Waiver or Variance Detail page in CLASS.

References:

When an Operation Disagrees with Conditions or Expiration Date on the Waiver or Variance, 5150 
Documenting Outcomes for Waiver or Variance, 5190

26 TAC Sections 745.8319 and 745.8321

5190 Documenting Outcomes for Waiver or Variance

Revision 24-1; Effective Feb. 20, 2024

Procedure

The inspector verifies the status of any expiring waiver or variance. The inspector completes the Result and Outcome Date fields in the Outcome section on the Waiver/Variance Detail page in CLASS.

The inspector does not select an outcome when a waiver (W) or variance (V) is denied.

IfThen, select one of the following Results:
The current waiver or variance is no longer needed
  • Met standard before expiration
  • No longer needed
The operation requests to renew the waiver or varianceNew W/V request
CCR revokes the waiver or varianceRescinded
The waiver or variance has expired
  • W/V expired - standard met
  • W/V expired - standard not met
The operation closesOperation closed

5200, Fees

February 2020

CCL must charge fees for permits and for conducting background checks unless an operation is exempt from such fees. All revenue collected from fees with the exception of the $1 per background check fee is deposited in the state’s general revenue fund.

Human Resources Code §42.052142.05442.056

5210 Types and Amounts of Fees

February 2020

Fees may be charged as follows:

  1. Application fee
  2. Initial license fee
  3. Initial license renewal fee
  4. Full license fee
  5. Annual fee
  6. Amendment fee (for an increase in capacity)
  7. Background check fee

Human Resources Code §§42.05442.056(c)42.153(c)42.159(e)42.203(c)42.206(e)

26 TAC §745.501

Fee Amounts

The chart below lists the fees required for child care operations to obtain or maintain a permit, although some operations may be exempt from certain fees. See 5211 Exemption from Fees.

Type of FeeLicensed Child Care Operations (except CPAs)Child-Placing AgenciesRegistered Child Care HomesListed Family HomesTemporary Shelter/Small Employer Based
Application$35$35$35$20$35
Initial License$35$50N/AN/AN/A
Initial License Renewal$35$50N/AN/AN/A
Full License$35 + $1* capacity$100N/AN/AN/A
Annual$35 + $1* capacity$100$35$20N/A
Background Check$2/background check$2/background check$2/background check$2/background check$2/background check
Amendment (Capacity Increase)$1* capacity increaseN/AN/AN/AN/A

Also see 5212 Fees for Multiple Licenses.

Human Resources Code §§42.153(c)42.159(e)42.203(c)42.206(e)

26 TAC §§745.505745.507745.509745.521

5211 Exemptions from Fees

July 2021

Certified Operations

Certified or state-run operations are exempt from all fees.

Certain Nonprofit Operations

A nonprofit residential child care operation regulated under Chapter 42 of the Human Resources Code must pay the application fees but is exempt from paying permit and background check fees if the operation:

  • does not charge for the care that the operation provides; or
  • provides residential care for children in the managing conservatorship of DFPS.

Also see 3322 Fee Exemptions for Certain Residential Operations

5211.1 Residential Child Care Operations that Provide Care to Children in the Managing Conservatorship of DFPS

Listed Family Homes that Provide Care to Related Children

A listed family home is exempt from all fees if all of the following conditions are met:

  1. The caregiver provides care to children related to them.
  2. The care is provided in the child’s home.
  3. HHSC has received a Texas Workforce Commission Listed Home Fee Waiver Authorization certificate exempting the provider from paying fees.
  4. Care is not provided to related or unrelated children in the caregiver’s home.

If the status of the listed home changes and is no longer exempt from paying fees, then the listed home’s next annual fee is not due until the anniversary of the issuance date the following year.

See 3121.1 Documenting Fee Exemptions in CLASS

Texas Human Resources Code §42.054(g)

26 TAC §745.503

5211.1 Residential Child Care Operations that Provide Care to Children in the Managing Conservatorship of DFPS

October 2020

Procedure

CCR staff select “Yes” from the Exempt from Operation Fees drop-down box after the application is accepted for an operation planning to contract with DFPS to provide care for children in the managing conservatorship of DFPS.

If the operation has not obtained a contract with DFPS at the time of full permit issuance, the inspector changes the selection to “No” from the Exempt from Operations Fee drop-down box. The inspector generates the Initial Fee Invoice and Full Permit Fee Invoice to be paid by the operation prior to issuing the full permit.  

An operation with a DFPS contract at the time of full permit issuance remains exempt from future fees as long as the operation maintains the contract. However, if the operation does not maintain its contract, the operation may be exempt from paying an annual fee if the operation provided care to children in DFPS conservatorship at any time during the 12-month period immediately preceding the anniversary date of the operation’s license.  

See 3322 Fee Exemptions for Certain Residential Operations

5212 Fees for Multiple Licenses

Revision 24-2; Effective May 22, 2024

The applicant or permit holder must pay a fee for each license if they want separate licenses for different types of operations at the same location. 

References

Types of Child Care Permits, 2100

26 TAC Sections 745.511 and 745.513 

5220 Sending Fee Invoices and Receiving Payments

February 2020

Licensing sends an invoice to an applicant or operation for each fee the applicant or operation must pay. Licensing staff ensures the invoice is sent to the applicant or operation and resends the invoice to the operation, if necessary.

See 5230 Fee Invoices.

5221 Emailing or Mailing Invoices to the Applicant or Operation

February 2020

Procedure

Operation or Applicant Has Contact Email Address

If the applicant or operation has a contact email address in CLASS, CLASS sends a system-generated email to the applicant or operation that includes the invoice.

Operation or Applicant Does Not Have Contact Email Address

If the applicant or operation does not have a contact email address in CLASS, Licensing staff must print a copy of the invoice on the Invoice and Payment Summary page in CLASS and mail it to the applicant or operation. Licensing staff includes a return envelope addressed to:

HHSC Accounts Receivable 
P.O. Box 149055 
Austin, TX 78714-9055

26 TAC §745.515

5221.1 Resending a Fee Invoice

February 2020

If an invoice is returned via email as undeliverable or the applicant or operation does not receive the invoice, Licensing staff resends the invoice to the corrected or new email or mailing address.

Procedure

Licensing staff first verifies that the invoice was sent to the email or mailing address that is listed in CLASS. If staff concludes that the address is no longer valid, staff contacts the applicant or operation to obtain the correct email address or mailing address and updates the information on the operation’s Main page in CLASS. Staff then resends the invoice via email if the operation or applicant has a contact email address. Otherwise, staff resends the invoice via mail.

5222 How an Operation Submits Payment

February 2020

Licensing does not collect fee payments directly.

Procedure

An applicant or operation may submit a payment by:

  • Submitting the payment through the operation’s online Child Care Licensing Account; or
  • Mailing the payment, along with the invoice, to HHSC Accounts Receivable.

The invoice sent to the applicant or operation includes the:

  1. invoice number;
  2. type of fee due;
  3. fee amount;
  4. instructions for submitting payments; and
  5. consequences for not paying the fee.

See 5220 Sending Fee Invoices and Receiving Payments

5222.1 Receiving a Payment at a Licensing Office

February 2020

Procedure

If an applicant or operation submits a mailed payment directly to a Licensing office, Licensing staff who received the payment takes the following steps:

  • Enters all payment details on the Payments Sent to ARTS tracking log located on the CCL SharePoint site; and  
  • Sends the payment and related invoice to HHSC Accounts Receivable.

If no invoice was included with the payment, staff prints the invoice from the operation’s Invoice & Payment Summary page in CLASS and sends the payment and invoice to HHSC Accounts Receivable. If Licensing staff is unable to locate the invoice on the operation’s Invoice & Payment Summary page, staff sends the payment to HHSC Accounts Receivable with the operation name, operation number, and as much other identifying information as possible.

Licensing staff informs the applicant or operation how to submit future payments.

5222.11 Reconciling a Payment Received by a Licensing Office

February 2020

Procedure

By the fifth day of each month, a designated Licensing staff in each district must reconcile the payments entered on the Payments Sent to ARTS tracking log by completing a CLASS review and updating the log.

5230 Fee Invoices

February 2020

A unique invoice number is assigned to each fee the operation must pay. The invoice and all payment events related to the invoice are displayed on the Invoice & Payment Summary page in CLASS. Depending on the fee type, an invoice may be automatically generated by CLASS or generated by Licensing staff as further described in this section.

5231 Application Fee Invoice

February 2020

The applicant must pay an application fee before Licensing staff can accept an application for a permit, unless the applicant is exempt from paying the application fee.

If the application is withdrawn or the permit is not issued, the application fee is not refunded. If the applicant reapplies within 30 days after withdrawing the applicant’s original application, the applicant does not have to pay a new application fee.

Procedure

CLASS automatically generates an Application Fee Invoice when:

  • An applicant submits an e-Application; or
  • Licensing enters the application in CLASS and saves the operation’s Main page for the first time.

Texas Human Resources Code §§42.05442.153(c)42.159(e)

26 TAC §§745.401745.503745.505745.507745.509745.519745.521

See:

3220  Reviewing and Accepting the Application for a Permit 
5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5221  Emailing or Mailing Invoices to the Applicant or Operation 
5270  Fee Refund Guidelines 
Appendix 5000-2  Licensing Fees

5232 Initial Permit Fee Invoice

February 2020

Before Licensing issues an initial license to an applicant for a license, the applicant must pay the initial license fee, unless the applicant is exempt from paying permit fees.

If the operation withdraws the application after paying the initial license fee and an initial license is not issued, the initial license fee may be refunded.

Procedure

Licensing staff creates and sends the Initial Permit Fee Invoice to the applicant after:

  • notifying the applicant of the results of the application inspection via CLASS Form 2936; and
  • determining the applicant has met the criteria to receive an initial license.

Licensing staff create and send the Initial Permit Fee Invoice by taking the following steps on the Invoice & Payment Summary page in CLASS:

  1. select Add Fee Invoice button;
  2. select Initial Permit Fee Invoice from the Add Fee Invoice drop-down menu;
  3. select Yes to confirm the action; and
  4. send the invoice to the applicant.

Texas Human Resources Code §42.054

26 TAC §§745.503745.509745.519

See: 

3412  Criteria for Issuing an Initial License 
5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5221  Emailing or Mailing Invoices to the Applicant or Operation 
5270  Fee Refund Guidelines 
Appendix 5000-2  Licensing Fees

5233 Initial Permit Renewal Fee Invoice

February 2020

The operation must pay an initial license renewal fee if Licensing staff determine that the initial license must be renewed, unless the operation is exempt from paying permit fees.

Procedure

Licensing staff create and send the Initial Permit Renewal Fee Invoice upon determining that the initial license must be renewed.

Licensing staff create and send the Initial Permit Renewal Fee Invoice by taking the following steps on the Invoice & Payment Summary page in CLASS:

  1. select Add Fee Invoice button;
  2. select Initial Permit Fee Invoice from the Add Fee Invoice drop-down menu;
  3. select Yes to confirm the action; and
  4. send the invoice to the operation.

26 TAC §§745.503745.509

See: 

3520  Renewing an Initial License 
5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5221  Emailing or Mailing Invoices to the Applicant or Operation 
5270  Fee Refund Guidelines 
Appendix 5000-2   Licensing Fees

5234 Full Permit Fee Invoice for a Licensed Operation

Revision 22-5; Effective Nov. 4, 2022

Before CCR issues a full license, the inspector confirms whether the operation paid the fee for the full license, unless the operation is exempt from paying permit fees.

If the operation failed to pay the fee before the initial or renewed initial license expiration date, CCR staff denies issuance of the full license.

Texas Human Resources Code Section 42.054 

26 TAC Sections 745.503, 745.509 

Procedure

CCR staff create and send the Full Permit Fee Invoice after the supervisor has approved issuing the full license, as outlined in 3531.1 Criteria for Issuing A Full License when an Operation Has an Initial License.

To create and send the Full Permit Fee Invoice, CCR staff take the following steps on the Invoice & Payment Summary page in CLASS:

  1. select Add Fee Invoice button;
  2. select Full Permit Fee Invoice from the Add Fee Invoice drop-down menu;
  3. select Yes to confirm the action; and
  4. send the invoice to the operation.

See:

3322 Fee Exemptions for Certain Residential Operations 
3531.1  Criteria for Issuing a Full License When an Operation Has an Initial License 
5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5221  Emailing or Mailing Invoices to the Applicant or Operation 
5270  Fee Refund Guidelines 
7600  Adverse Actions 
Appendix 5000-2  Licensing Fees

5235 Annual Permit Fee Invoice

February 2020

An operation must pay an annual fee by the anniversary date of the full permit issuance, unless the operation is exempt from paying the annual fee.

