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 531.02001; 531.02011; 531.02013; 531.02014; and 2401.002 

Texas Human Resources Code Sections 42.001; 42.002; 42.052(c); 43.003; 43.004(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 Licensing Statutes

September 28, 2018

State statutes for Licensing are found in the following:

Human Resources Code

Chapter 40: Although most of the statutes in this chapter relate to DFPS responsibilities, Texas Human Resources Code (HRC) §40.066 governs hearings at the State Office of Administrative Hearings (SOAH) conducted by HHSC on behalf of Licensing.  Moreover, HRC §40.005 continues to govern confidentiality provisions in 40 Texas Administrative Code Chapter 745, Subchapter K, Division 3.

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 Licensing Rules (Texas Administrative Code)

December 2019

Texas HHSC rules related to Child Care Licensing (CCL) are found in Title 26, Chapter 745, Texas Administrative Code (TAC) and Title 40, TAC (only Chapter 745, Subchapters K and M). 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 Licensing Rules 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 2001, Texas Government Code (TGC)

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 Licensing

December 2019

The following chapters of rules in Title 26 of the Texas Administrative Code (TAC) apply to the rules for Child Care Licensing:

Minimum Standards for Shelter Care, Chapter 743

Minimum Standards for School-Age and Before- or After-School Programs, Chapter 744

Minimum Standards for Child-Care Centers, Chapter 746

Minimum Standards for Child-Care Homes, Chapter 747

Minimum Standards for General Residential Operations, Chapter 748

Minimum Standards for Child-Placing Agencies, Chapter 749

Minimum Standards for Independent Foster Homes, Chapter 750

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 §§745.33, 745.35, 745.8901, and 745.8903

1141 Types of Child Day Care Operations

December 2019

The following table describes the types of child care that Licensing regulates. See also 26 TAC §745.37(2).

Child Day Care Operations Regulated by HHSC	Description
Listed family home	The primary caregiver: is at least 18 years old; provides regular care in the caregiver's own home, for compensation; serves children whose ages range from birth through age 13; provides care for at least four hours a day, three or more days a week, and for three or more consecutive weeks; serves no more than three children who are unrelated to the caregiver; and serves no more than 12 children, total, including children who are related to the caregiver.
Registered child care home	The primary caregiver: is at least 21 years old; provides regular care in the caregiver's own home; serves children whose ages range from birth through age 13; provides care for at least four hours a day, three or more days a week, and for three or more consecutive weeks; provides care to no more than six children who are unrelated to the caregiver; provides after-school care to no more than six additional elementary school children; and serves no more than 12 children, total, including children related to the caregiver.
Licensed child care home	The primary caregiver: is at least 21 years old; provides regular care in the caregiver's own home; serves children whose ages range from birth through age 13; and serves no more than 12 children, total, including the children related to the caregiver.
Child care center	The operation: provides care for seven or more children; serves only children younger than age 14; provides fewer than 24 hours of care per day; and is located somewhere other than the permit holder's home.
Small, employer-based child care (A small, employer-based operation employs fewer than 100 full-time employees)	A small employer that: provides care for up to 12 children of employees; serves only children younger than age 14; provides fewer than 24 hours of care per day; and is located in the same building where the parents work.
Shelter care	The operation: provides care for seven or more children; serves only children younger than age 14; operates for at least four hours a day and three days a week; and is located at a temporary shelter, such as a family violence or homeless shelter.
Before or after school program	The operation: provides care before, after, or both before and after the customary school day and during school holidays; operates for at least two hours a day, three days a week; and serves children who attend pre-kindergarten through grade six.
School-age program	The operation: provides supervision and recreation, skills instruction, or skills training; operates for at least two hours a day, three days a week; serves children who attend pre-kindergarten through grade six; and may operate before or after the customary school day, school holidays, summer period, or any other time when school is not in session.

1142 Types of Residential Child Care

December 2019

The following table describes the types of residential child care that Licensing regulates. See also 40 TAC §745.37(3).

Residential Child Care Operations	Description
Foster family home (Independent)	An independent foster family home is a home that is: a single, independent home that is the primary residence of the foster parents; and provides care for six or fewer children up to age 18.
Foster group home (Independent)	An independent foster group home is a home that is: a single, independent home licensed after January 1, 2007, that is the primary residence of the foster parents; provides care for seven to 12 children up to the age of 18 years; or a single, independent home licensed before January 1, 2007, that provides care for seven to 12 children up to age 18.
General residential operation (GRO)	An operation that provides child care for seven or more children up to age 18. The care may include treatment and other programmatic services. Residential treatment centers are a type of general residential operation.
Child-placing agency (CPA)	An agency, organization, or person (other than a child's parent) that places or plans for the placement of the child in a foster or adoptive home or other residential care setting.
CPA foster family home	A home regulated by a child-placing agency that: is the primary residence of the foster parents; and is verified to provide care for six or fewer children up to age 18.
CPA foster group home	A home regulated by a child-placing agency that is verified to care for seven to 12 children up to age 18.  Homes verified after January 1, 2007, must be the primary residence of the foster parents.
CPA adoptive home	A home approved by a child-placing agency for the purpose of adoption.

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 Administrators	Description
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.

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 Role	Summary	CLASS Functions
District Director or Manager	Provides 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 Staff	Provides 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 CLASS	Provides all the functionality assigned to the role of Licensing Inspector, plus the functions described in the CLASS Functions column to the right	Add 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.

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 23-3; Effective Sept. 22, 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).

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 Area	Hard Copy record	CLASS Record
Day Care	If 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 Care	Not 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 Operations	Not used. All records are maintained in CLASS record or digital records.	An inquiry or report of an alleged unregulated operation is received; or A search is conducted by staff and a possible unregulated operation is identified.
Exempt Operations	Not 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 Administrators	If 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 23-3; Effective Sept. 22, 2023

Every electronic and hard copy record created in the course of business must be retained for a specific period of time, 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

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 23-3; Effective Sept. 22, 2023

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 assist 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.

See:

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 
7426  Conducting Surveillance During Corrective Action

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.

2. The object of the photograph must be material to the case and must not incite prejudice.
3. 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.

4. The Licensing staff person taking the photographs must attest to the accuracy of the photographs.
5. 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.

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

A 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

A 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.

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)

2. Enter only street numbers, street names, and P.O. boxes on the first address line.
3. 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.

November 2010

Licensing staff provide information about the licensing process to:

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

Trained volunteers may also provide the information.

Texas Human Resources Code §42.047

Procedure

If an applicant seeks a permit for a child care operation that is already operating, Licensing staff:

1. inform the applicant that he or she is operating in violation of Human Resources Code, Chapter 42;
2. cite the appropriate section of the law; and
3. update in the Child Care Licensing Automated Support System (CLASS) the existing record for the illegal operation to maintain the operation number and history.

Texas Human Resources Code §§42.041; 42.052(a),(c),(d)

2210 Permits Required for Child Day Care

September 28, 2018

The following table describes the permits required for each type of child day care operation regulated by HHSC on or after September 1, 2003. See also 40 TAC §745.37(2). For a definition of each type of operation, see 1141 Types of Child Day Care Operations.

Child Day Care Operations	Type of Permit
Listed family home	Listing
Registered child care home	Registration
Licensed child care home	License
Child care center	License
Small, employer-based child care      (A small, employer-based operation employs fewer than 100 full-time employees)	Compliance certificate
Temporary shelter child care program	Compliance certificate
Before- or after-school program	License
School-age program	License

2211 Child Day Care Homes Subject to Listing and Registration

November 2010

Homes that meet the following criteria are subject to regulation.

Type of Operation	Criteria for Regulation
Listed family home	A listed home is subject to regulation, if: the care is provided in the caregiver’s own residence; compensation is provided for the care; care is provided for three or fewer children, excluding children who are related to the caregiver; the children range in age from birth through 13 years; and care is provided for at least: four hours a day; three or more days a week; and more than nine consecutive weeks.
Registered child care home	A registered child care home is subject to regulation, if: the care is provided in the caregiver’s own residence; the care is provided for four or more children, excluding children who are related to the caregiver; the children range in age from birth through 13 years (the children do not have to be present at the same time); and care is provided for at least: four hours a day; three or more days a week; and more than nine consecutive weeks.

2220 Permits Required for Residential Child Care

August 2012

The following table describes the permits required for each type of residential child care. See also 40 TAC §745.37(3).

For a definition of each type of operation, see 1142 Types of Residential Child Care.

Residential Child Care Operations	Type of Permit
Foster family home (Independent)	License
Foster group home (Independent)	License
General residential operation	License
Child-placing agency (CPA)	License
CPA foster family home	Verification      (The CPA issues the verification and regulates its own foster family homes.)
CPA foster group home	Verification      (The CPA issues the verification and regulates its own foster group homes.)
CPA adoptive home	None      (The CPA approves an adoptive home by completing a home screening, but no specific type of permit is required. The CPA regulates its own adoptive homes.)

2230 Operating Multiple Day Care Services Under One Permit

 

2231 Other Services that May Be Offered Under One Day Care Permit

November 2010

An applicant or permit holder who operates a child care center under a single permit may include other services under that permit, such as:

1. a drop-in care center;
2. a kindergarten;
3. a nursery school; or
4. a school. 

2232 Requirements for Offering Multiple Services Under One Day Care Permit

November 2010

It is not necessary to obtain more than one permit for operations at the same location, if the operations have the same governing body.

In such cases, the operations’ programs must:

• be housed in separate areas of the location; and
• each operation must have a written plan explaining how caregivers from each operation supervise children if and when the operations share space.

When multiple types of operations at one location are subject to different sets of licensing rules, each operation must comply with the minimum standards appropriate for each type of operation.

See also:

2260 Operations that Are Not Contiguous  
2330 Exempt Facilities that Operate at the Same Locations as Regulated Facilities 

2240 Operating a Child Care Home and a Day Care Center at One Location Under Two Licenses

November 2010

For a single child day care operation to be granted one license to be a child care home and another license to be a child care center at the same location, all of the following must apply:

1. Before September 1, 2003:
   • the operation held one license to be a group day care home and another license to be either a combination kindergarten-nursery school or a school for kindergarten and above, and
   • both licenses remain valid.
2. By August 31, 2003, the permit holder notified Child Care Licensing of the decision to operate both a licensed child care home and a licensed child care center at the same location.
3. Each licensed operation pays the required fees.
4. During the hours that the operation is a child care home, it meets the minimum standards for child care homes and during the hours that the operation is a child care center, it meets the minimum standards for child care centers.
5. The licensed day care home does not operate during the same hours as the licensed day care center.

40 TAC §745.379

An operation cannot be issued a permit for both a licensed child care center and a licensed child care home at the same location, unless the operation meets all of the conditions outlined directly above. 

2241 Additional Issues Related to Operating a Child Care Home and a Day Care Center at One Location Under Two Licenses

November 2010

One Operation, One Unit

Only one registration or listing permit is issued for a child care home that operates in a single living unit or home. If more than one person cares for children in a single living unit or home, the name on the listing or permit must be the name of the primary caregiver.

40 TAC §745.371

Separate Operations, One Location

A permit cannot be issued to an operation for both a licensed child care center and a licensed child care home at the same location, unless the operation meets the following conditions:

• The two operations do not share the same space.
• If the playground space and other multi-use areas such as auditoriums are shared, they are not in use at the same time.

(Shared space is not counted when calculating capacity, unless an operation uses it for the majority of its operating hours.)

One Operation, One License or Registration

An operation cannot be issued both a license and a registration. 

2250 Operating More Than One Licensed Child Care Home

November 2010

A permit holder may operate more than one licensed child care home only when all of the following apply:

1. The permit holder was licensed to operate two or more group day care homes before September 1, 2003.
2. The licenses remain valid.
3. The homes operate out of separate locations. (The homes may operate out of the two sides of a duplex, if they operate as separate entities; that is, with the children using the playground at different times and with no routine mixing of children or staff; that is, the children and staff of one operation must be affiliated with only one operation, not both.)
4. The permit holder maintains totally separate operations (2251 Defining What Qualifies a Child Care Home as Separate).

Procedure

Licensed child care homes that operate from the same location may work together at times; for example, when taking the children from both homes on a field trip.

If staff determine that two child care homes are mixing their populations, staff cite each home for violating the conditions of its permit because it is caring for more than 12 children. (The standards for licensed child care homes and their directors limit care to 12 or fewer children.)

The cited operation must then decide whether to:

• operate as a child day care center, meeting child day care standards; or
• adhere to the restrictions required when operating separately licensed child care homes.

Each home must have its own director.

40 TAC §745.373 

2251 Defining What Qualifies a Child Care Home as Separate

November 2010

To be considered separate, an operation must meet the following criteria:

1. The children are not moved back and forth between the licensed child care homes.
2. The children attend the operation in which they are enrolled.
3. All records are maintained at the operation, including staff records, enrollment records, and emergency records.
4. The director is the director of only one child care home. 

2260 Operations that are Not Contiguous

November 2010

Licensing may issue a single permit to the governing body of a child day care operation or residential child care operation that has multiple buildings that are not contiguous, as long as:

• the buildings are near each other and demonstrate a single operation; and
• the permit lists the names and addresses of the appropriate operations. 

2261 Child Day Care Operations that are Not Contiguous

November 2010

A single permit may be issued to a child day care operation that has buildings that are not contiguous, as long as the buildings are located nearby.

For the purposes of this policy, nearby means that the buildings are:

1. next to each other, on the same property;
2. across the street from each other; or
3. on the same city block.

The operations must demonstrate a single operation as indicated by patterns of staffing, finance, administrative supervision, and programs. 

2262 Residential Care Operations that are Not Contiguous

November 2010

A single permit may be issued to a residential child care operation that has buildings that are not contiguous, if the buildings are located nearby.

For the purposes of this policy, nearby means that the buildings are:

1. next to each other, on the same property;
2. across the street from each other; or
3. on the same city block.

The operation can continue to operate in noncontiguous buildings that were approved before September 1, 2005, under the definition of nearby that was used at that time, if the license is still valid.

If the operation wishes to add a noncontiguous building, the building must meet the current definition of nearby.

Operations that are not contiguous must demonstrate that they each operate the same type of program, regardless of when a license was issued. 

2262.1 Defining Multiple Residential Care Operations as the Same Operation

November 2010

Residential care programs are considered the same, if they operate under the same:

1. policies;
2. procedures;
3. hiring practices; and
4. financial systems.

Texas Human Resources Code §42.041(c)

40 TAC §§745.385; 745.201 

2263 Evaluating Child-Placing Services

September 28, 2018

A program that brings birth mothers and prospective adoptive parents together but does not arrange the adoption is not considered to be making plans for a placement and is not subject to Licensing’s regulation, as long as the program:

• does not receive compensation for its services; and
• does not conduct child-placement activities, such as home studies.

Licensure by another state agency to provide medical care does not exempt a facility from the need to be regulated by HHSC as a child-placing agency, if child-placing activities are being conducted.

A child-placing agency located in Texas that provides only international adoptions is subject to Licensing’s regulation in order to place a child with a family living in Texas. 

2270 Residential Child Care Operations that Also Provide Child Day Care

September 28, 2018

All foster homes that provide child day care require a child day care permit. This includes independent foster homes and foster homes regulated by child-placing agencies (CPAs).

Licensing’s child day care staff regulate such foster homes in the same way that they regulate a child day care operation.

The following conditions must be met before a foster home may provide both foster care and day care:

1. The home is approved by the HHSC Residential Child Care Licensing Division and the HHSC Child Day Care Division.
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 having paid all necessary fees.
4. The home meets the requirements in 26 TAC §749.2493 and 40 TAC §745.375.

26 TAC §§749.2551; 749.2553 

2271 General Residential Operations that Also Provide Child Day Care

September 28, 2018

All general residential operations (GROs) that provide child day care require a child day care permit. (A GRO provides child care for 13 or more children or young adults. For more information on GROs, see the entry general residential operation under Definitions of Terms.)

Licensing’s child day care staff regulate child day care programs at GROs in the same way that they regulate any child day care operation.

The following conditions must be met before a GRO may provide both residential child care and child day care:

1. The GRO’s plan to provide day care is approved by the HHSC Residential Child Care Division and the HHSC Child Day Care Division of Licensing.
2. The GRO does not treat children who have emotional disorders.
3. The GRO provides day care services separately from residential services.
4. The GRO hires separate administrative employees and caregivers for each program.
5. The GRO meets the requirements for a child day care permit, including having paid all necessary fees.
6. The GRO meets the requirements for a general residential operation, as stated in 26 TAC §748.157. 

2272 Extended Child Day Care

November 2010

A registered or licensed child day care operation may offer 24-hour care, but the permit must be approved to care for children during both the day and night, and even then, a child may be in care for:

• no more than 16 hours within a 24-hour period; and
• no more than three consecutive 16-hour stays, with a maximum of six 16-hour stays a month.

40 TAC §745.383

Special activities, such as overnight slumber parties held once a month or less at a licensed, certified, or registered child day care operation are not cited as a violation of the hours and days approved on Form 2910 Application for a License or Certification to Operate a Child Day Care Facility (for licensed and certified operations) or Form 2919 Request for a Registration Permit, but the operation must continue to meet standards during overnight parties.

40 TAC §745.381 

2280 State-Operated Facilities Exempt from Licensure

September 28, 2018

A child care operation run by a state of Texas agency must be certified by Licensing. (Facilities operated by Texas cities, counties, or other municipalities are not state-operated.)

Examples of state-run child care operations that must be certified include:

1. laboratory schools in state universities;
2. residential operations at state schools (state schools are state-run residential facilities for people with developmental disabilities); and
3. the DFPS Child Protective Services Division.

To be certified, an operation must comply with the laws, rules, and standards that apply to licensed operations. The certificate must be displayed in a prominent place at the operation. The certificate remains valid until revoked or surrendered.