Procedure

CLASS automatically generates the Annual Permit Fee Invoice 35 days prior to the anniversary of the issuance of the operation’s full permit.

If CLASS generates the Annual Permit Fee Invoice for an operation that is exempt from paying the annual fee, Licensing staff:

  1. indicate on the operation’s Main page in CLASS that the operation is exempt from fees; and
  2. cancel the Annual Permit Fee Invoice with the reason Operation is Exempt on the operation’s Invoice and Payment Summary page in CLASS.

Texas Human Resources Code §42.054

26 TAC §§745.503745.505745.507745.509745.515

See: 

5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5220  Sending Fee Invoices and Receiving Payments 
5270  Fee Refund Guidelines 
Appendix 5000-2  Licensing Fees 
Appendix 5000-3  Invoice Cancellation Reasons

5236 Capacity Increase Fee Invoice (Also Known as Amendment Fee)

Revision 23-2; Effective June 26, 2023

If a licensed operation with a full permit submits a request to increase the operation’s capacity, the inspector follows the policies in 3811 When and How to Evaluate a Change in an Operation before approving or rejecting the request.

If the permit holder pays for the capacity increase but CCR does not approve the capacity increase, CCR refunds the payment.

Procedure

CLASS automatically generates the Capacity Fee Invoice  when CCR staff approve the operation’s request to increase capacity in CLASS.

If an operation changes or withdraws its request to increase capacity, CCR staff do not cancel the Capacity Fee Invoice. CCR staff follow 3823.2 Changing the Operation’s Capacity in CLASS. CLASS automatically cancels the Capacity Fee Invoice.

The fee is not prorated. If a license is amended to reduce capacity, the permit holder does not receive a refund for the permit holder’s last annual fee payment. The reduction is reflected in the next annual fee payment.

26 TAC Sections 745.509(10); 745.519

Also see: 

3820  How to Evaluate and Process Amendments to a Permit
5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5220  Sending Fee Invoices and Receiving Payments 
5270  Fee Refund Guidelines 
Appendix 5000-2  Licensing Fees

5237 Background Check Fee Invoice

February 2020

An applicant or permit holder incurs a background check fee every time a background check is submitted for an individual, unless the operation is exempt from paying background check fees.

Procedure

CLASS automatically generates the Background Check Fee Invoice on a quarterly basis.

26 TAC §§745.503745.505745.507745.509745.521  

See: 

5210  Types and Amounts of Fees 
5211  Exemption from Fees 
5220  Sending Fee Invoices and Receiving Payments 
5270  Fee Refund Guidelines 
Appendix 5000-2  Licensing Fees

5240 Verification of Fee Payments

February 2020

Licensing staff must verify that an operation has fully paid all required fee invoices throughout the application, monitoring and permit renewal processes.

26 TAC §§745.477745.505745.507745.509745.521

5241 Invoice Status and Actions Taken

February 2020

Procedure

Each invoice has an Invoice Status, which changes when additional invoice events occur.

The chart below lists each possible Invoice Status that could be displayed on the Invoice & Payment Summary page in CLASS and any subsequent action that occurs.

Invoice StatusDescriptionAction
Not PaidThe status when an invoice is first created. Displays until a payment is made or the invoice is canceled.
  • Licensing may not accept an application, issue or amend a permit, or renew a permit, as applicable; or
  • Licensing staff takes further actions to verify whether the payment was made. as outlined in 5243 Additional Steps to Verify Fee Payments.
Paid in FullThe status when the operation submits a payment for the full amount of the invoice.No further action.
Partially PaidThe status when an operation submits a payment that is less than the full amount of the invoice.If the operation has a contact email address, CLASS generates and sends an invoice with an updated balance. If the operation does not have a contact email address, Licensing staff prints the updated invoice and mails it to the operation.
OverpaidThe status when an operation submits a payment that is greater than the full amount of the invoice.Licensing staff initiate a refund, as outlined in 5270 Fee Refund Guidelines.
CancelledThe status when Licensing staff cancels an invoice.No further action.

See: 

5243 Additional Steps to Verify Fee Payments 
5260 Cancelling Invoices

5242 How to Verify the Fee Invoice Status

February 2020

Procedure

Licensing staff determines the status of an invoice by locating the particular invoice on the Invoice & Payment Summary page in CLASS. Staff then identifies whether the invoice has been paid by assessing the information in the Invoice Status column.

See: 

5241  Invoice Status and Actions Taken

5243 Additional Steps to Verify Fee Payments

February 2020

Procedure

Licensing staff takes additional steps to verify a payment when:

  1. the Invoice Status is Not Paid or Partially Paid; and
  2. the applicant or operation presents evidence, including the date and amount of the payment, that the operation submitted a payment.

5243.1 Linking an Unlinked Payment to an Invoice

October 2020

The first step CCR staff takes to verify a payment is to review the Unlinked Payments section on the operation’s Invoice & Payment Summary page in CLASS. Payments listed in the Unlinked Payments section have been linked to the operation, but are not associated with an invoice.

Procedure

CCR staff may contact the operation to verify which invoice the unlinked payment should be applied to. CCR staff links the payment to the invoice by taking the following actions in the Unlinked Payments section on the operation’s Invoice & Payment Summary page in CLASS:

  1. finds the row with the Payment Received event for the payment to be linked;
  2. selects the ‘link’ icon in the Action column;
  3. selects one or more invoices to apply the payment; and
  4. enters the amount to be applied to each invoice (the total amount applied must equal the payment amount).

5243.2 Linking a Payment to Multiple Invoices

October 2020

CCR staff may link a payment in the Unlinked Payments section in CLASS to multiple invoices. CCR staff follow the process detailed in 5243.1 Linking an Unlinked Payment to an Invoice. The total amount applied between the invoices must equal the total amount of the payment.

5243.3 Linking a Payment to an Operation

October 2020

If the operation does not have any unlinked payments on the operation’s Invoice & Payment Summary page in CLASS that match the date and amount of the operation's payment, CCR staff conducts a search for the payment through the Payment Verification page in CLASS (located in CLASS Tools). Payments on the Payment Verification page in CLASS have not been associated with an operation or an invoice.

Procedure

CCR staff accesses the Payment Verification page in CLASS and conducts a search for the payment. If CCR staff identifies the payment through the search, staff:

  1. searches for the operation;
  2. attaches the payment to the operation by selecting the check box next to the payment and saving the page;
  3. confirms that the payment has been moved to the Unlinked Payments section of the selected operation by using the Invoice & Payment Summary link at the top of the page; and
  4. links the payment to the correct invoice by following the procedures outlined in 5243.1 Linking an Unlinked Payment to an Invoice.

5243.4 Linking a Payment to a Different Invoice

October 2020

The Update/Query Payments page in CLASS allows staff to take actions on payments that have already been linked to an operation or an invoice. CCR may unlink a payment from an invoice by linking it to a new operation or by linking it to the same operation. Either option results in the payment being displayed in the Unlinked Payments table of the selected operation.

Procedure

If CCR staff determines that the operation’s payment was linked to the incorrect operation or an incorrect invoice, staff takes the following steps on the Update/Query Payment page (located under CLASS Tools) in CLASS:

  1. searches for the payment in CLASS;
  2. searches for the operation;
  3. selects the check box next to the payment and saves the page;
  4. confirms that the payment has been moved to the Unlinked Payments section of the selected operation by using the Invoice & Payment Summary link at the top of the page; and
  5. links the payment to the correct invoice by following the procedures outlined in 5243.1 Linking an Unlinked Payment to an Invoice.

5250 Handling Changes to Payments

October 2020

A correction to a payment occurs when the Accounts Receivable Tracking System (ARTS) makes a change to how ARTS originally processed a manual payment. A correction can occur for the following reasons:

  1. payment returned as non-sufficient funds (NSF);
  2. the whole or a portion of the payment is refunded; or
  3. other errors in the original data entry.

5251 Payment Returned as Non-Sufficient Funds (NSF)

Revision 22-4; Effective Sept. 15, 2022

Procedure

Non-Sufficient Funds (NSF) event occurs when a fee payment is declined due to the account not having enough funds to cover the payment. When an NSF event occurs, CLASS updates the Invoice Status and adds a Non-Sufficient Funds event for the applicable invoice. Licensing staff follow up with the operation when staff:

  1. receives notice that an NSF for an annual fee payment has posted in CLASS; or
  2. observes during an initial or monitoring inspection or while reviewing the operation’s permit renewal application that an NSF for any other fee payment has posted in CLASS.

If the operation has a contact email address in CLASS, CLASS automatically resends the invoice with the updated balance after an NSF is posted in CLASS. Licensing staff follow up with the operation by phone, email, or inspection to ensure payment and take any required action.

Unlinked Non-Sufficient Funds

If Licensing staff observe a payment with an associated NSF payment event in the Unlinked Payments section of the Invoice and Payment Summary page or on the Payment Verification page in CLASS, staff refer to the Linking Payment Changes to an Invoice document located on the CCL SharePoint site for instructions on linking payments and NSF events to an invoice.

Also see: 

3924.2 Verifying Fee and Administrative Penalty Payments 
4141 Preparing for Application, Initial, and Monitoring Inspections 
4300 Conducting a Follow-Up with an Operation 
Appendix 5000-2 Licensing Fees

5252 Payment Refunded

February 2020

Licensing staff initiate a refund when:

  • an applicant or operation overpays a fee invoice (Invoice Status is Overpaid); or
  • when the operation requests a refund and Licensing staff determine the operation is eligible for a refund.

26 TAC §745.519

Procedure

If the correct invoice number is submitted with the refund request, CLASS adds a Refund Issued event for the applicable invoice on the Invoice and Payment Summary page after ARTS processes the refund.

Unlinked Refunds

If Licensing staff observe a payment with an associated refunded payment event in the Unlinked Payments section of the Invoice and Payment Summary page or on the Payment Verification page in CLASS, staff refer to the Linking NSFs, Refunds, and Payment Reversals/Corrections to an Invoice document located on the CCL SharePoint site for instructions on linking payments and refunds to an invoice.

See:

5270  Fee Refund Guidelines

5253 Payment Corrected

February 2020

Procedure

When the Accounts Receivable Tracking System (ARTS) processes a reversal and correction for a fee payment previously posted in CLASS, CLASS updates the Invoice Status and adds a Reversal and Correction event for the applicable invoice. A Reversal and Correction may occur when ARTS:

  1. Moves a payment to a different invoice or operation;
  2. Splits a payment originally linked to one invoice to multiple invoices; or
  3. Makes corrections to other details associated with the payment.

Unlinked Reversals and Corrections

If Licensing staff observe a payment with an associated Reversal or Correction event in the Unlinked Payments section of the Invoice and Payment Summary page in CLASS, staff refer to the Linking NSFs, Refunds, and Payment Reversals/Corrections to an Invoice document located on the CCL SharePoint site for instructions on linking payments and associated reversals and corrections to an invoice.

5260 Cancelling Invoices

February 2020

Licensing staff may cancel certain fee invoices if the invoice was created in error, including when an invoice is created for a fee that the operation is exempt from paying.

Texas Human Resources Code §42.054(g)

26 TAC §745.503

See 5211 Exemptions from Fees

Procedure

Licensing staff locates the invoice to be cancelled on the Operation’s Invoice & Payment Summary page in CLASS. Licensing staff then:

  1. selects the Cancel icon in the Action column;
  2. selects the reason for the cancellation; and
  3. selects Yes to confirm the cancellation.

See Appendix 5000-3 Invoice Cancellation Reasons

5270 Fee Refund Guidelines

February 2020

No refund is made if a permit is revoked or relinquished.

Fees that have been paid may be refunded only under certain conditions. Those conditions are outlined in the following refund chart:

Refund Chart

Type of FeeConditions for Refund
Application fee when issuance was lateFee is refunded after appeal
Application feeNonrefundable fee
Initial license feeRefunded if the application is withdrawn or the initial license is not issued
Full license feeRefunded if the initial license expires with no full license being issued
Background check feeNonrefundable
Amendment to license feeRefunded if the amendment is not issued
All annual feesNonrefundable
All feesRefunded if the fee is overpaid

Texas Human Resources Code §42.054

26 TAC §745.519

Procedure

Within 30 calendar days of determining the refund is due, Licensing staff completes the HHSC Refund Request Form to process a refund, as outlined in the CCL Job Aid: How to Complete the ARTS Refund Request document located on the CCL SharePoint site.

5300, Warning Letters

5310 When to Issue a Warning Letter

Revision 22-4; Effective Sept. 20, 2022

CCR staff send CLASS Form 2999 Warning Letter to notify the governing body of a child care operation that CCR has identified risks and may recommend or impose an enforcement action if the operation’s compliance history does not improve. 