Certain state-run operations are exempt from regulation by Licensing. See 2340 Operations Not Regulated by HHSC Because They Are Regulated by Other Governmental Entities.

Texas Human Resources Code §§42.041; 42.052

40 TAC §745.39

Procedure

If a state-run operation inquires about certification, Licensing staff inform the person inquiring that:

• as part of the application, the operation must submit documentation to substantiate that it is operated by a state of Texas agency; and
• the operation must follow the same procedures followed for an inquiry regarding a license.

Licensing staff regulate an operation that has a certificate in the same manner that staff regulate an operation that has a license.

See 7210 Immediate Danger in a State-Operated Facility.

September 28, 2018

A program is not subject to regulation if it is not a type of child care operation that is subject to HHSC regulation. Such a program does not have to meet the requirements of a specific exemption under Texas Human Resources Code (HRC) §42.041(b).

An exempt program would be subject to regulation if it did not meet the requirements of a specific exemption under Texas Human Resources Code (HRC) §42.041(b).

A program that is exempt from HHSC regulation or is otherwise not subject to HHSC regulation may operate legally without:

• receiving a permit (license, certification, registration, or listing) from Licensing; or
• complying with the statutes, rules, or standards that govern regulated child care in Texas.

The following programs are exempt from licensure and certification based on the Texas Human Resources Code §42.041(b)(2) and 40 Texas Administrative Code §§745.115, 745.117, 745.119, and 745.129:

1. Operations that are regulated by other governmental entities
2. Operations of limited duration
3. Certain educational facilities and programs
4. Certain miscellaneous programs

An exempt program must inform Licensing when it no longer meets any criterion for the exemption. HHSC may 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 a license or registration from HHSC; or
• fails to inform Licensing about a change in the status of a program that would require the program to be licensed or registered.

Texas Human Resources Code §42.075

Moreover, a person may be prosecuted for a Class B misdemeanor for operating a child care operation without the appropriate permit from HHSC.

Texas Human Resources Code §42.076

2310 Determining Whether a Program is Subject to Regulation

September 28, 2018

Licensing staff may become aware of a program that is explicitly exempt from or otherwise not subject to HHSC regulation when:

• a report of an illegal operation is being investigated; or
• a program submits an exemption determination form.

Licensing staff must first determine whether the program meets the statutory definition of a type of operation that is subject to HHSC regulation.

If the Licensing staff determines that the program may be an operation that is subject to regulation, he or she informs the program that it must submit:

• an application for a permit; or
• the appropriate exemption determination form.

Texas Human Resources Code §§42.002(3)(9)(16)(17), 42.151(1) and 42.201(3)

40 TAC §§745.111, 745.113 

2311 Determining Whether a Program is Subject to Regulation During an Investigation of an Illegal Operation

March 2014

Procedure

When investigating a potential illegal operation, Licensing staff must determine whether the program is subject to regulation. Licensing staff may take the following steps to help determine whether the program is subject to regulation:

1. Request that the program complete and return the appropriate exemption determination form and any supporting documentation (this is a request only, since the program is not required to comply).
2. If the program submits the exemption determination form:

• evaluate the information, and
• consult with the Licensing supervisor or the designated regional subject matter expert to determine whether the program is subject to regulation or if additional information is needed to make a decision.

3. If the program does not submit the exemption determination form:

• obtain as much information as possible from the program, and
• consult with the Licensing supervisor or the designated regional subject matter expert to determine whether the program is subject to regulation or if additional information is needed to make a decision.

If the Program is Not Subject to Regulation

After investigating a program as a potential illegal operation and determining that it is not subject to regulation, staff:

• notifies the program that it is not subject to regulation by sending the Investigation Letter (CLASS Form 2896) located on the Investigation Main page (see 6567 Procedures When an Illegal Operation Is Determined to Be Not Subject to Regulation); and
• enters a Closure Date and selects Not Subject To Regulation from the Closure Reason drop-down menu on the Illegal Operation main page.

If the Program May Be Subject to Regulation

If Licensing staff determines the program may be subject to regulation, and the program wants to claim an exemption, see 2320 Determining Whether a Program Is Exempt From Regulation.

If the program wants to apply for a permit, see 3130 The Application Process. 

2312 Determining Whether a Program is Subject to Regulation When Evaluating an Exemption Determination Form

March 2014

Procedure

If a review of an exemption determination form indicates that a program does not meet the statutory definition of a facility, family home, small employer based child care, or a temporary shelter, Licensing staff:

1. notifies the program in writing that it is not subject to regulation by sending the Exemption Response letter (Form 2807) located on the DFPS automated forms system; and
2. completes the Exemption Requests and Background Check Only Entities page as follows:
   1. enter the date the request was received in the Exemption Request Received field;
   2. enter the date a decision is made in the Action Date field;
   3. select Return from the Action drop down menu (Action Field);
   4. enter the date the operation was notified and the reason for the decision in the Action Reason narrative box;
   5. enter the date the exemption is closed in the Closure Date field) in CLASS on the Main page; and
   6. select Not Subject to Licensing Regulation from the Closure Reason field drop down menu.

If it is determined that the program meets the requirements to be exempt, Licensing staff follows the steps in 2323 Documenting Exemption Decisions in Class.

If it is determined that the program is not exempt and is subject to regulation, Licensing staff follows the steps in 2322.21 Program is Not Exempt. 

2320 Determining Whether a Program is Exempt from Regulation

December 2014

Policy

A program may be exempt from regulation based on statute and administrative rule.

To make a determination about an exemption, Licensing requires the program to:

• determine the type of exemption to request;
• complete all sections of the form that is appropriate for the type of exemption being requested:

Form 2820 Educational Facility Request for Exemption from Child Care Licensing Regulation;

Form 2832 Single Skills Program During School Year Request for Exemption from Child Care Licensing Regulation;

Form 2833 Single Skills Program Summer Request for Exemption from Child Care Licensing Regulation;

Form 2837 Governmental Entity Request for Exemption from Child Care Licensing Regulation;

Form 2838 Miscellaneous Entities Request from Child Care Licensing Regulation;

Form 2839 Program of Limited Duration Request for Exemption from Child Care Licensing Regulation; and

• include any additional documentation that will verify eligibility for the exemption request.

See 2322 Processing the Exemption.

Texas Human Resources Code, §§42.041; 42.002(9)(16)(17), 42.052(c)(d)

40 TAC §§745.115; 745.117, 745.119, 745.129, and 745.131 

2321 Criteria Used to Determine if a Program is Exempt

May 2020

To determine whether a program is exempt from regulation, Child Care Regulation staff request that the program submit the appropriate exemption determination form (see 2320 Determining Whether a Program Is Exempt From Regulation, for a list of these forms).

The exemption determination forms collect the following information:

1. Purpose of the program;
2. Persons or group responsible for care;
3. Location of the facility;
4. Days and months that child care is planned or provided;
5. Hours that child care is planned or provided;
6. Ages of the children in care;
7. Projected duration of the child care arrangement;
8. Child’s relationship to the child care provider;
9. Number of children in care;
10. Use of space when a regulated program operates at the same location; and
11. Details about the program’s activities and services that may meet the criteria for exemption from regulation.

2322 Processing the Exemption

May 2020

Procedure

If a program believes it is exempt from regulation by Child Care Regulation (CCR), based on a specific exemption in 26 Texas Administrative Code §§745.115; 745.117, 745.119, and 745.129, CCR staff take the following steps:

1. Ask the person in charge of the program to complete and return the appropriate exemption determination form and all supporting documentation within 14 days of receiving the form from CCR.
2. Enter the exemption into CLASS on the Exemption Requests & Background Check Only Entities page.
3. Evaluate the information received.
4. Consult with the CCR supervisor or the designated regional subject matter expert to determine whether additional information is needed to make a decision.
5. Conduct an inspection of the operation, if necessary.
6. Notify the person in charge of the program about CCR’s decision regarding the exemption request. Notification must be provided:

• within 21 days after CCR staff receive all of the information necessary to make the determination; and
• in writing, by sending one of the following Exemption Response letters located on the CCR SharePoint site:
  • Form 2807 Exempt Response Letter;
  • Form 2847 Not Subject Response Letter; or
  • Form 2848 Not Exempt Response Letter.

26 TAC §§745.131; 745.133

Exemptions for Educational Programs or Operations

A person who believes his or her educational program is exempt under the provisions of 26 TAC §745.119(1) or (2)  may contact CCR to determine if the person needs to complete an exemption form.

See 2322.12 Actions Taken When Reviewing a Request for a Before- or After-School Program under Contract with a Public Educational Facility.

26 TAC §745.131

2322.1 Additional Requirements for Processing Exemptions for Educational Programs

 

2322.11 Additional Requirements for an Educational Facility that is a Member of an Organization Requiring Compliance with Standards

May 2020

When educational programs are exempt from regulation under 26 TAC §745.119(4), the organization that requires compliance with health, safety, fire and sanitation standards sends the following to the designated CCR staff:

1. a completed Form 2820, Educational Facility Request for Exemption from Child Care Regulation, along with documentation that the organization has its own standards for health, safety, fire, and sanitation standards that are equal to those required for licensed operations or with documentation that the organization requires members to comply with state, county, or municipal health, safety, fire, and sanitation codes;
2. a monitoring plan for review by CCR designed to ensure that 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
3. the names and addresses of the other educational programs or operations that are members of the organization. This list must be updated when new members join or members cease to be a member.

Also see 2370 Educational Programs.

26 TAC §745.127

2322.12 Additional Requirements for a Before- or After-School Program Under Contract with a Public Educational Facility

May 2020

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

• Ask the program to submit written documentation that demonstrates that the program is using Texas Education Agency (TEA) approved curriculum content for all ages the program will serve; and
• Verify that the curriculum content is on the current Instructional Materials Current Adoption Bulletin list on the TEA website.

Also see 2370 Educational Programs.

2322.2 Program is Exempt

September 28, 2018

Procedure

If Licensing staff determines that a program is exempt from HHSC regulation, Licensing staff notifies the operation and follows procedures in 2325 Closing an Exempt Program in CLASS.

2322.21 Program is Not Exempt

September 28, 2018

Procedure

If Licensing staff determines that a program is not exempt and subject to regulation, the program must take immediate steps to become regulated. 

Licensing staff:

• informs the operation in writing, using the Exemption Response letter located in the DFPS automated letters system that the program:

1. is operating in violation of Texas Human Resources Code, §42.041 and §42.052;
2. has 14 days from the date the letter is received to submit an application to become a regulated operation;
3. will be operating illegally, if it does not submit the application within 14 days; and
4. has a right to request an administrative review to dispute the decision; and

• completes the Exemption Requests and Background Check Only Entities page in CLASS as follows:

1. enter the date a decision is made in the Action Date field;
2. select Not Exempt from the Action drop down menu; and
3. enter the date the operation was notified and the reason for the decision in the Action Reason narrative box.

When a program does not meet the requirements to be exempt from Licensing regulation and fails to take immediate steps to meet the requirements for becoming regulated, Licensing staff:

1. informs the Licensing supervisor that the program knowingly failed to meet the requirements of an exemption and engaged in activities that require a license or registration from HHSC;
2. documents the information in a Chronology (type Application);
3. enters an intake for the operation that is operating illegally (See 6222 Assessing an Intake Report for Priority and 6251.2 Entering Reports of Illegal Operations); and
4. leaves the exemption open in CLASS until the investigation is complete.

Licensing staff does not close the exemption in CLASS until the program meets the requirements for becoming regulated or meets the criteria to be exempt from Licensing regulation. See 2325 Closing an Exempt Program in CLASS.

2322.3 Program Disagrees that it is Not Exempt

Revision 23-3; Effective Sept. 22, 2023

A program that disagrees with CCR’s decision that it must be regulated may request an administrative review. See 5600 Administrative Reviews.

2323 Documenting Exemption Decisions in CLASS

March 2014

Licensing staff document in the CLASS all determinations made about an exemption status.

Staff use the Action Reason narrative box in CLASS:

• to provide details about the case; and
• to include information that is not clearly explained on the appropriate exemption determination form.

It is not appropriate to leave the Action Reason narrative box blank or enter a Texas Administrative Code rule number as a reference, instead of entering details.

2324 Documenting Supplements to an Exemption Decision

March 2014

Licensing staff document in a Chronology (type External Documentation) whether any of the following supplemental information is submitted along with the appropriate exemption determination form:

1. A copy of the license issued by another government entity;
2. Accreditation documents;
3. Information about municipal ordinances that govern such programs;
4. Standards of care;
5. Informational and advertising materials;
6. Floor plan;
7. Shopping center or mall design plan; and
8. State, county, or municipal health, safety and fire codes.

2325 Closing an Exempt Program in CLASS

March 2014

Exempt programs display like closed operations in CLASS. To close an exempt program in CLASS, Licensing staff complete the Exemption Requests and Background Check Only Entities page as follows:

1. enter the date a decision is made in the Action Date field;
2. select Exempt from the Action drop down menu;
3. enter the date the operation was notified and the reason for the decision in the Action Reason narrative box;
4. enter the date the exemption is closed in the Closure Date field; and
5. select the appropriate exemption category from the Closure Reason drop down menu.

2330 When Exempt Programs Request Regulation

September 28, 2018

Programs that meet the requirements to be exempt from Licensing regulation based on the statute, administrative rule, or both, may request a permit to be licensed, registered, or listed only if the program needs a permit to accept federal or state funding.

A program that accepts a permit under these circumstances must comply with all applicable provisions of the Texas Human Resources Code, Chapter 42, administrative rules, and minimum standards.

40 TAC §§745.141; 745.143

See:

2350 Governmental Entities That Are Exempt from HHSC Regulation
2360 Programs of Limited Duration That Are Exempt From Licensure and Certification

2340 Exempt Programs that Operate in the Same Locations as Regulated Operations

September 28, 2018

If a governing body runs an exempt program and an operation that is subject to HHSC regulation at the same location, they must be separate from each other.

To be considered separate, the programs must:

1. be located in separate buildings, operated in separate areas of the same building, or operated in the same building at different times;
2. use separate caregivers, or use caregivers who provide care for only one program at a time; and
3. have a written plan that describes how the caregivers from each program supervise children when using shared spaces such as restrooms and indoor and outdoor activity areas at the same time.

If the programs cannot be kept separate, both are subject to regulation.

40 TAC §745.139

Procedure

To ensure that an exempt program at the same location as one that is subject to regulation operates separately, Licensing staff request the person who operates the programs to submit documentation describing how the program complies with the requirement that the programs are kept separate.

After reviewing the information, if Licensing staff cannot determine whether the two programs operate separately, staff:

• discuss with their supervisor and the designated regional subject matter expert whether additional information is needed; and
• conduct an inspection at the programs, if necessary, to observe whether the program is in compliance with the requirements that the programs are kept separate.

Also see:

2322 Processing the Exemption
4127 Other Types of Inspections

2341 When an Exempt Educational Program Must Obtain a Permit

March 2014

An educational program that is exempt from regulation must obtain a permit for the portion of the program that:

1. cares for children younger than the exemption allows;
2. provides before- or after-school care for more hours than the exemption allows; or
3. provides care outside the designated school year (see Appendix 2000-2: Determining Whether a Program or Operation is Regulated by Licensing – Questions and Answers, Items B.5 and B.6); and
4. 40 TAC §§745.121; 745.123.

2350 Governmental Entities that are Exempt from HHSC Regulation

September 28, 2018

The following types of programs are exempt from regulation by HHSC because they are regulated by other governmental entities:

• A program located on a federal installation
• State-operated correctional and treatment facilities

See:

2351 A Facility on a Federal Installation
2352 State-Operated Programs
2353 Municipal Programs

2351 A Facility on a Federal Installation

March 2014

A facility operated on a federal installation, including military bases or Indian reservations, is exempt from regulation by Licensing because a state agency has no jurisdiction or authority to regulate such facilities.

40 TAC §745.115(1)

2352 State-Operated Programs

March 2014

Certain state-operated programs are exempt from regulation by Licensing. All other state-operated programs must be certified by Licensing.

See:

2352.1 Correctional Facilities
2352.2 Treatment Facilities
2352.3 Youth Camps Licensed by DSHS
2352.4 Youth Camps Exempt from DSHS Licensing

2352.1 Correctional Facilities

March 2014

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

1. A juvenile detention facility certified under §261.405 of the Texas Family Code
2. A juvenile correctional facility that provides services solely for the Texas Juvenile Justice Department; and
3. Any other correctional facility for children that is operated or regulated by another state agency or by a political subdivision of the state

Texas Human Resources Code §42.041(b)(13)

Texas Family Code §261.405

40 TAC §745.115(2)(A)(B)(C)

2352.2 Treatment Facilities

September 28, 2018

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

• A treatment facility
• A structured treatment program that serves chemically dependent persons and is licensed by the Texas Department of State Health Services

40 TAC §745.115(2)(D)

2352.3 Youth Camps Licensed by DSHS

September 28, 2018

A youth camp licensed by the Texas Department of State Health Services (DSHS) is exempt from regulation by Licensing.

Exception

Operations licensed by HHSC that operate a summer camp must continue to operate under the HHSC license during the summer months. See Appendix 2000-2: Determining Whether a Program or Operation Is Regulated by Licensing – Questions and Answers, items 1-5.

Texas Human Resources Code §42.041(b)(5)

40 TAC §745.115(2)(E)

2352.4 Youth Camps Exempt from DSHS Licensing

September 28, 2018

A youth camp is exempt from regulation by HHSC if it is a youth camp that is exempt from licensure by the Texas Department of State Health Services (DSHS) under §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, §61.003; and
• is regularly inspected by at least one local governmental entity for compliance with health and safety standards.