The basis of the warning letter may be any of the following: 

  • a single inspection, assessment or investigation;
  • an enforcement team conference (RC only); or 
  • the operation’s overall compliance history.

The warning letter prompts the operation to:

  • resolve patterns of deficiencies in a timely manner; and
  • maintain compliance with the law, administrative rules, and minimum standard rules on an ongoing basis.

Two Warning Letters within 24 Months

If CCR staff issues two warning letters within 24 months, the CCR inspector consults with the CCR supervisor to determine whether to recommend an enforcement action or consider taking other actions if the operation's compliance history does not improve.

5311 Creating the Warning Letter

Revision 22-4; Effective Sept. 20, 2022

Procedure

The CCR inspector creates a new warning letter from the Warning Letter List page in CLASS.  

Next, on the Warning Letter Detail page, the inspector selects the appropriate option from the Reasons dropdown in the Warning Letter Details section.

  • If the reason is a single inspection, investigation, assessment, or enforcement team conference (ETC), the inspector selects the associated ID or number in the applicable field.
  • If the reason is Recent or Overall Compliance History, the inspector documents the reason for sending the warning letter in the Reason Explanation field.

Once the final version of CLASS Form 2999 Warning Letter is saved the CCR inspector:

  • sends the letter and copy of the CLASS report Compliance/Sampling Report Detail to the operation; and
  • enters the planned date of the follow-up inspection in the Follow Up Date field on the Warning Letter Detail page.

If the CCR inspector needs to make a change to the Follow Up Date field after the Warning Letter Detail page has been saved the inspector consults with the supervisor.

See 5313 Following-Up to a Warning Letter

5312 Stopping a Warning Letter

Revision 22-4; Effective Sept. 20, 2022

Before the final version of CLASS Form 2999 Warning Letter is saved, the CCR inspector may stop the warning letter to make changes on the Warning Letter Detail page.

Procedure

To stop CLASS Form 2999 Warning Letter, the CCR inspector:

  • selects the Stop Warning Letter checkbox; and 
  • enters the reason for stopping the warning letter in the Reason field. 

After the warning letter is stopped, the Warning Letter Detail page becomes view only and changes cannot be made to the page. 

5313 Following-Up to a Warning Letter

Revision 22-4; Effective Sept. 20, 2022

Within 60 days of the date CCR staff save the final version CLASS Form 2999 Warning Letter, the CCR inspector conducts a follow-up inspection to discuss with the director or administrator or person in charge:

  • the reason CCR sent the warning letter;
  • the operation’s compliance history report; 
  • the steps the operation has taken to address CCR’s concerns about the operation’s compliance history since receiving the warning letter; and
  • the steps the operation will take or continue to take in the future to address CCR’s concerns about the operation’s compliance history.

During the inspection, the CCR inspector informs the operation that CCR may recommend or impose an enforcement action if the operation’s compliance history does not improve.

If needed, the CCR inspector also follows-up on deficiencies not yet corrected and for which the compliance date has passed.

See 4300 Conducting a Follow-Up with an Operation 

5400, Controlling Person

Revision 23-3; Effective Sept. 22, 2023

CCR staff conduct all of the following activities related to controlling persons for operations other than temporary shelter child care operations and small employer-based child care operations:

  1. Obtain information on all controlling persons from applicants.
  2. Ensure that CCR has the most current information on all controlling persons for operations with permits.
  3. Conduct searches in the CLASS and Adverse Action Record-Sharing (AARS) systems to search for controlling persons at operations that are applying for a permit.
  4. Conduct searches in the CLASS system for controlling persons at operations that have a permit.
  5. Enter information on controlling persons into the CLASS system.
  6. Determine eligibility for persons in the role of a controlling person.
  7. Notify the controlling person, applicant, or operation about the controlling person’s eligibility for the role of controlling person.
  8. Monitor operations for compliance with statutes, administrative rules, and minimum standards related to controlling person.
  9. Work with Child Care Enforcement on due process activities associated with controlling persons who are designated because an operation that the person was a controlling person for had a permit revoked.

5410 Definitions of Terms Related to Controlling Persons

5411 Definition of Controlling Person

Revision 23-3; Effective Sept. 22, 2023

A controlling person is a person who, either alone or in connection with others, has the ability to directly or indirectly influence or direct the management, expenditures or policies of an operation.

Human Resources Code Section 42.002(18)

Certified (state-operated), licensed, listed and registered applicants and operations must identify persons serving in the role of a controlling person at the operation.

A controlling person of a child care operation includes any of the following:

  1. An owner of the operation.
  2. A member of the governing body of the operation, including, as applicable, an executive, an officer, a board member and a partner.
  3. A sole proprietor.
  4. The sole proprietor’s spouse.
  5. The primary caregiver at a child care home.
  6. The spouse of the primary caregiver at a child care home.
  7. A person who manages, administrates or directs the operation or its governing body, including but not limited to:
    • a child care center, program, operation or site director; or 
    • a licensed administrator.
  8. A person who, either alone or in connection with others, has the ability to influence or direct the management, expenditures or policies of the operation. For example, a person may have influence over the operation because of a personal, familial or other relationship with the governing body, manager or other controlling person of the operation.

26 TAC Section 745.901(a)

A person does not have to be present at the operation or hold an official title at the operation or governing body to be a controlling person.

26 TAC Section 745.901(b)

An employee, lender, secured creditor or landlord of the operation is not a controlling person, unless the person meets the requirements listed above.

26 TAC Section 745.901(c)

5411.1 Persons Who are Ineligible to be a Controlling Person

March 2013

A person may not serve as a controlling person at an operation regulated by Licensing if the person:

  1. is ineligible to receive a permit (see 3222 How to Determine Whether the Applicant Is Eligible to Apply);
  2. has been denied a permit for a substantive reason;
  3. has had a permit revoked;
  4. voluntarily closed an operation or relinquished a permit after Licensing notified the operation of the intent to revoke a permit;
  5. voluntarily closed an operation or relinquished a permit after Licensing notified the operation of a decision to revoke a permit;
  6. was a controlling person for an operation at the time the conduct occurred that resulted in the permit being revoked;
  7. was a controlling person for an operation that closed or relinquished a permit after Licensing notified the operation of the intent to revoke a permit; and
  8. who was a controlling person for an operation that closed or relinquished a permit after Licensing notified the operation of a decision to revoke a permit.

Human Resources Code §§42.06242.072(c-1), (g)

40 TAC §745.911

5412 Definition of a Match for Controlling Persons

September 2012

In regard to controlling persons, a match exists when a search in the CLASS or HHSC Adverse Action Record-Sharing (AARS) systems reveals that a person is:

  1. a designated controlling person;
  2. a sustained controlling person;
  3. ineligible to receive a permit (see 3222 How to Determine Whether the Applicant is Eligible to Apply); or
  4. listed in the AARS system.

5420 When and How Applicants and Operations Submit Information on Controlling Persons

5421 When Applicants and Operations Submit Information on Controlling Persons

March 2013

Licensed Operations and Registered Family Homes

The applicant, permit holder, or head of the governing body of a licensed operation or registered family home submits information on controlling persons:

  1. when submitting an application;
  2. within two days after a person becomes a controlling person at the operation; or
  3. within two days after a person ceases to be a controlling person at the operation.

26 TAC §§744.305(a)(6)746.305(a)(6)747.303(a)(6)748.103(13)749.103(18)750.103(11)

40 TAC §745.903

Listed Family Homes

The applicant or permit holder of a listed family home submits information on controlling persons:

  • when submitting an application; or
  • within two days after a person becomes a controlling person at the operation.

40 TAC §745.903

5422 How Applicants and Operations Submit Controlling Person Information

September 28, 2018

Applicants for a License

An applicant for a license completes Form 2760 Controlling Person-Child Care Regulation, to submit controlling person information to Licensing. Before submitting Form 2760, the applicant, designee, or head of the governing body signs the form to indicate that the information submitted is correct.

40 TAC §745.903

See:

3223 Evaluating an Application for Completeness

5433 Reviewing Form 2760 Controlling Person-Child Care Regulation, for Completeness

Applicants for a Registration or Listing

An applicant for a registration or listing submits controlling person information by:

  • completing Form 2760 Controlling Person-Child Care Regulation, if a paper application is being submitted; or
  • entering information for all controlling persons online through the applicant's online Child Care Licensing Account, if an e-application is being submitted.

If an applicant is submitting Form 2760, the applicant, designee, or head of the governing body must sign the form to indicate that the information submitted is correct.

40 TAC §745.903

See:

3223 Evaluating an Application for Completeness
3610 Listing Application
5433 Reviewing Form 2760 Controlling Person-Child Care Regulation for Completeness

Operations with a Permit – Submit New Controlling Person

An operation with a permit submits information on a new controlling person by:

  • entering information for the new controlling person online through the operation's online Child Care Licensing Account, if the operation has an online account; or
  • completing a new Form 2760 Controlling Person-Child Care Regulation, if the operation does not have an online account.

If the operation is submitting Form 2760, the permit holder, designee, or head of the governing body must sign the form to indicate that the information submitted is correct.

See 5433 Reviewing Form 2760 Controlling Person-Child Care Regulation for Completeness.

Exception: Temporary shelter child care operations and small employer-based child care operations are not required to submit controlling person information.

Operations with a Permit – Submit Updates on Current Controlling Persons

If a person ceases to be a controlling person at an operation or if the controlling person’s contact information has changed, an operation submits this information by:

  • entering the information online through the operation's online Child Care Licensing Account; or
  • contacts the inspector to provide the updated information, if the operation does not have an online account.

Exception: Temporary shelter child care operations and small employer-based child care operations are not required to submit controlling person information.

5422.1 Controlling Persons at a Child-Placing Agency (CPA)

December 2012

A person may serve as a controlling person for:

  • the CPA’s main office;
  • one or more of the CPA’s branch offices; or
  • any combination of the above.

The chart below outlines which CPA office can submit controlling person information, based upon which office the person serves as a controlling person:

If a Person Serves as a Controlling Person for a …The Office that Can Submit Controlling Person Information is …
CPA main officeMain office only
CPA branch officeBranch office where the person serves as a controlling person  
OR  
Main office

5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation

5431 Processing Information on a Controlling Person During the Application Process

August 2020

After accepting an application but before issuing a permit to an applicant, CCR staff determine whether each person whose name was submitted by the applicant is eligible to be a controlling person. CCR staff processes and document the decision, as follows:

  1. Reviews the controlling person information that the applicant submitted (see 5433 Reviewing Form 2760 Controlling Person-Child Care Regulation for Completeness and 5434 Reviewing Controlling Person Information Submitted Online).
  2. Conducts a Controlling Person Search and a Global Person Search in the CLASS system and searches the HHSC Adverse Action Record Sharing (AARS) system for records on the person.
  3. Associates (links) a controlling person’s existing record with the applicant’s record in CLASS or adds a new record for the controlling person, under the applicant’s record in CLASS (see 5442 Searching for and Adding a Controlling Person Record in CLASS).
  4. Determines the person’s eligibility to be a controlling person by resolving any matches found as a result of searches conducted in the CLASS or AARS system.
  5. Documents the person’s eligibility in CLASS.
  6. Notifies the controlling person or applicant about the person’s eligibility.

Exception: An applicant applying for a permit to operate a shelter child care operation or small employer-based child care operation is not required to submit information on controlling persons.

See:

1500 Conducting a Search in CLASS
5420 When and How Applicants and Operations Submit Information on Controlling Persons
5433  Reviewing Form 2760 Controlling Person-Child Care Regulation for Completeness
5434  Reviewing Controlling Person Information Submitted Online
5440 Conducting Searches for Controlling Persons in the CLASS and AARS Systems and Adding Controlling Persons to CLASS
5442  Searching for and Adding a Controlling Person Record in CLASS
5450 Determining and Documenting the Eligibility of a Controlling Person
5460 Notifying an Applicant, Permit Holder, or Controlling Person About a Person’s Eligibility to Serve as a Controlling Person

26 TAC§745.913

5432 Processing Information on New Controlling Persons When Submitted by an Operation that Has a Permit

October 2013

Within 10 days after an operation with a permit (other than a temporary shelter child care operation or small employer-based child care operation) submits information on a new controlling person for the operation (see 5421 When Applicants and Operations Submit Information on Controlling Persons and 5422 How Applicants and Operations Submit Controlling Person Information), the inspector determines whether each person is eligible to be a controlling person and documents the decision, as follows:

  1. Reviews the information that the operation submitted (see 5433 Reviewing Form 2760 Controlling Person-Child Care Regulation for Completeness and 5434 Reviewing Controlling Person Information Submitted Online).
  2. Conducts a Controlling Person Search and a Global Person Search in the CLASS system for a record on the person.
  3. Associates (links) the controlling person’s existing record with the record for an operation in CLASS or adds a new record for the controlling person under the record for the operation’s record in CLASS (5442 Searching for and Adding a Controlling Person Record in CLASS).
  4. Determines the person’s eligibility to be a controlling person by resolving any matches found as a result of the search in CLASS.
  5. Documents the person’s eligibility in CLASS.
  6. Notifies the controlling person or operation about the person’s eligibility.

See:

1500 Conducting a Search in CLASS
5420 When and How Applicants and Operations Submit Information on Controlling Persons
5440 Conducting Searches for Controlling Persons in the CLASS and AARS Systems and Adding Controlling Persons to CLASS
5450 Determining and Documenting the Eligibility of a Controlling Person
5460 Notifying an Applicant, Permit Holder, or Controlling Person About a Person’s Eligibility to Serve as a Controlling Person

40 TAC§745.913

5432.1 Processing Updates to Controlling Person Information When an Operation Has a Permit

September 28, 2018

If an operation notifies Licensing staff of updates to information about a current controlling person for the operation (for example, updating a controlling person’s mailing address), Licensing staff enter the updated information in CLASS within 15 days from when the operation notified staff of the change.

If an operation submits updates to information about a current controlling person online through the operation’s online Child Care Licensing Account, the information in CLASS is automatically updated by the system unless CLASS determines that there is a conflict or error with the data entered. If CLASS determines there is a conflict or error, Licensing staff process the update submitted online within 15 days of the day staff received the notice that the update has a conflict or error.

5432.11 Controlling Person Online Updates – Conflict Errors Automatically Entered by CLASS

September 28, 2018

When an operation or applicant submits updates to controlling person information online in the operation or applicant’s online Child Care Licensing Account, CLASS determines whether there is a conflict error with the data submitted. CLASS automatically determines and selects the conflict error on the Controlling Person – Update submitted by Operation – CONFLICT page. The inspector must review the information on the page and select the Invalidate Submission button to clear the inspector’s To Do and notify the operation of the error.

Below is a chart that explains the different conflict errors.

Conflict ErrorIs automatically selected by CLASS when …
Controlling person not activeThe operation is attempting to update a controlling person record that the inspector has already end dated in CLASS (that is, the controlling person’s status in CLASS is WithdrawnRejected, or Inactive).
Duplicate SSNThe operation is attempting to update a controlling person record with an SSN that is already associated with a different CP record (that is, a different person) in CLASS.
SSN entered does not match the SSN in CLASSThe operation is attempting to update a controlling person record by entering a SSN for the person, but the inspector has already entered a SSN for the same controlling person record in CLASS and the SSNs do not match.
Last active CP cannot be end-datedThe operation is attempting to enter an end date for the only active controlling person in CLASS (that is, there are no other controlling persons in PendingIdentified, or Review status).

5433 Reviewing Form 2760 Controlling Person Child Care Regulation for Completeness

December 2012

When an applicant or operation submits Form 2760 Controlling Person-Child Care Regulation, the inspector reviews the form to ensure that it is complete and signed by the applicant, permit holder, designee, or head of the governing body.

If the inspector receives Form 2760 as part of an application, the inspector cannot accept the application if Form 2760 is not complete and signed by the applicant, designee, or head of the governing body. See 3223.1 If the Application is Incomplete or Contains Errors.

Procedure

The inspector reviews Form 2760 to ensure that the following identifying information is provided for each controlling person listed.

  1. Name (first, middle, last), including any maiden names, married names, or aliases
  2. Date of birth
  3. Current address and phone number
  4. Title, position, or relationship
  5. Main office or branch office number, for persons associated with a child placing agency
  6. Effective date as a controlling person
  7. Driver license number or state-issued identification card number (Optional)
  8. Social Security number (Optional)

If Form 2760 is Not Complete or Signed

Licensing staff contact the operation or the controlling person to obtain the information, if all required fields are not completed and Form 2760 is not signed.

See 3223.1 If the Application is Incomplete or Contains Errors.

If a Person’s Social Security Number is Not Listed

If a controlling person’s Social Security number is not listed, Licensing staff follow procedures in 5435 If the Controlling Person Submission Did Not Include a Social Security Number.

After Determining Form 2760 Is Complete

After determining that Form 2760 is complete, Licensing staff use the identifying information to search for each controlling person in the CLASS. If the form was submitted as part of an application, Licensing staff also conduct a search of the HHSC Adverse Action Record Sharing (AARS) system.

See:

5441 Searching for a Controlling Person in the AARS System and Documenting the Results
5442 Searching for and Adding a Controlling Person Record in CLASS

5434 Reviewing Controlling Person Information Submitted Online

September 28, 2018

Within three days of when an applicant or operation submits controlling person information online through the applicant or operation’s online Child Care Licensing Account, the inspector:

  1. reviews and invalidates the submission before conducting a search, if necessary (see 5434.1 Invalidating an Online Controlling Person Submission Before Conducting a Search of the CLASS);
  2. reviews the submission for a Social Security number (see 5434.2 Reviewing the Submission for a Social Security Number);
  3. conducts searches for an existing controlling person record in the CLASS (see 5434.3 Conducting Searches in CLASS for an Existing Controlling Person Record); and
  4. after conducting the search, either:
    • associates an existing controlling person record or adds a new controlling person record (see 5434.3 Conducting Searches in CLASS for an Existing Controlling Person Record); or
    • invalidates the submission, if necessary (see 5434.4 Invalidation Reasons That Require a Search of the CLASS Before the Submission Can Be Invalidated).

After associating or adding a controlling person record, the inspector:

  • determines whether the person is eligible to serve as a controlling person; and
  • sends the appropriate notification.

See:

5440 Conducting Searches for Controlling Persons in the CLASS and AARS Systems and Adding Controlling Persons to CLASS
5450 Determining and Documenting the Eligibility of a Controlling Person

5434.1 Invalidating an Online Controlling Person Submission Before Conducting a Search of the CLASS

December 2012

Procedure

If the online controlling submission meets any of the criteria listed in the chart below, the inspector may invalidate the submission before conducting a search of the Child Care Licensing Automation Support System (CLASS). To invalidate the submission, the inspector selects the appropriate Invalidate reason on the CLASS Controlling Person – New Submission by Operation page.

Invalidate ReasonIs selected by the inspector when …
Invalid SSNThe SSN provided is obviously incorrect (for example, 111-11-1111).
Invalid Driver’s LicenseThe driver license number provided is obviously incorrect (for example, 00000).
Not a Valid Controlling PersonAn operation is attempting to add a new controlling person who does not meet the definition of a controlling person as defined in 745.901 (for example, the person entered is a child).
Invalid Mailing AddressAn operation submits an address for a controlling person that matches the address of the operation (this is not applicable to licensed, registered, or listed homes).
Entered in ErrorAn operation entered information for a controlling person in error and requests to withdraw the submission.
Facility ClosedThis is reserved for state office use only.

5434.2 Reviewing the Submission for a Social Security Number

December 2012

Procedure

The inspector reviews the submission to determine whether the controlling person’s Social Security number was submitted.

If the person’s Social Security number was provided, Licensing staff conduct searches for an existing controlling person record as outlined below.

If the person’s Social Security number was not provided, Licensing staff follow procedures in 5435 If the Controlling Person Submission Did Not Include a Social Security Number before conducting the searches outlined below.

5434.3 Conducting Searches in CLASS for an Existing Controlling Person Record

December 2012

Licensing staff use the identifying information to search for each controlling person to determine whether there is an existing controlling person record in the CLASS.

See 5442 Searching and Adding a Controlling Person Record in CLASS.

5434.4 Invalidation Reasons that Require a Search of the CLASS Before the Submission Can Be Invalidated

December 2012

Procedure

If the online controlling submission meets any of the criteria listed in the chart below, the inspector must conduct a search of the CLASS before selecting the appropriate Invalidate reason on the CLASS Controlling Person – New Submission by Operation page.

Invalidate ReasonIs selected by the inspector when …
Duplicate Controlling Person at this facilityAn operation is attempting to add a new controlling person, but the person is already an active controlling person at the operation (that is, the person is already in Pending, Identified, or Review status).
Invalid SSN

An operation is attempting to add a new controlling person, and:

  1. The SSN that the provider submitted already exists for a different controlling person in CLASS;
  2. The controlling person information that the provider submitted matches a controlling person record in CLASS (that is, it is the same person), but the SSNs do not match ; or
  3. The SSN provided is obviously incorrect (for example, 111-11-1111).
Invalid Driver’s License
  1. An operation is attempting to add a new controlling person, and the driver license number that the provider submitted already exists for a different controlling person in CLASS; or
  2. The driver license number provided is obviously incorrect (for example, 00000).
Effective start date overlaps with earlier end date for Controlling PersonAn operation is attempting to add a new controlling person who has previously been associated with the operation. The Start Date entered for the new association is earlier than the End Date for the previous association.
Not a valid Controlling PersonAn operation is attempting to add a new controlling person who does not meet the definition of a controlling person as defined in 745.901 (for example, the person entered is a child).
Invalid Mailing AddressAn operation submits an address for a controlling person that matches the address of the operation (this is not applicable to licensed, registered, or listed homes).
Entered in ErrorAn operation entered information for a controlling person in error and requests to withdraw the submission.
Facility ClosedThis is reserved for state office use only.

5435 If the Controlling Person Submission Did Not Include a Social Security Number

December 2012

Procedure

If a controlling person’s Social Security number was not included with the controlling person information submitted by the applicant or operation, Licensing staff:

  • contact the applicant, operation, or controlling person to ask for the person’s Social Security number; or
  • obtain the person’s Social Security number by reviewing Licensing records to determine if the operation has submitted a request for a background check on the person.

If the applicant, operation, or controlling person provides the Social Security number, Licensing staff enter the information in the CLASS.

If Licensing staff obtain the person’s Social Security number by reviewing Licensing background check records, Licensing staff must be certain that the background check record where the Social Security number is listed is for the same person in the controlling person submission before adding the Social Security number to the controlling person record in CLASS.

If the controlling person refuses to provide his or her Social Security number, Licensing staff:

  • select the Refused to Disclose SSN indicator in CLASS; and
  • use other identifying information to conduct the search.

5440 Conducting Searches for Controlling Persons in the CLASS and AARS System and Adding Controlling Persons to CLASS

December 2012

Licensing staff search the HHSC Adverse Action Record Sharing (AARS) system only when controlling person information is submitted before a permit is issued. See 5441 Searching for a Controlling Person in the AARS System and Documenting the Results.

Licensing staff search the Child Care Licensing Automation Support System (CLASS) when controlling person information is submitted:

  • before a permit is issued; and
  • when the operation has a permit.

See 5442 Searching for and Adding a Controlling Person Record in CLASS.

Exception: Searches are not completed for temporary shelter child care operations or small employer-based child care operations.

After conducting the appropriate searches, Licensing staff resolve any matches and determine a controlling person’s eligibility to serve as a controlling person. See 5450 Determining and Documenting the Eligibility of a Controlling Person.

5441 Searching for a Controlling Person in the AARS System and Documenting the Results

September 28, 2018

Licensing staff search the HHSC Adverse Action Record Sharing (AARS) system only when controlling person information is submitted before a permit is issued for an operation other than a temporary shelter child care operation or small employer-based child care operation.

A designated Licensing employee that has access to the AARS system conducts the search to determine whether an applicant or each of the persons submitted by the applicant is eligible to be a controlling person. The designated employee documents the results of the search in the CLASS. The AARS search is completed in addition to the search conducted to determine whether an applicant is qualified to apply for a permit (see 3222 How to Determine Whether the Applicant is Eligible to Apply).

Exception: An AARS search is not conducted if staff determine that a person does not meet the definition of a controlling person. See 5411 Definition of a Controlling Person.

Procedure

After an applicant submits controlling person information, the inspector assigned to process the application coordinates with a designated user of the AARS system to conduct a search in the AARS system for the controlling person.

If a paper application is submitted, the designated user of the AARS system uses the information on the application and on Form 2760, Controlling Person – Child Care Regulation, to conduct the search.

If a registered family home or a listed family home submits an e-application, the designated user of the AARS system conducts the AARS search by using the controlling person information:

  • entered on the e-application; and
  • submitted online through the applicant’s online Child Care Licensing Account.

Documenting AARS Search Results

After conducting the AARS search, the designated user of the AARS system creates a Chronology in CLASS, with a chronology type of Application, to:

  • document that a search of the AARS system was conducted for each controlling person; and
  • document the results of the search for each controlling person.

5441.1 If a Controlling Person is Listed in the AARS System

December 2012

If the controlling person is found in the HHSC Adverse Action Record-Sharing (AARS) system:

  • the designated user of the AARS system follows procedures in 5441 to document the results of the AARS search in the CLASS; and
  • the inspector follows the procedures in 5450 Determining and Documenting the Eligibility of a Controlling Person to resolve the match.