40 TAC §745.115(2)(F)

2353 Municipal Programs

September 28, 2018

A youth camp is exempt from regulation by HHSC if it is a youth camp that is exempt from licensure by Texas Department of State Health Services (DSHS) under §141.0021, Health and Safety Code, because it is a recreation program for children ages 5 through 13 that is operated by a municipality and meets the following criteria:

1. The standards of care for the program are annually adopted by ordinance after a public hearing.
2. The standards of care must include staffing ratios and qualifications, facility health and safety standards, and monitoring and enforcement provisions.
3. The standards of care are provided to the parents of each program participant.
4. The parents of each program participant are informed that the program is not licensed by the state.
5. The program is not advertised as child care.

Texas Human Resources Code §42.041(b)(14)

40 TAC §745.115(3)

2360 Programs of Limited Duration that are Exempt from HHSC Regulation

September 28, 2018

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

See:

2361 Program with Parents on the Premises
2362 Short-Term Programs
2363 Religious Programs
2364 Foreign Exchange or Sponsorship Program

2361 Program with Parents on the Premises

March 2014

A program with parents on the premises is exempt from regulation by Licensing, if all of the following are true:

1. The program operates in association with a shopping center, business, religious organization, or other elective activity.
2. The program does not advertise as a child care facility or day care center and informs parents that it is not licensed by the state.
3. The parent or person responsible for the child attends or engages in the elective activity. (Part-time employees and contractors who conduct the activity may use the program as long as they meet the limits in (d) below. A caregiver for the program may use the program for the caregiver’s own child as long as the child remains with a caregiver.)
4. The child is only in care:

• for up to four and one-half hours per day and for up to 12 hours a week; or
• for up to 15 hours per week, if care is provided so that a parent may attend an educational class provided by a nonprofit entity in a county of 800,000 or more and the county is adjacent to an international border. However, there are no time limits for the child of a caregiver at the program as long as the child is with the caregiver.

5. The program’s caregivers are able to contact the parent or person responsible for the child at all times.

See Texas Human Resources Code §42.041(b)(3)

40 TAC §745.117(1), §745.101(3)

Examples of Programs that are Exempt

Examples of programs that are exempt are:

1. Programs that are operated in connection with a religious organization and offer programs for children, such as classes for religious instruction.
2. Programs operated so that parents can attend a short-term class that lasts 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).
3. Programs operated in a gym or health club, so that members can exercise. The caregiver of the program and part-time staff may use the program for their own children.

Exceptions

Small Business Offering Child Care

A small business that offers child care services to its employees does not qualify for this exemption. Small businesses that provide care for children whose parents or guardians work in the same building where the child care is offered are subject to regulation as described in Texas Human Resources Code, Subchapter F, §42.151, Regulation of Employer-Based Day Care Facilities.

Temporary Shelter

A temporary shelter, such as a family violence or homeless shelter that offers child care services to its residents does not qualify for this exemption. Temporary shelters that provide care for children whose parent or guardian reside in the same building where the child care is offered are subject to regulation as described in Texas Human Resources Code, Subchapter G, §42.201 Regulation of Temporary Shelter Day Care Facilities.

2362 Short-Term Program

March 2014

A short-term program is exempt from regulation by Licensing, if:

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

40 TAC §745.117(2)

2363 Religious Program

March 2014

A religious program is exempt from regulation by Licensing, if:

• the program offers religious instruction, such as Sunday school or weekly catechism; or
• the program lasts for two weeks or fewer.

Texas Human Resources Code §42.041(b)(4)

40 TAC §745.117(3)

Example: Vacation Bible school

2364 Foreign Exchange or Sponsorship Program

March 2014

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

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

Texas Human Resources Code §42.041(b)(22)

40 TAC §745.117(4)

2370 Educational Programs

May 2020

Certain accredited educational programs are exempt from regulation by CCR, as identified in the table below.

Applying for or being in the process of accreditation does not constitute accreditation.

Educational Program or Operation	Conditions for Exemption
An accredited educational program or operation for grades prekindergarten and above is exempt from regulation by CCR, if:	the educational program or operation: operates primarily for educational purposes; runs the educational program; serves children ages 3 and up; and is accredited by the Texas Education Agency (TEA), the Southern Association of Colleges and Schools (SACS), or the Texas Private School Accreditation Commission (TEPSAC). For educational facilities that also provide residential child care, see 26 TAC §745.125 which addresses whether additional exemption criteria are required for such facilities. For a list of accrediting organizations approved by TEPSAC, see Appendix 2000-1: Organizations Whose Members May Qualify for Exemption. For information concerning charter schools, see Appendix 2000-2: Determining Whether a Program or Operation Is Regulated by Child Care Regulation – Questions and Answers, Item B. For information on collaborative programs, such as an independent school district (ISD) that operates a Head Start program or a program that combines Head Start and prekindergarten, see Appendix 2000-2, Item C. Exception: A child care program operated by the school district for its employees (bus drivers, teachers, custodians, kitchen workers, and so on) is subject to licensure.
A before- or after-school child day care program that is operated by an accredited educational facility (grades prekindergarten and above) is exempt from regulation by CCR, if the program:	is specifically accredited by TEA, SACS, or TEPSAC; operates the child day care program; and serves children ages 3 and up.
A before- or after-school child day care program that is operated by a contracted entity and is located in an accredited educational operation for grades prekindergarten and above is exempt from regulation by CCR if it:	is accredited by TEA, SACS, or TEPSAC; contracts with an entity to operate the before- or after-school child day care; serves children ages 3 and up; and offers a curriculum for before- or after-care that has been approved by TEA, SACS, or TEPSAC; or if operating in a public educational facility, can demonstrate how the program is using TEA-approved curriculum for all ages it will serve.
An educational program or operation that is a member of an organization that requires compliance with standards is exempt from regulation by CCR, if it:	serves children in prekindergarten through at least grade two; provides child day care 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. Also see 2322.11 Additional Requirements for an Educational Facility that is a Member of an Organization Requiring Compliance with Standards.
A private educational program or operation is exempt from regulation by CCR, if it:	serves children who are at least age 3 on September 1; offers no more than two hours of child day care, total, before or after the hours that are customary for schools in that community; and operates at least: a preschool; a prekindergarten class through grade three; grades 9 through 12; or the same pattern of grade clustering as found in the public elementary schools (grades one through six) in the local school district. See:  Texas Human Resources Code §42.041(b)(7)(8)(9)(11)  26 TAC §745.119

26 TAC §745.125

2371 Additional Exemption Criteria for Educational Programs that Provide Residential Child Care

May 2020

An educational program that provides residential child care must meet all of the following additional criteria in order to be exempt from child care regulation:

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

Also see 2370 Educational Programs.

26 TAC §745.125

2380 Miscellaneous Programs Exempt from HHSC Regulation

October 2019

The following miscellaneous programs are exempt from regulation by Licensing.