5442 Searching for and Adding a Controlling Person Record in CLASS

September 28, 2018

Procedure

For applicants and operations with a permit, the inspector conducts a search for the controlling person in the CLASS, under the CLASS record for the applicant or operation that submitted the controlling person information.

After conducting the search, the inspector:

  1. associates (links) a controlling person’s existing record with the applicant’s or operation’s record in CLASS (see 5442.1 Associating a Controlling Person with an Existing Record in CLASS);
  2. adds a new record for the controlling person under the applicant’s or operation’s record in CLASS, if an existing record is not found after staff manually enter the controlling person information obtained from Form 2760, Controlling Person – Child Care Regulation, to conduct the search in the CLASS (see 5442.2 Manually Adding a New Record for a Controlling Person in CLASS);
  3. accepts the submission to add a new record for the controlling person under the applicant’s or operation’s record in CLASS, if the search was completed using the controlling person information the applicant or operation submitted online through the Child Care Licensing Account (see 5442.3 Accepting an Online Submission of a New Controlling Person Record in CLASS).

After each search, the inspector associates the record, adds a new record, or accepts the submission of a new record even if the person is found to be ineligible to be a controlling person, unless the submission is invalidated (see 5434.1 Invalidating an Online Controlling Person Submission Before Conducting a Search of the CLASS and 5434.4 Invalidation Reasons that Require a Search of the CLASS Before the Submission Can Be Invalidated).

The inspector leaves the Status field on the Controlling Person Details page as Pending until:

  1. the search for the controlling person in the CLASS is complete;
  2. the search for the controlling person in the HHSC Adverse Action Record Sharing (AARS) system is complete (see 5441 Searching for a Controlling Person in the AARS System and Documenting the Results), if the operation is applying for a permit; and
  3. matches for the controlling person, when found as a result of the searches, are resolved (see 5450 Determining and Documenting the Eligibility of a Controlling Person).

Additional Steps for a CPA Controlling Person Record

Child-placing agency (CPA) controlling person records are entered under the CLASS record for each office (main office or branch office) that the person serves as a controlling person for.

The CPA designates which office the person serves as a controlling person when submitting Form 2760 Controlling Person-Child Care Regulation or submitting the information online through the CPA’s online Child Care Licensing Account (See 5422.1 Controlling Persons at a Child-Placing Agency (CPA)).

If Form 2760 was submitted to the inspector for the CPA’s main office, the inspector:

  • enters the record under the CPA’s main office; and
  • indicates which office(s) the person serves as a controlling person for by selecting the following from the Main/Branch drop-down box in the Selected Association section of the Controlling Persons Detail page:
    • M, if the person serves as a controlling person for the CPA’s main office; and
    • the applicable branch number(s), if the person serves as a controlling person for a branch office of the CPA.

An inspector for a branch office can only enter controlling persons for the office to which they are assigned.

5442.1 Associating a Controlling Person with an Existing Record in CLASS

December 2012

Procedure

If a controlling person has an existing record in CLASS, the inspector associates (links) the person’s record to the operation’s record in CLASS by:

  • selecting the controlling person’s record found through the search; and
  • selecting Associate.

If the inspector associated the controlling person record as a result of an operation submitting Form 2760, Controlling Person – Child Care Regulation, the inspector also updates the information entered in the Person Details, Alternate Names, and Selected Association sections of the Controlling Person Details page, as needed.

If the inspector associated the controlling person record as a result of an online submission, the inspector also updates the information entered in the Person Details section of the Controlling Person Details page, as needed.

5442.2 Manually Adding a New Record for a Controlling Person in CLASS

December 2012

Procedure

If an existing record for a controlling person is not found after staff manually enter the information obtained from Form 2760, Controlling Person – Child Care Regulation, to conduct the search in the CLASS, the inspector adds a new record for the controlling person to the applicant’s or operation’s record in CLASS by:

  • selecting Add New on the Controlling Person Search page; and
  • completing the Person Details, Alternate Names, and Selected Association sections of the Controlling Person Details page.

5442.3 Accepting an Online Submission of a New Controlling Person Record in CLASS

Revision 23-1, Effective Apr. 21, 2023

Procedure

If an existing record for a controlling person is not found after staff complete a search of the CLASS using the controlling person information the applicant or operation submitted online through the applicant's or operation’s online Child Care Licensing Account, the inspector adds a new record for the controlling person to the Controlling Person – New Submission by Operation page in the applicant’s or operation’s record in CLASS by:

  • updating the Person Details, if necessary; and
  • selecting Accept Submission.

5450 Determining and Documenting the Eligibility of a Controlling Person

December 2012

After searching the CLASS and HHSC Adverse Action Record Sharing (AARS) system, as appropriate, for a record on a controlling person and adding or associating a record for the controlling person in CLASS, the inspector:

  1. determines whether a match exists;
  2. resolves any matches found in the CLASS or AARS system; and
  3. updates the status of the controlling person in CLASS.

See:

5412 Definition of a Match for Controlling Persons
5451 Resolving Matches Found in the AARS System
5452 Eligibility to Receive a Permit After Finding a Match for an Applicant
5453 Eligibility to Serve As a Controlling Person After Finding a Match
5454 Documenting the Eligibility of a Controlling Person by Updating the Status in CLASS

5451 Resolving Matches Found in the AARS System

December 2012

If a search of the HHSC Adverse Action Record Sharing (AARS) system results in a match, Licensing staff resolve the match by:

  • determining the reason for the match; and
  • consulting with the Licensing attorney to determine whether the match makes the person ineligible to be a controlling person.

Procedure

After determining that a person has a match in the AARS system, the inspector determines whether the person has had a permit denied, revoked, or suspended by another HHSC agency because the applicant or person:

  1. committed an act or omission that resulted in physical or mental harm to an individual;
  2. is a threat to the health, safety, or well-being of an individual;
  3. engaged in the physical, mental, or financial exploitation of an individual; or
  4. committed an act or omission that renders the person unqualified or unfit to fulfill the obligations of the license.

The inspector and supervisor then consult with a Licensing attorney to determine whether the person’s listing in the AARS qualifies as a substantive reason to either deny the application or request that the operation remove the person from the role of controlling person.

See:

5452 Eligibility to Receive a Permit After Finding a Match For an Applicant
5453 Eligibility to Serve As a Controlling Person After Finding a Match

5452 Eligibility to Receive a Permit After Finding a Match for an Applicant

December 2012

The chart below outlines whether a person is eligible to receive a permit, based on the results found after finding a match found on a controlling person who is also the applicant during a search of the CLASS or HHSC Adverse Action Record Sharing (AARS) system.

If the controlling person with a match is not the applicant, see 5453 Eligibility to Serve as a Controlling Person After Finding a Match.

If the applicant is …Does Licensing Issue a Permit?
a designated controlling person …No.  
Licensing will not issue a permit until due process is final.  
Licensing may deny a permit, if the person applies before due process is final.
a sustained controlling person …No.  
Licensing denies the person a permit, if the application is received within five years after the designation is sustained.
ineligible to apply for a permit because of adverse action …No.
listed in the HHSC AARS system …Maybe.  
Licensing may issue a permit only if a Licensing attorney determines that the reason the person is listed in the AARS system does not constitute a substantive reason to deny the person a permit.

40 TAC §§745.907745.8605(15)

5453 Eligibility to Serve As a Controlling Person After Finding a Match

September 28, 2018

The chart below outlines whether a person (who is not the applicant) is eligible to serve as a controlling person at an operation, based on the type of match found on the controlling person during a search of the CLASS or HHSC Adverse Action Record Sharing (AARS) system.

If the controlling person with a match is the applicant, see 5452 Eligibility to Receive a Permit After Finding a Match For an Applicant.

If the person submitted by the operation is …Is the person eligible to serve as a controlling person?
a designated controlling person …Yes.
a sustained controlling person …No.  

This person may not serve as a controlling person at an operation for five years after the designation is sustained.  
If the operation has a permit, the permit holder must remove the person who is ineligible to serve as a controlling person from the role of controlling person. If the permit holder refuses or is unable to remove the person from the role of controlling person, Licensing must revoke the permit.  

If the operation is applying for a permit, the applicant must remove the person who is ineligible to serve as a controlling person from the role of controlling person before Licensing can issue a permit. If the applicant refuses or is unable to remove the person from the role of controlling person, Licensing cannot issue the permit.
ineligible to apply for a permit because of adverse action …Maybe.  

If the operation has a permit and if a Licensing attorney determines that the reason the person is ineligible to serve as a controlling person constitutes a substantive reason to prohibit the person from being a controlling person in an HHSC-regulated operation, then the permit holder must remove the person who is ineligible to serve as a controlling person from the role of controlling person. If the permit holder refuses or is unable to remove the person from the role of controlling person, Licensing must revoke the permit.  

If the operation is applying for a permit and a Licensing attorney determines that the reason the person is ineligible to serve as a controlling person constitutes a substantive reason to prohibit the person from being a controlling person in an HHSC-regulated child care operation, then the applicant must remove the person who is ineligible to serve as a controlling person from the role of controlling person before Licensing can issue a permit. If the applicant refuses or is unable to remove the person from the role of controlling person, Licensing cannot issue the permit.
listed in the HHSC AARS system …Maybe.  

If the operation has a permit and if a Licensing attorney determines that the reason the person is listed in the AARS system constitutes a substantive reason to prohibit the person from being a controlling person in an HHSC-regulated child care operation, then the permit holder must remove the person who is ineligible to serve as a controlling person from the role of controlling person. If the permit holder refuses or is unable to remove the person from the role of controlling person, Licensing must revoke the permit.  

If the operation is applying for a permit and if a Licensing attorney determines that the reason the person is listed in the AARS system constitutes a substantive reason to prohibit the person from being a controlling person in an HHSC-regulated operation, then the applicant must remove the person who is ineligible to serve as a controlling person from the role of controlling person before Licensing can issue a permit. If the applicant refuses or is unable to remove the person from the role of a controlling person, Licensing cannot issue the permit.

40 TAC §§745.403745.907745.911745.8605(15)

Human Resources Code §42.072(c-1)

5454 Documenting the Eligibility of a Controlling Person by Updating the Status in CLASS

March 2017

The inspector updates the status of a controlling person in the Status field of the Controlling Person Details page in CLASS after determining that the person:

  1. is eligible to serve as a controlling person;
  2. is ineligible to serve as a controlling person;
  3. has ceased to serve as a controlling person at an operation; or
  4. was entered in error.

Procedure

The following chart explains the meaning of each option in the Status field.

The Status selected is …when …
Pending …a new record on a controlling person is entered for the operation.  

Pending is the default value when adding or associating a controlling person record.
Identified …

a controlling person has no history that prohibits the person from being a controlling person (that is, the person is eligible to be a controlling person).  

Identified is the status for each person who is:

  1. currently serving as a controlling person for the operation; and
  2. is eligible to serve as controlling person.
Rejected …an operation submits the name of a controlling person for consideration, but the person has a history that prohibits the person from being a controlling person (that is, the person is ineligible to be a controlling person). See 5454.1 Entering the Reason for Rejecting a Controlling Person.
Review …a controlling person is sustained because the person’s record is associated with an operation that had its permit revoked.  

CLASS automatically updates the status to Review when this occurs. See 7000 Voluntary Actions and Enforcement Actions
Inactive …a controlling person ceases to be a controlling person at an operation.  

A status is changed to Inactive only when an end date is entered.
Withdrawn …a person is entered into CLASS in error (for example, entered under the wrong operation), or the operation withdraws the person from consideration. See 5454.1 Entering the Reason for Withdrawing a Controlling Person.  

This does not include when an operation removes a person from a controlling person role after being notified by Licensing that the person is ineligible to be a controlling person.

5454.1 Entering the Reason for Rejecting a Controlling Person

December 2012

Procedure

If the Status selected in the CLASS for a controlling person is Rejected, the inspector selects a reason for the rejection from the Rejection or Withdrawal Reason drop-down box.

The following chart explains the meaning of each Rejection reason.

The option selected under Rejection Reason is or has a (an) …and when the person is rejected from being a controlling person because …
Sustained Controlling Personthe person is listed as a sustained controlling person in CLASS.
AARS History
  • the person is listed in the HHSC Adverse Action Record Sharing (AARS) system; and
  • a licensing attorney has determined that the person is ineligible to be a controlling person.
Previous Application Deniedthe person is ineligible to receive a permit.

5454.2 Entering the Reason for Withdrawing a Controlling Person

December 2012

Procedure

If the Status selected in the CLASS for a controlling person is Withdrawn, the inspector selects a reason for the withdrawal from the Rejection or Withdrawal Reason drop-down box.