Miscellaneous Programs	Conditions for Exemption
A neighborhood recreation program	A neighborhood recreation program is exempt from regulation by Licensing, if all of the following are true: The program provides activities designed for the recreation of children ages 5 through 13. The governing body of the program adopts standards for care. At a minimum, the standards must include staffing ratios, staff training, health and safety standards, and mechanisms for assessing and enforcing the program’s compliance with the standards for care. The program does not collect compensation for its services. Compensation is anything of value received from the parent in exchange for the care of the child. The program can accept only a nominal annual fee for membership. The program is organized as a nonprofit organization, or is located at the participant’s residence. The program informs each parent that it is not regulated by Licensing. The program must also establish a policy explaining how it informs parents that Licensing does not regulate the program. The policy may either be provided in writing or verbally. The program is not advertised or represented as a regulated operation. The program provides a process to receive and resolve complaints from parents. The program conducts criminal background checks on all employees and volunteers who work with the children. Background checks must include information from the Texas Department of Public Safety. Texas Human Resources Code §42.002(41)(b)(19)  26 TAC §745.129(1) Rationale:  Neighborhood recreation programs that serve children who are 5 through 13 years old are not considered day care or after-school care. Day care and after-school care offer a specific type of service that parents depend on for child care.  Neighborhood recreation programs that do not meet all requirements to be exempt from regulation may meet the definition for school-age program. School-age programs are subject to Licensing regulation under Chapter 744.  Texas Human Resources Code §42.002(21)
A single-skill program	A program that teaches a single skill, talent, ability, expertise, or proficiency is exempt from regulation by Licensing, if the program: offers direct instruction for one talent, ability, expertise, or proficiency; does not provide other services that are not directly related to the single skill, talent, ability, expertise, or proficiency; informs each parent that it is not regulated by Licensing; does not advertise or represent as a regulated operation; informs parents of any physical risk that a child may face while participating in the program; and conducts background checks using information that is obtained from the Department of Public Safety for all program employees and volunteers who work with children. Texas Human Resources Code §42.002(41)(b)(18)  26 TAC §745.129(2) Rationale: Some programs that do not meet all requirements to be exempt from regulation as a single-skill program may meet the definition for school-age program. School-age programs are subject to Licensing regulation under Chapter 744.  Texas Human Resources Code §42.002(21)
A caregiver providing residential care	An unrelated adult caregiver is exempt from regulation by Licensing, if the caregiver: is caring for only one child or sibling group and the caregiver: knows the child or sibling group, or the 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. is caring for multiple children or sibling groups and the caregiver: 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. Texas Human Resources Code §42.002(41)(b)(20) and (25)  26 TAC §745.129(3) Compensation is anything of value, beyond the child’s normal expenses, received by the caregiver from the parent in exchange for care of the child. Compensation does not include Medicaid, insurance, or other governmental benefits or assistance.
Emergency Shelter for Minors	An emergency shelter is exempt from regulation by Licensing, if all of the following are true: the shelter does not otherwise operate as a child care facility that must have a license from HHSC; the shelter provides shelter or care to the minor and the minor’s child or children, if any; the shelter 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; the shelter does not provide care for more than 15 days, unless: (1) the minor consents to shelter or care to be provided to the minor or the minor’s children and is: (i) 16 years of age or older, resides separate and apart from the minor’s parent, and manages the minor’s own financial affairs; or (ii) unmarried and is pregnant or is the parent of a child; or (2) the minor has qualified for Temporary Assistance for Needy Families under Chapter 31, Texas Human Resources Code, and is on the waiting list for housing assistance; and the shelter is: (1) currently under contract with a state or federal agency for the provision of shelter or care to children; or (2) a family violence center that meets the requirements listed under Texas Human Resources Code §51.005(b)(3), as determined by the Health and Human Services Commission. Texas Human Resources Code §42.002(41)(b)(12)  26 TAC §745.129(4)
A caregiver with whom DFPS has placed a child or sibling group	The caregiver is exempt from regulation by Licensing, if all of the following are true: The caregiver has a longstanding and significant relationship with the child or sibling group or the family of the child or sibling group; and DFPS is the managing conservator of the child or sibling group. Texas Human Resources Code §42.002(41)(b)(21)  26 TAC §745.129(5)  Texas Family Code, Chapter 264 Relative and Other Designated Caregiver Placement Program, Subchapter I
A food distribution program	A food distribution program is exempt from regulation by Licensing, if all of the following are true: The program serves an evening meal to children who are 2 years old or older. The program 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. Texas Human Resources Code §42.002(41)(b)(16)  26 TAC §745.129(6)
Emergency Shelter for Victims of Human Trafficking	An emergency shelter is exempt from regulation by Licensing, if the shelter: Does not otherwise operate as a child care facility that is required to have a license from HHSC; Is operated by a nonprofit organization; Provides shelter and care for no more than 15 days to alleged victims of human trafficking as defined in Penal Code §20A.02, who are 13-17 years old; and Is located in a municipality with a population of at least 600,000 that is in a county on an international border; and: (1) Is licensed by, or operates under an agreement with, a state or federal agency to provide shelter and care to children; or (2) Is a family violence center that meets the requirements listed under Texas Human Resources Code §51.005(b)(3), as determined by the Health and Human Services Commission. Texas Human Resources Code §42.002(41)(b)(23)  26 TAC §745.129(7)
Respite Care for a Local Mental Health Authority	A program that provides respite care for a local mental health authority is exempt from regulation by Licensing, if the program is under a contract with that authority. Texas Human Resources Code §42.002(41)(b)(24)  26 TAC §745.129(8)

2390 Other Operations Exempt from HHSC Regulation

September 28, 2018

 

2391 A Foster Home or Foster Group Home Regulated by a CPA

March 2014

A foster home or foster group home that is regulated by a child-placing agency (CPA) is exempt by law from regulation by Licensing.

The CPA verifies and monitors the home’s compliance with standards. See 2200 Types of Child Care Permits and Multiple Operations and its sub-items.

Texas Human Resources Code, §42.041(b)(2)

2392 Certain State-Operated Facilities

March 2014

A state-operated facility is exempt by law from regulation by Licensing.

See:

2200 Types of Child Care Permits and Multiple Operations and its subitems
2280 State-Operated Facilities Exempt From Licensure
2350 Governmental Entities that are Exempt from HHSC Regulation
Texas Human Resources Code, §42.041(b)(1)(6)

2393 Certain Annual Youth Camps

March 2014

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

1. is held in a municipality with a population of more than 1.5 million;
2. operates for not more than three months; and
3. has been operated for at least 10 years by a nonprofit organization that provides care for the homeless.

Texas Human Resources Code, §42.041(b)(15)

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 Operation	For 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.

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 §§42.0461; 42.0462; 42.253

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 to	Then 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 Link	How 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

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 §§745.211, 745.243

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

July 2021

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

• 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 whether to issue or deny a permit.
• An initial license may be issued so that the operation can be evaluated before it is issued a full license.
• The inspector explains the administrative procedures to be followed and the requirements to be met 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.

See:

2200 Types of Child Care Permits and Multiple Operations 
2300 Determining Whether a Program Is Subject To or Exempt from Regulation 
26 TAC §§745.37; 745.113; 745.213

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 §§744.303; 744.1037; 745.903; 746.303; 746.1039

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 §§748.103; 748.307(3); 749.103; 749.507(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 §§748.63; 748.1203; 749.63; 750.61; 750.151(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 §§748.501; 749.601

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 §§745.901; 745.903; 745.907

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 §§745.605; 745.609

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 §§42.049; 42.0495

26 TAC §§745.249; 745.251; 745.253

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 23-3; Effective Sept. 22, 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 a permit or denied a permit for a substantive reason…	the applicant is not eligible to reapply for five years from the date the denial or revocation 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 is seeking a permit for a day care home and is younger than 18 years old (if a listing permit) or 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.

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

If the review indicates the applicant is not prohibited from obtaining a license, certificate, registration or listing permit, CCR staff document a summary of the review of records and any consultations in a Chronology in CLASS (type Application).

If the review indicates 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 both partners in a partnership;
• governing body member, as identified on Form 2819 Residential Child Care Licensing Governing Body/Administrator or Executive Director Designation 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 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 2960 Attachment A, General Residential Operations Documentation Required at Application
  • Form 2960 Attachment B, Child-Placing Agency Documentation Required at Application
  • Form 2960 Attachment C, General Residential Operations – Additional Operation Plan
• 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 22-4; Effective Sept. 20, 2022

An applicant may withdraw his or her application 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 law, 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.

Procedure

When a request to withdraw an application is received from an applicant, the 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 Section 745.401

See also:

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

June 2016

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 he or she must stop operating and may appeal the decision. The inspector conducts a follow-up inspection to ensure the operation is no longer providing care.

See:

4123 Follow-Up Inspections 
7600 Adverse Actions 
7730 Due Process Hearings 
CLASS Online Help: Record an Application Decision and Close an Operation 
26 TAC §§746.3401; 746.5101; 747.3201; 747.4015; 747.4901

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 42.048; 42.072; 42.153; 42.203

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 Type	Person	Eligibility required before issuing
Licensed child care home   Registered child care home   Listed family home	All owners and Non-client household members	Eligible or Conditional
Any other operation type	All owners	Eligible 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;
• a 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 §§42.044; 42.153; 42.203

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.

Situation	Plan 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:

• Form 2960 Attachment A  General Residential Operations Documentation Required at Application
• Form 2960 Attachment B  Child-Placing Agency Documentation Required at Application

3313.5 Processing Controlling Person Submissions (Except Certified Operations)

September 2015

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 §§42.0443; 42.153; 42.203

26 TAC Sections 744.2501; 744.3501; 744.3651; 746.3401; 746.5101; 746.5401; 747.3201; 747.4901; 748.3001; 748.3061; 748.3101; 750.1101

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 §§745.273; 745.275; 745.8651

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, Documenting and Assessing Information from Prior Operation Numbers (RCCR Only)

Revision 23-2; Effective June 26, 2023

CCR staff determine if the applicant for a GRO or CPA license demonstrates an intent to obtain a contract with DFPS or a Single Source Continuum Contractor (SSCC). If the applicant demonstrates such an intent, CCR staff then determine whether the applicant:   

• is applying for an additional or different type of license in a different location;
• is reapplying for a new license after voluntarily closing; or
• had a change in ownership and:
  • any controlling person from the previous operation serves or intends to serve as a controlling person in the new operation; or
  • the new owner, including a sole proprietor, either partner of a partnership, or any member of the governing body of a corporation is related to a controlling person of the previous operation by a third degree of consanguinity or second degree of affinity as defined in 26 TAC Section 745.21.

If the applicant is associated with a prior operation as described above, CCR staff assess the previous five-year compliance history and history of heightened monitoring for each prior operation to decide:

• whether to issue a license; and
• if any conditions need to be added to the license.

3323.1 Documenting Prior Operation Numbers (RCCR Only)

July 2021

Procedure

If the applicant meets the criteria in 3323 Identifying, Documenting and Assessing Information from Prior Operation Numbers (RCCR Only), CCR staff document the prior operation numbers in the Issuance History section on the operation’s Main Page in CLASS except when:

• the prior operation applied for a license but withdrew the application prior to being issued an initial license; or
• the prior operation had a license for a different operation type (for example, the applicant is applying for a GRO license and the prior operation was a CPA).

If the applicant has an association with an open operation through a shared governing body or controlling person, document with associated open operation numbers in the Current Permits section.

3323.2 Assessing the Five-Year Compliance History of the Applicant and Prior Operation Numbers (RCCR Only)

July 2021

Procedure

Before conducting the application inspection for an applicant that meets the criteria in 3323 Identifying, Documenting and Assessing Information from Prior Operation Numbers (RCCR Only), CCR staff take the following steps to assess compliance history of the applicant and each prior operation documented in the Issuance History section of the Operation Main page in CLASS:

1. Evaluate the five-year compliance history, including:
   • the number of abuse/neglect intakes;
   • confirmed abuse/neglect findings;
   • citations for corporal punishment;
   • any other trends and patterns in deficiencies; and
   • any other trends and patterns in enforcement actions that CCR 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 in a CLASS chronology:
   • the five-year compliance history of each operation reviewed; and
   • how the information was considered.  
4. If the risk identified in the five-year compliance history is high, hold a staffing with regional management and make a decision whether to issue or deny the license.

During the application inspection, CCR staff discuss with the applicant:

• any risks identified as a result of the five-year compliance history review; and
• steps the permit holder can take to mitigate risk to children.  

CCR staff document this discussion in a CLASS chronology.

3323.3 Additional Requirements if the Applicant or a Prior Operation Number Has a History of Heightened Monitoring (RCCR Only)

July 2021

If the applicant or an associated prior operation number has a history of being on heightened monitoring, CCR staff add a condition to the initial license outlining that the operation will be placed on heighted monitoring. CCR staff then notify the CCR Director of Heightened Monitoring.  

If the applicant or an associated prior operation number has a history of heightened monitoring and has hired or intends to hire a substantial number of employees from a previous operation, CCR staff and the RCCR Director of Regional Operations staff whether conditions related to employee screening and/or employee training requirements must be added to the initial license.

Procedure

If the applicant meets the criteria in 3323 Identifying, Documenting and Assessing Information from Prior Operation Numbers (RCCR Only), CCR staff determine whether the applicant or any of the prior permits documented in the Issuance History section on the Operation Main 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.  

If any of the above criteria exist, and CCR decides to issue an initial license, CCR staff:

• adds a condition to the initial license that the new operation will be placed on heightened monitoring; and
• notifies the CCR Director of Heightened Monitoring.

In addition, if the applicant has employed or intends to employ a substantial number of employees from a previous operation, CCR staff and the RCCR Director of Regional Operations meet for the purpose of making a decision as to whether to add a condition to the initial license that would require employee screening requirements and/or employee training requirements that must be met before employees may have contact with children. CCR staff document the decision in a CLASS Chronology.  

When assessing whether the operation has employed or intends to employ a substantial number of employees from the previous operation, CCR staff consider the overall number and the roles of the employees from the previous operation and at the applicant operation:

• If the applicant operation has employed or intends to employ at least 50% of the employees that were employed at the previous operation, this would be a substantial number regardless of the employees’ roles.  
• If the applicant intends to hire at least 50% of the caregivers and supervisors that were employed at the previous operation, this would be a substantial number of employees even if the applicant does not hire or intend to hire 50% of the overall employees that were employed at the previous operation.
• If at least 50% of the employees at the applicant operation are or will be from the previous operation, this would be a substantial number regardless of the employee’s roles or whether the applicant operation has employed or intends to employ at least 50% of the employees that were employed at the previous operation.
• If at least 50% of the caregivers and supervisors at the applicant operation are or will be from the previous operation, this will be a substantial number regardless of whether the applicant operation has employed or intends to employ at least 50% of the employees that were 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 whether to add a condition requiring the additional screening or training due to identifiable issues.

If the decision was to add a condition about employee screening and/or training requirements to the initial license, CCR staff add the condition before issuing the permit.

See 3424.5 Conditions for Applicants with a History of Heightened Monitoring (RCCR Only)

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 a Licensed Child Day Care Operation

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 §§744.1001; 746.1001; 747.1101

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 §§744.1015; 744.1017; 746.1015; 746.1017; 747.1107

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 §§744.1057; 746.1059

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.

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 42.046; 42.153; 42.203 
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 748.63, 749.63; 749.303; 749.1101; 750.61

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 748.1931; 749.1103; 749.1105; 749.2651; 750.501

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 748.75; 748.4261(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 §§42.153, 42.203

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 §§42.151; 42.201

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 Home	Listed Home Caring for Unrelated Children	Listed 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: Checking the Sex Offender Registry; and Child Safety Guide.	mails the issuance letter to the listed family home with the following documents from the TA Library: Checking the Sex Offender Registry; and 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

May 2021

After obtaining supervisory approval, the inspector may set additional conditions or restrictions if circumstances warrant based on:

• risk to children, including an unsustained Central Registry finding;
• failure to comply with minimum standards; and/or
• for residential child care operations, the assessment of the prior permits as outlined in 3323 Identifying, Documenting and Assessing Information from Prior Operation Numbers (RCCR Only).

The permit may be denied or revoked if conditions or restrictions are not met.

3424.1 Results of Background Checks

September 2015

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 resides 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.

See:

10240 Acting on Abuse and Neglect Findings in the DFPS Central Registry 
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 §§749.1181-749.1189; 750.501(3)

3424.5 Conditions for Applicants with a History of Heightened Monitoring (RCCR Only)

May 2021

Procedure

If the applicant or an associated prior operation number has a history of heightened monitoring, CCR staff follow the procedures described in 3323.3 Additional Requirements if the Applicant or a Prior Operation Number 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 §§42.052; 42.072; 42.163; 42.210

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.

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 §§42.047; 42.048; 42.072

TAC §§745.343; 745.347; 745.8605; 745.8607

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

October 2019

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.

Texas Human Resources Code §42.051(b)

26 TAC §745.347

Procedure

The inspector renews an initial license when an operation:

• does not provide care for unrelated children during the initial period or begins operation so late in this period that continuing compliance cannot be determined; or
• fails to establish continuing compliance with minimum standards and additional time is needed to establish a pattern of compliance.

See 3521 Required Approvals Before Renewing an Initial License

3521 Required Approvals Before Renewing an Initial License

October 2019

Procedure

Within five days after conducting the final inspection during the first initial license period, the inspector must staff the recommendation to renew the license with the supervisor and program administrator when:

• an operation has pending investigations or unresolved deficiencies; or
• a person at the operation has pending criminal charges.

The inspector documents the date of the staffing, the decision made, and the reasons for the decision in a CLASS Chronology.

Program Administrator Recommends Denial

If the program administrator recommends denial of the full license at this time in lieu of renewing the initial license, the inspector, supervisor and program administrator proceed with the steps outlined in 3550 Denying a Full License, within two days of the staffing.

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 §§745.347; 745.349; 745.353

See 5211 Exemptions From Fees

3530 Full License

 

3531 Time Frame for Issuing a Full License

May 2021

The inspector signs and mails the full license and issuance letter (which are both generated in CLASS) within six months after the date the initial license is issued or renewed.

The full license must be issued no later than the first day after the initial license or renewed initial license expires. For example, if the initial license expires August 31, the full license must be entered in CLASS no later than September 1.

The effective (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 §745.351

3531.1 Criteria for Issuing a Full License When an Operation Has an Initial License

Revision 22-4; Effective Sept. 20, 2022

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.

See Job Aid - Approving a Full License on the CCR SharePoint site for additional details on how to approve 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 next steps to take.

26 TAC Section 745.351 

See: 

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 22-4; Effective Sept. 20, 2022

Procedure

Within five days after conducting the final initial inspection in the renewed (i.e., second) initial period, the inspector consults with the supervisor, program administrator and regional director regarding the recommendation to issue the full license when:

• an operation has pending investigations or unresolved deficiencies; or
• a person at the operation has pending criminal charges.

If a new investigation, unresolved deficiency, or pending criminal charge comes in after the consultation, 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 CLASS Chronology:

• the date(s) of the consultations(s); 
• the decision(s) made; and 
• the reasons for the decision(s).

Regional Director Recommends Denial of the Full License

If the regional director recommends denial of the full license, the inspector, supervisor and program administrator proceed with the steps outlined in 3550 Denying a Full License, within two days of the consultation.

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

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 §§42.072; 42.0461

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.

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 Type	Operation Notifies CCR No Later Than	CCR Sends This Form	CCR Conducts an Inspection Within
Listed Family Home	15 days after relocating	CLASS Form 2811 Change of Address Request	N/A
Registered Child Care Home	15 days after relocating	CLASS Form 2811 Change of Address Request	15 days of receiving the completed form
Licensed Child Care Home	15 days before relocating	SharePoint Form 2002 Licensed or Certified Child Care Operation Change of Address Request	15 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 relocating	SharePoint Form 2002 Licensed or Certified Child Care Operation Change of Address Request	21 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 Type	Minimum CLASS Role That Can Change the Operation's Address
Listed Family Home	Admin Technician
Registered Child Care Home	Licensing Representative (Inspector)
Licensed Child Care Home	Supervisor
Licensed Child-Care Center	Supervisor
Before or After-School Program	Supervisor
School-Age Program	Supervisor
Child-Placing Agency Main	Supervisor
Child-Placing Agency Branch	Licensing Representative (Inspector)
General Residential Operation	Supervisor

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 §§744.303; 746.303; 748.153; 749.153; 750.123(1)

3834 Steps to Process an Application

July 2018

Procedure

For licensed operations, see 3313.4 Evaluating Compliance to determine whether an initial or full 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 Permit.