The following chart explains the meaning of the each Withdrawal reason.

The option selected under Withdrawal Reason selected is …when …
Operation Requestthe operation withdrew the person’s name from consideration as a controlling person.
Entered in Error

the person was entered in error; for example, a person was entered for the wrong operation.  

Do NOT chose this option if Licensing staff made a data entry error. In these instances, staff must request that the CLASS IT team complete a data fix.  

Examples of data entry errors include:

  • Licensing staff created a controlling person record when a record for the person already existed.
  • Licensing staff made an error when entering a Social Security number.

5460 Notifying an Applicant, Permit Holder, or Controlling Person About a Person’s Eligibility to Serve as a Controlling Person

December 2012

If the person submitted for consideration as a controlling person by an applicant or operation is determined to be eligible to be a controlling person, the inspector notifies the controlling person about the determination. See 5461 Notifying a Controlling Person About Eligibility.

If the person submitted by an applicant or operation is determined to be ineligible to serve as a controlling person, the inspector notifies the applicant or permit holder about the determination. See 5462 Notifying an Operation About an Ineligible Controlling Person.

40 TAC §§745.907745.911745.915

5461 Notifying a Controlling Person About Eligibility

December 2012

Procedure

If a person submitted as a controlling person by an operation is eligible to be a controlling person, the inspector notifies the person of their eligibility by creating and sending CLASS Form 2761 Identifying a Controlling Person to the controlling person.

Additional Requirement for Child-Placing Agencies

If the inspector assigned to a CPA’s main office creates Form 2761 regarding a controlling person at a branch office for the CPA, the inspector for the main office sends a copy of the completed Form 2761 to the inspector for the branch office.

5462 Notifying an Applicant or Permit Holder About an Ineligible Controlling Person

December 2012

Procedure

If an inspector determines that a person submitted as a controlling person by an operation is ineligible to be a controlling person, the inspector does as follows:

  • Notifies the applicant or permit holder about the person’s ineligibility to be a controlling person by creating and sending CLASS Form 2765 Match of an Ineligible Controlling Person to the applicant or operation. The form includes a compliance date and directs the operation to complete and return the Operation Action Form (located on the last page of CLASS Form 2765) to Licensing by the compliance date.
  • Discusses with the applicant or permit holder the accuracy of the details on the person’s ineligibility, if the person who is ineligible to be a controlling person contacts the local Licensing office that sent the notice to say that he or she believes that the details are inaccurate.

Unless Licensing determines that the details on the person’s ineligibility are inaccurate, the permit holder must remove the person from the operation.

Additional Requirement for Child-Placing Agencies

If the inspector assigned to a CPA’s main office creates Form 2765 regarding a controlling person at a branch office for the CPA, the inspector for the main office sends a copy of the completed Form 2765 to the inspector for the branch office.

5462.1 Following Up with an Applicant or Permit Holder Who Does Not Return the Operation Action Form

March 2013

If an applicant or permit holder fails to return the Operation Action Form to Licensing by the compliance date specified on the form, the inspector contacts the applicant or permit holder to ensure that the ineligible person has been removed from the role of controlling person. (The Operation Action Form is located on the last page of CLASS Form 2765 Match of an Ineligible Controlling Person.)

If appropriate, the inspector takes one or more of the following actions:

  1. Cites an operation with a permit for a violation of TAC §§745.911(1)748.103(12)749.103(16), or 750.103(10), as applicable, when the violation is for a sustained controlling person.
  2. Cites an operation with a permit for a violation of TAC §745.911(2) when the violation is because an adverse action sustained within the previous five years makes the person ineligible to apply for a permit.
  3. Cites an operation with a permit for a violation of TAC §745.911(3) when the violation is because the person is associated with an operation that had its permit denied, revoked, suspended, or terminated by another state health and human services agency within the last 10 years.
  4. Revokes the permit.
  5. Denies the permit.

40 TAC §§745.907745.911745.915

Texas Government Code §531.953

5470 Additional Duties of Inspectors in Relation to Controlling Persons

March 2017

In addition to the duties explained in 5400 Controlling Person, inspectors also are responsible for the following:

  1. Monitoring operations for compliance with the requirements related to an operation’s controlling persons in statute, administrative rules, and minimum standards (see 4000 Inspections).
  2. Ensuring that a person who is ineligible to be a controlling person at an operation that is regulated by Licensing does not serve in the role of a controlling person (see 7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS).
  3. Notifying controlling persons about corrective or adverse action taken against an operation (see 7110 Notifying an Operation When Licensing Takes Enforcement Action).
  4. Designating a controlling person (see 7771 Choosing the Persons to Designate as Controlling).
  5. Sustaining a designated controlling person (see 7770 Administrative Review and Due Process Hearing for a Designated Controlling Person).

5500, Voluntary Actions of the Operation

Revision 23-2; Effective June 26, 2023

5510 Withdrawal of an Application

Revision 23-2; Effective June 26, 2023

An operation may voluntarily withdraw an application for a permit.

See 3230 Withdrawal of an Application for a Permit.

5520 Temporary Relocation

Revision 23-2; Effective June 26, 2023

5520.1 Relocation Due to Damage or Renovation

Revision 23-4; Effective Nov. 30, 2023

An operation may relocate temporarily for a period of up to 90 days due to damage or renovation to the building, which makes it temporarily unsuitable for child care.

The operation must: 

  • Notify CCR in writing as soon as possible, but no later than 24 hours after the operation moves to a new location or begins providing care at any location not noted on the operation’s permit. For a residential child care operation, the operation may provide notice through a report to the Statewide Intake Division (SWI).
  • Before a planned temporary relocation:
    • obtain any inspections at the temporary relocation that are identified in the applicable minimum standards, which may include fire, sanitation and gas leak inspections;
    • ensure the temporary relocation complies with applicable statutes, administrative rules and minimum standards;
    • obtain CCR’s approval of the temporary location, including for any aspect that does not comply with applicable statutes, administrative rules and minimum standards; and
    • request that CCR amend the permit with a new address if the relocation lasts longer than 90 days.
  • For an emergency relocation:
    • complete the notice requirement as noted above;
    • complete the additional steps noted above as soon as possible after the relocation; and
    • for a residential child care operation, meet any additional reporting and documentation requirements.

Procedure

The inspector inspects the new location before or as soon as possible after the operation relocates to determine whether the temporary location complies with the applicable statues, administrative rules and minimum standards.

The inspector may use discretion in approving arrangements that do not comply with applicable statutes, administrative rules and minimum standards. Factors to consider when deciding whether to approve include:

  • the anticipated length of stay at the temporary location;
  • the degree of deviation from minimum standards; and
  • the risk to children considering the activities and services the operation offers.

See:

3823 Amending the Permit in CLASS         
5521 Documenting the Temporary Relocation in CLASS 

26 TAC Sections 745.5001(b)(2); 745.5051(2); 745.5101; 745.5103  

5520.2 Relocation Due to Declared Disaster (RCCR Only)

Revision 23-2; Effective June 26, 2023

A GRO or CPA may relocate temporarily to comply with a declared state of disaster under Chapter 418 of Government Code.

A GRO may also provide care to any child at a temporary location that is different from the location on the permit. For example, a child needs to be quarantined at a different location from other children. The operation must notify CCR as soon as possible after temporarily relocating due to a declared disaster.

In addition to moving its operation to a new location not noted on its permit, a CPA, including a branch office, may do the following to comply with a declared state of disaster:

  • move a foster home to a new location that is not noted on the verification; or
  • allow a foster home to provide care to any child at a location not noted on the verification. 

Procedure

The inspector takes the following steps when a GRO or CPA notifies CCR of the temporary relocation of the operation due to a declared disaster:

  • documents the relocation according to 5521 Documenting the Temporary Relocation in CLASS;
  • inspects the new location as soon as possible after the operation relocates to ensure that there is no risk to children;
  • notes any aspect that does not comply with applicable statutes, administrative rules and minimum standards; and
  • notifies the operation of the approval of the temporary location.

26 TAC Sections 745.435(e); 748.303(e); 749.503(e)

5521 Documenting the Temporary Relocation in CLASS

Revision 23-3; Effective Sept. 22, 2023

The inspector documents the temporary relocation of the operation in CLASS as soon as possible after receiving the relocation information from the operation as follows:

  1. enters a Chronology in CLASS documenting the:
    • temporary new address; 
    • relocation start date;
    • estimated end date; and
    • details about the disaster, if an RCCR operation is relocating due to a declared disaster; 
  2. on the Main page, completes the Temporary Location section; and
  3. uploads supporting documentation related to the temporary relocation and inspection to CLASS Document Library from the applicable CLASS page.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

5522 Ending the Temporary Relocation in CLASS

Revision 23-4; Effective Nov. 30, 2023

Operation Returns to the Address Listed on the Permit

When the operation returns to the address listed on the permit, CCR staff document the end of the temporary relocation in CLASS as follows:

  • enter a chronology documenting the actual end date of the relocation; and 
  • on the Main page under the Temporary Relocation section, enter the last day the operation used the location as the Actual End Date.

Operation Does Not Return to Address Listed on the Permit

If the operation does not return to the address listed on the permit within 90 days, the operation must request that CCR amend the permit with the new address. Staff follow the procedures in 3823.5 Changing the Operation’s Address in CLASS to amend the permit.

26 TAC Section 745.5001(b) 

5530 Voluntary Suspension

Revision 23-4; Effective Nov. 30, 2023

An operation may request a voluntary suspension of its permit for a specific period up to a maximum of two years when:

  1. changes or repairs are being made to the operation;
  2. enrollment is too low to operate, or no children are in care; or
  3. the owner is unable to operate due to:
    • illness;
    • an extended absence;
    • a staffing shortage;
    • personal reasons; or
    • a declared disaster.

During the voluntary suspension period, an operation must:

  • as soon as possible, but no later than 24 hours after notification of approval of the voluntary suspension, notify the parents of any children attending or enrolled in the operation of the voluntary suspension, including the dates of the voluntary suspension period;
  • not have children in care;
  • notify CCR at least 15 days before resuming operation;
  • return the permit to CCR during the suspension period;
  • continue to pay all fees; and
  • apply to renew the permit if the permit is due for renewal during the voluntary suspension period.

See 3912 When an Operation's Permit Renewal is Due

Human Resources Code Section 42.071

26 TAC Sections 745.5001(b)(3); 745.5151; 745.5157

5531 Assessing and Granting a Request for Voluntary Suspension

Revision 23-4; Effective Nov. 30, 2023

To assess a request for a voluntary suspension, CCR staff must receive a written request from the operation that includes the following information:

  1. the proposed dates that the suspension will begin and end;
  2. the reason for the request under 26 TAC Section 745.5151;
  3. plans for resuming operation; and
  4. a statement about how the permit holder will meet the applicable statutes, administrative rules or minimum standards at the end of the suspension period.

An operation may request to have a full permit suspended for a maximum of two years.

26 TAC Sections 745.5001(b)(3); 745.5153; 745.5155

Procedure

The inspector uploads supporting documentation related to the request to the CLASS Document Library.

When an operation submits a request for voluntary suspension, the inspector consults with the supervisor to determine whether to grant it as requested, grant with conditions or deny the request.

The inspector and supervisor consider the following factors:

  1. whether an enforcement action is pending against the operation; 
  2. whether CCR is considering submitting a Referral for Enforcement Action to Child Care Enforcement (CCE);
  3. whether CCE is considering imposing an enforcement action against the operation;
  4. whether CCR can confirm that the operation plans to care for children during the voluntary suspension period; 
  5. the length of time that the operation plans to suspend its permit; and
  6. whether the operation’s request to voluntarily suspend its permit meets one of the acceptable reasons.

If an enforcement action is pending against the operation or if HHSC is considering imposing an enforcement action against the operation, the inspector and supervisor will consult with the program administrator and regional director to evaluate whether approving the voluntary suspension would be disruptive of the pending or ongoing enforcement action. The regional director consults with the appropriate director of field operations, HHSC legal, and CCE before making a decision on the voluntary suspension request.

See:

1430  Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432  Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

26 TAC Sections 745.5003 and 745.5155

5532 Documenting the Voluntary Suspension

Revision 23-4; Effective Nov. 30, 2023

Procedure

If the decision is to grant the voluntary suspension with or without conditions, the inspector:

  1. changes the Operating Status on the Operation Main page in CLASS to No and updates the Effective Date
  2. notifies the program administrator or designee to check the Do Not Display On Public Website box on the Operation main page;
  3. completes the Provider Voluntary Suspension Plan page in CLASS as follows:
    • fills out the date the voluntary suspension begins;
    • selects the appropriate reason from the Reason drop-down menu; and
    • fills out the Disaster Name field, if applicable; and
  4. sends CLASS Form 2865 Voluntary Suspension Approval Letter, located on the Provider Voluntary Suspension Plan page in CLASS to the operation, notifying the operation of the decision to grant the suspension and the expectation that the permit holder returns the permit to the inspector.

If conditions are added to the voluntary suspension request, the inspector sends notice of the conditions as an enclosure with the Voluntary Suspension Approval Letter, Form 2865. The inspector documents the conditions in the Correction Plan section of the Provider Voluntary Suspension Plan page in CLASS.

5533 Denying the Voluntary Suspension

Revision 23-4; Effective Nov. 30, 2023

If CCR denies the request for a voluntary suspension, the operation may request an administrative review of the action.

26 TAC Section 745.8803(a)(1)(C)

Procedure

If the decision is to deny the voluntary suspension, the inspector notifies the owner of the operation by drafting notice of the denial on HHSC letterhead on the Corrective/Adverse action page in CLASS. The letter must include the reason for the denial and information about the permit holder’s right to an administrative review.

The inspector documents the denial in a Chronology for the operation in CLASS.

5534 Ending the Voluntary Suspension

Revision 24-2; Effective May 22, 2024

At the end of the voluntary suspension period, the operation may request an extension, if needed and if the voluntary suspension was for less than two years.

An operation must have CCR’s permission to reopen after a voluntary suspension. To request permission to reopen, the operation must notify CCR at least 15 days before the operation plans to resume operating. A CCR inspector will conduct an inspection within 15 days of notification to determine if the operation meets all applicable statutes, administrative rules, and minimum standards.

The operation may reopen only if the inspector gives the operation permission to operate. The inspector may approve the operation’s request to reopen after determining the operation demonstrates compliance with applicable statutes, administrative rules, and minimum standards.

If the inspector determines the operation poses a risk to children in care, HHSC may recommend a voluntary plan of action or take an enforcement action to address the concerns. 

If the operation does not reopen, request an extension, or voluntarily close by the end of the voluntary suspension period, HHSC may take an enforcement action, including revoking the operation’s permit. The operation has the right to request available due process related to any enforcement action.

26 TAC Sections 745.5159 and 745.5161  

Procedure

If the inspector does not hear from the operation at least 15 days before the end of the suspension period, the inspector:

  1. contacts the permit holder to notify them the voluntary suspension period is ending;
  2. informs the permit holder that CCR must receive written notification of and approve the request to resume operation;
  3. informs the permit holder that they may voluntarily close or request an extension of the voluntary suspension if the voluntary suspension was for less than two years; and
  4. informs the permit holder that if CCR is not notified in writing of the plans to reopen, voluntarily close, or extend the voluntary suspension, HHSC may take an enforcement action, including revoking the permit.

Reopening the Operation

If the operation's permit holder notifies CCR in writing of plans to resume operating, the inspector conducts an inspection before reopening the operation. 

For the operation to reopen, the inspector must:

  1. address any concerns with applicable statutes, administrative rules and minimum standard violations observed during the inspection;
  2. change the Operating Status to Yes on the Operation main page in CLASS and update the Effective Date;
  3. notify the program administrator or designee to uncheck the Do Not Display on Public Website box in CLASS;
  4. enter a chronology of any discussion with the permit holder to verify compliance with statutes, administrative rules and minimum standards;
  5. enter the results of the voluntary action plan on the Voluntary Suspension page in CLASS; and
  6. return the permit to the operation.

If the inspector decides the operation poses a risk to children at the end of the voluntary suspension period, the inspector consults with the supervisor and takes the appropriate action depending on risk to children.

If the Operation Requests to Extend the Voluntary Suspension

If the operation requests an extension of the voluntary suspension, the inspector consults with a supervisor to decide if CCR will grant the request without conditions, grant it with conditions, or deny it.

When evaluating the request, the inspector and supervisor consider:

  1. if an enforcement action is pending against the operation;
  2. if CCR is considering submitting a Referral for Enforcement Action to Child Care Enforcement (CCE);
  3. if CCE is considering imposing an enforcement action against the operation;
  4. if CCR can confirm the operation does not plan to care for children during the voluntary suspension period; 
  5. the length of time the operation plans to suspend its permit; and
  6. if the operation’s request to voluntarily suspend its permit meets one of the acceptable reasons.

If an enforcement action is pending against the operation, or if HHSC is considering imposing an enforcement action against the operation, the inspector and supervisor consult with the program administrator and regional director to evaluate if approving the voluntary suspension would be disruptive to the pending or ongoing enforcement action. The regional director consults with the appropriate director of field operations, HHSC legal, and CCE before making a decision on the voluntary suspension request.

If the Operation Requests to Voluntarily Close Before the Voluntary Suspension Period Ends

If the operation notifies CCR of plans to voluntarily close the operation, the inspector follows up to close the operation. 

Reference    

Voluntary Closure, 5540   

If the Operation Fails to Reopen or Respond by the End of the Suspension Period

If the operation does not reopen, voluntarily close or request an extension of the voluntary suspension by the end of the suspension period, the inspector and supervisor consult with the program administrator and the regional director to determine if a Referral for Enforcement Action to CCE is appropriate.

If CCE decides to revoke the permit, CCR staff:

  1. update the Provider Voluntary Suspension Plan page in CLASS to:
    • select the option Closed in the Result of Suspension field;
    • enter the date of the decision to close the operation in the End Date field; and
    • enter the reason for closure in the Correction Plan field;
  2. conduct an inspection to verify the operation is not caring for children. If the operation is caring for children, CCR staff follow procedures in 6530 Investigations of Unregulated Operations; and
  3. document the operation’s closure in CLASS.

References

Administrative Reviews, 5600
Due Process Hearings, 5700

26 TAC Sections 745.8803(a)(1)(D) and 745.8835(a)(1)(A)

5540 Voluntary Closure

Revision 23-4; Effective Nov. 30, 2023

An operation notifies the inspector before, if possible, or within 10 days after going out of business or closing. Fees are not refundable when an operation closes.

If an operation is closing for a period of time but plans to reopen, see 5530 Voluntary Suspension.

26 TAC Section 745.5001(b)(4); 745.5201

Procedure

If the inspector learns that an operation will stop operating or has stopped operating and has no plans to reopen, he or she sends CLASS Form 2825 Voluntary Suspension/Relocation/Closure Letter to the operation to confirm that it is closing or has closed.

5541 Documentation of an Operation That Has Closed

Revision 23-4; Effective Nov. 30, 2023

Procedure

When CCR is notified that an operation is going to voluntarily close, the inspector takes the following steps:

  1. changes the operating status to No and updates the Effective Date to reflect the Begin Date of the voluntary closure on the Operation Main page in CLASS;
  2. enters the closure date in the Application/Closure page in CLASS; and
  3. enters the reason for closure in the Application/Closure page in CLASS.

If unable to determine the actual date the operation closed, the inspector uses the date he or she learned of the closing.

5542 Voluntary Closure During an Investigation

Revision 23-4; Effective Nov. 30, 2023

An operation may close voluntarily:

  • during an investigation; or
  • while failing to maintain compliance with minimum standards.

The voluntary closure of an operation does not prevent Child Care Enforcement (CCE) from imposing an enforcement action. Once an operation receives a CLASS Form 2880 Intent to Impose Adverse Action, CCE may follow through with the adverse action, regardless of whether the operation has closed.

26 TAC Section 745.5003; 745.5201 

5543 Notification of Investigation Findings When an Operation Closes Voluntarily

Revision 23-2; Effective June 26, 2023

Procedure

As soon as the investigation is complete, or as soon as the operation closes, the inspector sends a letter to the permit holder stating the investigation findings and the circumstances leading to the closing.

Exception: If the inspector has already sent a CLASS Form 2880 Intent to Impose Adverse Action to an operation, an additional findings letter is not necessary.

5544 CCR Response if the Operation Did Not Close

Revision 23-2; Effective June 26, 2023

Procedure

If the permit holder later tells the inspector that the operation did not close as planned, depending on the seriousness of the situation, the inspector may:

  • state that the circumstances will affect whether a permit will be issued in the future (see 3700 Denial of an Application for a Permit and Reapplying After Denial or Revocation); or
  • follow through with the adverse action process in spite of the closing (see 7630 Taking Adverse Action).

5600, Administrative Reviews

Revision 24-1; Effective Feb. 20, 2024

A person or operation may request an administrative review for a decision or action if either disagree with certain decisions or actions taken by CCR, Child Care Enforcement (CCE), or Credentialing and Registry Enforcement (CARE).

CCE is a unit within the Regulatory Enforcement (RE) department of the Regulatory Services Division (RSD). CCE is responsible for planning and conducting administrative reviews for all CCR, CCE, and CARE decisions and actions that qualify for an administrative review. CARE is a unit within the RE department responsible for making decisions about remedial actions taken against the holder of, or applicant for, an administrator’s license.

Human Resources Code Section 42.072(e)

5610 When an Individual or Operation May Request an Administrative Review

Revision 24-1; Effective Feb. 20, 2024

The following table outlines the CCR, Child Care Enforcement (CCE), and Credentialing and Registry Enforcement (CARE) decisions or actions that a person or operation is entitled to an administrative review for, and who can request to dispute the decision or action:

Decision or Action to DisputeWho Can Request a Review of the Decision or Action

Any of the following about a waiver or variance:

  • CCR denies, revokes, or amends a waiver or variance.
  • The operation disagrees with the original expiration date or original conditions associated with a waiver or variance that CCR granted.
The applicant, or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
CCR cites an operation for a deficiency.The applicant, or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
CCR denies a voluntary suspension request.The applicant, or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
CCE imposes probation or an adverse action against an operation, subject to the limitations outlined in 26 TAC Section 745.8803(b).The applicant, or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
CCE adds a probation condition to a corrective action plan.The applicant, or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
CCR does not agree that an operation is exempt from HHSC regulation.The person or entity that requested the exemption.

CARE imposes a remedial action listed in 26 TAC Section 745.9031 against an: 

  • administrator’s license; or 
  • application for an administrator’s license.
The applicant for an administrator’s license or the licensed administrator.
CCE intends to designate a person as a controlling person.The person CCE intends to designate as a controlling person.
CCR determines that a person poses an immediate threat or danger to the health or safety of children.The person whom CCR determined poses an immediate threat or danger to the health or safety of children.

26 TAC Section 745.8803

5611 Explaining the Right to an Administrative Review

Revision 24-1; Effective Feb. 20, 2024

CCR staff advises the person or operation of their right to an administrative review as follows:

Ifthen
the decision or action is a CCR decision or action

CCR staff inform the subject of the decision or action that the subject: 

  • has a right to request an administrative review; and
  • may waive the subject’s right to an administrative review by submitting a written statement to CCR as indicated in 5612 Waiving the Right to an Administrative Review.
The decision or action is a CCE or Credentialing and Registry Enforcement decision or actionCCE or Credentialing and Registry Enforcement staff informs the subject of the decision or action about the subject’s right to an administrative review.

Procedure

To advise a person or operation about the right to an administrative review for a CCR decision or action, CCR staff verbally discusses the decision or action with the person or designee of the operation, and provides written notice by:

  1. leaving a printed copy of the completed CLASS form 2936 Child-Care Facility Inspection with the person in charge during the exit conference; or
  2. sending the specific notification letter in the CLASS system that is appropriate for the decision or action by mail to the person or designee of the operation.

CCR staff informs the person or designee of the operation that the request for an administrative review must:

  1. be submitted to CCE in writing, by encouraging the person or designee to use Form 2940 Request for an Administrative Review or submit the written request by letter;
  2. include the information outlined in 26 TAC Section 745.8805; and
  3. be received by CCE by 15 days after the person or operation received notice about CCR’s decision or action.

5612 Waiving the Right to an Administrative Review

Revision 24-1; Effective Feb. 20, 2024

A person or operation waives the right to an administrative review by:

  • not disputing the CCR, CCE, or Credentialing and Registry Enforcement (CARE) decision or action in the required time frame; or
  • by submitting a written statement to CCR, CCE, or CARE, as appropriate, stating the person or operation waives the right to an administrative review.

26 TAC Section 745.8805 and 745.8807

Procedure

To expedite a decision or action, the person or designee of the operation may submit a written statement to CCR, CCE, or CARE by 15 days after the person or operation received notice of the decision or action.

The person or designee may submit the written statement waiving the right to the administrative review to CCR, CCE, or CARE as follows:

IfThe Person or Designee
  • the decision or action is a CCR decision or action; and 
  • an administrative review has not been requested for the decision or action

submits the written statement to CCR staff.

After receiving the written statement, CCR staff:

  1. upload a copy of the statement to the CLASS Document Library (go to 1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library); 
  2. document a summary of the statement as a Chronology in CLASS; and
  3. update the administrative review status in CLASS as outlined in 5613 Updating the Administrative Review Status of a CCR Decision or Action in CLASS.
  • the decision or action is a CCR or CCE decision or action; and
  • an administrative review has been requested for the decision or action

emails the written statement to one of the following, depending on the operation type:

  • the decision or action is a CCE decision or action; and
  • an administrative review has not been requested for the decision or action

emails the written statement to one of the following email addresses, depending on the operation type:

the decision or action is a CARE decision or actionsubmits the written statement to the CARE point of contact noted on the relevant remedial action letter.

If the person or designee verbally notifies CCR staff that the person or designee wants to waive the right to an administrative review, CCR staff informs the person or designee that the waiver must be submitted in writing as indicated in the table above.

5613 Updating the Administrative Review Status of a CCR Decision or Action in CLASS

Revision 24-1; Effective Feb. 20, 2024

Procedure

CCR staff update the status of an administrative review in CLASS as indicated in the table below.

SituationWho Updates the Administrative Review StatusHow to Update the Status
The decision or action subject to an administrative review is a CCR decision or action, and the right to an administrative review is waived because the person or operation did not dispute the decision or action.CCRUpdate the Administrative Review dropdown in the Due Process section on the Standard Details page from Pending to Waived.
The decision or action subject to an administrative review is a CCR decision or action, and an administrative review was requested for the decision or action.CCEN/A
The decision or action subject to an administrative review is a CCE or Credentialing and Registry Enforcement (CARE) decision or action.CCE or CARE as appropriateN/A

5614 Receiving a Request for an Administrative Review

Revision 24-1; Effective Feb. 20, 2024

Procedure

If CCR staff receive a request for an administrative review, CCR staff notify CCE or CARE of the request as indicated in the table below.

If Then
the administrative review request is for a CCR or CCE decision or action

CCR staff forward the request to the following email addresses, depending on the operation type:

the administrative review request is for a CARE decision or actionCCR staff forward the request to CCRA.Enforcement@hhs.texas.gov.

26 TAC Section 745.8805

5615 When a CCR, CCE, or CARE Decision or Action Takes Effect

Revision 24-1; Effective Feb. 20, 2024

Unless the person or operation has the right to request a due process hearing to challenge the decision or action, a CCR, CCE, or Credentialing and Registry Enforcement (CARE) decision or action takes effect:

  • on the date the right to an administrative review was automatically waived;
  • on the date CCR, CCE, or CARE receives the person or designee’s written statement waiving the right to an administrative review; or
  • when CCE or CARE upholds, amends, or overturns the decision or action.

26 TAC Sections 745.8813 and 745.8815

5700, Due Process Hearings

Revision 24-2; Effective May 22, 2024

Child Care Enforcement (CCE) is a unit within the Regulatory Enforcement (RE) Department of the Regulatory Services Division (RSD) responsible for making decisions about enforcement actions and due process. CCE decisions are based on information CCR staff gather for all regulated providers and unregulated operations subject to regulation.

Credentialing and Registry Enforcement (CARE) is a unit within the RE department of RSD. The CARE unit is responsible for making decisions about remedial actions taken against the holder of, or applicant for, an administrator’s license issued by CCR.

A due process hearing is a hearing held by the State Office of Administrative Hearings (SOAH) to determine if an HHSC decision or action was appropriate under applicable statute or rule.

Procedure

The following table outlines the action for which a person is entitled to a due process hearing and who can request the hearing:

Decision or Action in Dispute:Person Who Can Request a Due Process Hearing:

The imposition of either of the following against an operation:

  • an adverse action subject to the limitations in 26 TAC Section 745.8835(b); or
  • an administrative penalty.
The applicant or an owner, partner, governing body, director, licensed administrator, or designee of the operation.
A denial, refusal to renew, suspension, or revocation of an administrator's license.The applicant for an administrator’s license or the licensed administrator.

The designation of the person as a controlling person.

Note:  A designated controlling person becomes sustained if the associated revocation is upheld and:

  • the designation is upheld at SOAH and all subsequent appeals, if any; or
  • the person does not make a timely request for a due process hearing to challenge the designation.

CCE processes sustained controlling persons per relevant procedures.

The person designated as a controlling person.

The imposition of an administrative penalty against a controlling person.

Note: An administrative penalty against a controlling person is upheld if:

  • the decision is upheld at SOAH and all subsequent appeals, if any; or
  • the person does not make a timely request for a due process hearing to challenge the penalty.
Controlling person against whom an administrative penalty has been assessed.

A Central Registry finding of child abuse, neglect, or exploitation that:

The finding may be the result of:

  • a DFPS investigation; or
  • an HHSC Provider Investigation.   

Note: If the background check subject is a minor, the subject’s parent or guardian is notified of the right to request a due process hearing and may request the hearing.

The subject of the background check.

A determination that the person poses an immediate threat or danger to the health or safety of children because of:

  • a juvenile adjudication; or
  • another issue not related to criminal history or a Texas Department of Family and Protective Services (DFPS) child abuse, neglect, or exploitation investigation.

Note: If the person is a minor, the subject’s parent or guardian is notified of the right to due process and may request the hearing.

The person determined to pose the immediate threat or danger.

26 TAC Sections 745.8831745.8835, 745.8837, 745.8681, and 745.8877

HRC Section 42.078

Government Code Chapter 2001

Combination Hearing

A due process hearing may address a combination of actions and decisions that are related to each other in a combination hearing.

Examples of combination hearings include:

  1. a DFPS Child Protective Investigations (CPI) finding of abuse, neglect, or exploitation and CCE’s decision to revoke an operation’s permit based on the DFPS finding.
  2. CCE’s decision to designate a controlling person and CCE’s decision to revoke an operation’s permit.

26 TAC Section 745.8849

5710 Due Process Hearing Procedure

Revision 24-2; Effective May 22, 2024

Procedure

A person may request a due process hearing in writing by certified or regular mail or fax. A background check subject may request a due process hearing in writing by certified or regular mail, fax, or email. CCR staff refer to the following table to determine how to handle questions and requests or waivers for due process hearings:

Person Who Can Request HearingReason for Requesting HearingFor Any Questions or Written Correspondence, Refer the Requestor to:HHSC Department or Division Processing the Hearing Offer
Applicant, owner, partner, member of the governing body, director, licensed administrator, or the designee of an operation
  • denial, revocation, refusal to renew, or suspension of a permit;
  • imposition of an administrative penalty against the operation; or
  • placement of a new or additional restriction or condition on the permit after initial issuance.
Child Care Enforcement (CCE)CCE
Controlling person or designated controlling person
  • the designation as a controlling person; or
  • the administrative penalty.
CCECCE
Licensed administrator or applicant for an administrator’s licenseDenial, revocation, refusal to renew, or suspension of the license.Credentialing and Registry Enforcement (CARE)CARE
Background check subjectCentral Registry finding of child abuse, neglect or exploitation that has not been sustained when the subject receives a notification from the Centralized Background Check Unit (CBCU) of the finding.CBCU or Child Care Licensing Legal Enforcement DepartmentCBCU
Background check subjectA determination by CBCU staff that the person’s presence presents an immediate threat to the health or safety of children for a reason that is not related to criminal history or a DFPS finding of child abuse, neglect or exploitation.CCECCE

CCE and CARE staff process and document due process hearing requests. CCR staff refer to the table in 7200 Overview of CCR and Regulatory Enforcement Staff Responsibilities Related to Non-voluntary Enforcement Actions for more information.

Reference

Actions Taken When a Due Process Hearing is Requested, 10253

26 TAC Sections 745.909, 745.8837, 745.8839, 745.8841, and 745.8613

5711 Waiving a Due Process Hearing and Expediting the HHSC Decision or Action

Revision 24-2; Effective May 22, 2024

The notification sent to a person advising of the right to request a due process hearing also provides the deadline to request the hearing. The right to a due process hearing is waived if:

  • the person does not request the hearing per 26 TAC Section 745.8837; or
  • the person submits a written statement to the Child Care Licensing Legal Enforcement Department or Child Care Enforcement (CCE) per the notification, waiving the right to the due process hearing. 

Procedure

If the person waives the right to a due process hearing, the HHSC decision or action is expedited and is effective on the date HHSC receives the written waiver.

26 TAC Section 745.8855

5712 Procedure for Requested Due Process Hearings

Revision 24-2; Effective May 22, 2024

Procedure

When a person requests a due process hearing, Child Care Licensing Legal Enforcement Department staff determine if the request is timely. If the request is timely, the Child Care Licensing Legal Enforcement Department staff refer the case to State Office of Administrative Hearings (SOAH). SOAH assigns a docket number and an administrative law judge to handle the case.

Once the hearing has been docketed, Child Care Licensing Legal Enforcement Department staff proceed, and otherwise manage the case per the relevant procedural rules.

The Child Care Licensing Legal Enforcement attorney may ask HHSC staff to help by presenting testimony, providing background information, or gathering evidence for the hearing.

26 TAC Section 745.8839 and 745.8845

5713 When an HHSC Decision or Action is Effective Following a Due Process Hearing Decision

Revision 24-2; Effective May 22, 2024

A due process hearing is considered complete, and the relevant decision(s) or action(s) are effective per the following table:

Due Process Hearing Offer Was ForDue Process Hearing WasDecision or Action is Effective
an HHSC decision or action, other than designating a controlling person.not requested per 26 TAC Section 745.8837(a) and (b).the day after the expiration of the required time frame to request a due process hearing.
an HHSC decision or action other than designating a controlling person.waived in writing.the date HHSC receives the written request.
an HHSC decision or action other than designating a controlling person.requested and SOAH upheld the action or decision.following the expiration of time to file a motion for rehearing and any appeals of the SOAH decision.
designation of Controlling Person.
  • not requested per 26 TAC Section 745.8839; or
  • waived in writing.
determined per 26 TAC 745.907(b).
designation of Controlling Person.requested and SOAH upheld the designation.determined per 26 TAC 745.907(b).

If the administrative action is upheld after completing administrative reviews, due process hearings, and any further appeals, CCE changes a designated controlling person to a sustained controlling person.

CCR staff receive the Review and Update Controlling Person Association Status for Sustained Controlling Person [NAME] To-Do and refer to 5453 Eligibility to Serve As a Controlling Person After Finding a Match.

5720 Regulating Pending the Due Process Hearing for Denial, Refusal to Renew, Revocation, or Suspension

Revision 24-2; Effective May 22, 2024

Procedure

CCE staff decide when an operation may continue providing care pending the due process hearing. When an operation continues to care for children, CCR staff continue to monitor the operation.

The following table summarizes CCE’s decision about when an operation may continue to provide care to children pending the due process hearing decision.

CCE Action Related to the Due Process HearingContinue to Provide Care
Denial or SuspensionNo
Refusal to renew or revocation and CCE has not determined the operation poses an immediate risk to the health or safety of childrenYes
Refusal to renew or revocation and CCE has determined the operation poses an immediate risk to the health or safety of childrenNo

After CCE notifies the operation of the intent to take adverse action of revocation or refusal to renew, CCR follows up with inspection activities to ensure:

  • the health and safety of children if CCE determines the operation may continue providing care; or
  • the operation has ceased providing care pending the appeal process.

If CCE staff decide an operation cannot continue providing care pending the due process hearing, the operation may seek judicial relief in a district court.

References

Conducting Inspections When CCE Determines the Operation Can Continue Providing Care Pending the Due Process Hearing, 5721
Conducting Inspections When CCE Determines the Operation Cannot Continue Providing Care Pending the Due Process Hearing, 5722
Judicial Actions, 7700

26 TAC Sections 745.8835, 745.8873, 745.8875, and 745.8879

HRC Sections 42.072(d-1) and (e)

5721 Conducting Inspections When CCE Determines the Operation Can Continue Providing Care Pending the Due Process Hearing

Revision 24-2; Effective May 22, 2024

Procedure

If CCE staff decide the operation can continue providing care while the operation challenges the adverse action, CCR staff monitor the operation to ensure the health and safety of children. The CCR inspector:

  • consults with the inspector’s supervisor, program administrator, and regional director to develop a plan to monitor the operation;
  • establishes a schedule so inspections continue; and
  • conducts inspections and assessments, provides results, and follows up per the relevant sections in 4000 Inspections.

If appropriate, the inspector discusses with the permit holder the possibility of additional actions, including an injunction.

5722 Conducting Inspections When CCE Determines the Operation Cannot Continue Providing Care Pending the Due Process Hearing

Revision 24-2; Effective May 22, 2024

Procedure

If CCE determines the operation cannot provide care during the due process hearing and the operation does not get judicial relief overriding CCE’s determination, CCR staff conduct inspections per the following table:

Status of Verification