3834.1 When a Permit is Added or Replaced

July 2018

Policy

A new permit will supersede the old unless the operation is adding an additional permit.

3834.2 Public Notice and Hearing Requirements

July 2018

For residential child care, applicants may be subject to public notice and hearing requirements. See 3141 General Requirements for Public Hearing and Notices.

Texas Human Resources Code §42.0461

3834.3 Documentation in CLASS

July 2018

Procedure

In the CLASS, a new operation number will be given for a new application.

To retain the history of the operation, the inspector enters the operation number in the Issuance History field on the new operation’s Main page in CLASS.

See also 2200 Types of Child Care and Multiple Operations.

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 748, 749, 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)

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 42.048, 42.050, 42.052

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 23-1; Effective Apr. 21, 2023

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.

Task	CCRH 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 to 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 to determine if there are repeated, re-cited, or pattern of deficiencies and, if so, 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 and 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 Processing a Waiver or Variance Request 5144 Documenting Outcomes for Waivers and Variances 5150 Renewing a 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 assists the operation in completing 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 Needed	Inspector Next Steps
Update Admin Review Status	Identify 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 Needed	Follow-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 §§745.475; 745.477; 745.487; 745.489

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 748, 749, 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

August 2012

Licensing staff inspect child care operations to assess the risk to children in those operations, in accordance with licensing law, administrative rules, and minimum standard rules.

To determine an operation’s compliance, Licensing 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 the minimum standards;
4. document observations to capture scope and severity;
5. consider the risks posed by violations of the 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; and
8. consider all of 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.

Licensing staff are not responsible for managing the operation.

40 TAC §745.8403; 745.8401

Procedure

Licensing staff evaluate the risk associated with deficiencies and help the permit holder understand that he or she must comply with licensing law, administrative rules, and minimum standard rules.

Determining Compliance with Licensing Law and Rules

For specific procedures on determining compliance with licensing law, administrative rules, and minimum standard rules, see the section above.

Documenting Findings

Once compliance is determined, Licensing 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, inspections, technical assistance, and administrative reviews must be documented in the Child Care Licensing Automation System (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

November 2011

Licensing staff may visit an operation during operating hours to investigate, inspect, and evaluate.

Texas Human Resources Code §42.044(a)

40 TAC §§745.8401, 745.8403, 745.8407(1)

Licensing staff have the authority to:

1. determine whether an operation is subject to regulation;
2. verify the operation’s compliance with licensing law, administrative rules and minimum standard rules; and
3. 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 23-2; Effective June 26, 2023

Procedure

Follow-up inspections include evaluating individual minimum standards, conditions, or restrictions, rather than evaluating an entire subchapter of minimum standards or all conditions or restrictions associated with the operation. See 4300 Conducting a Follow-Up With an Operation.

Examples of reasons follow-up inspections are made include, but are not limited to:

1. ensuring that the operation has addressed recent deficiencies or a pattern of repeated deficiencies (deficiencies may also be followed up on without an inspection, see 4300 Conducting a Follow-Up with an Operation);
2. meeting with the designated director at a licensed day care center (see 4131.3 Child Day Care – Annual Meeting with the Designated Director);
3. amending a permit or certificate (see 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 (see 4152 Reviewing Restrictions, Conditions, Waivers, and Variances, and 10000 Background Checks);
5. following up on suspension, revocation, or denial (see 7631.4 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 (see 7731 Regulation During Appeal Process);
7. following up on a waiver-variance condition (see 4152 Reviewing Restrictions, Conditions, Waivers, and Variances, and 5120 Decision Guidelines for Granting Waivers or Variances); or
8. monitoring the temporary relocation of an operation (see 5520 Temporary Relocation).

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

October 2021

Other types of inspections are conducted for purposes, such as:

1. consulting with an operation’s administrator or director;
2. hand-delivering a corrective or adverse action notice;
3. conducting an investigation interview;
4. conducting a risk-based inspection for a residential child care operation; or
5. conducting a Heightened Monitoring (HM) inspection, including an HM follow-up inspection.

4130 Minimum Requirements for Monitoring Inspections

April 2021

The operation’s permit type determines:

• the minimum frequency with which monitoring inspections are conducted; and
• the time frame by which compliance with all minimum standards have to be evaluated.

An operation’s deficiencies and the associated weight of the deficiencies may indicate a need for more frequent inspections. The recommended monitoring frequency can be found on the Enforcement Recommendations page in CLASS.

See:

4131 Minimum Requirements for Licensed Operations                       
4132 Minimum Requirements for Registered Child Care Homes                       
4133 Operations That Are Not Regularly Inspected                       
4150 Conducting Inspections                       
4500 Evaluating Risk to Children                       
7425 Inspecting an Operation During a Corrective Action

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 Operation	What 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 operations	All 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:

• complies with 26 TAC  Section 746.1001 and Section 746.1003; and
• meets minimum standard qualifications in 26 TAC Section 746.1015 and Section 746.1017.

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 Requirements for Registered Child Care Homes

April 2021

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 and are scheduled in CLASS.

40 TAC Section 745.8407(2) 

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 Child Care Regulation issued the registration and counting in two-year increments. For example, if a registration 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 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:

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); or
7. The children in care are older or younger than the home is approved to serve.

4133 Operations that are Not Regularly Inspected

May 2021

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                       
Texas Human Resources Code Section 42.044(b)                       
40 TAC Section 745.8407(1)

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                       
Texas Human Resources Code Sections 42.153, 42.162, 42.203, 42.209                       
40 TAC Sections 745.8407(5), 745.8407(6)

4140 Preparing for Inspections

4141 Preparing for Application, Initial, and Monitoring Inspections

May 2020

Child Care Regulation (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, as documented in CLASS;
• operation’s fee payment history;
• operation’s background check records, as documented in CLASS;
• operation’s controlling person list, as documented in CLASS;
• recommendations from enforcement team conferences (for inspections of residential operations except independent foster homes); and
• results of random-sampling inspections of CPA foster homes (for inspections of CPAs only).

CCR staff also complete an extended compliance history review for inspections of a residential child care operation; see 4143 Conducting an Extended Compliance History Review (RCCR Only).

CCR staff use the information obtained during the review to determine 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, CCR staff must reevaluate the same and related standards at the inspection.

Draft Form 2936 Child-Care Facility Inspection

Staff must create and save the initial draft of Form 2936 Child-Care Facility Inspection in CLASS before conducting the inspection. See 4161 Completing CLASS Form 2936 Child-Care Facility Inspection.

For information on preparing for investigation inspections, see 4142 Preparing for Investigation 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, the enforcement actions taken by other CCR staff, and the operation’s recommended monitoring frequency;
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, including the Location Address Validation Status and Mailing Address Validation Status, to determine whether 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 all of the following:
   • 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; see 4431 Using Random-Sampling Inspections to Regulate a Child-Placing Agency);
   • Prior extended compliance history reviews (for residential operations);
9. The operation’s fee payment history to determine whether the operation is current on all applicable fees, unless the operation is exempt from paying all fees (see 5240 Verification of Fee Payments);
10. The operation’s background check records in CLASS to verify that the operation has complied with all background check requirements (see 10000 Background Checks);
11. The operation’s controlling person list in CLASS to determine whether any person on the list has a status of Review (see 7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS for procedures to follow when a person has a status of Review);
12. Recommendations from enforcement team conferences (for inspections of CPAs and RTCs; see 4441 Enforcement Team Conferences for Child-Placing Agencies and General Residential Operations);
13. Optional checklists, forms, reading guides, and applicable technical assistance materials;
14. Create a Draft Inspection Form in CLASS; and
15. 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.

See 4161 Completing CLASS Form 2936 Child-Care Facility Inspection.

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)

May 2021

Child Care Regulation (CCR) staff must conduct an extended compliance history review prior to inspecting a residential child care operation, for all monitoring, investigation and monitoring/investigation inspections. CCR staff completes the extended compliance history review while preparing for the inspection. An extended compliance history review includes a review and assessment of certain high-risk areas that occurred in the past five years, including:

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.

The extended compliance history review includes reviewing data for the current operation as well as all prior operation numbers that are listed under the Issuance History section on the Operation Main page in CLASS. After reviewing all the information gathered, the CCR inspector completes and documents a written narrative analysis that describes the inspector’s evaluation of the compliance history and any risks identified.

Procedure

CCR staff review the most current “Extended Compliance History ANE Report” and “Extended Compliance History Corporal Punishment Report” on the CCR SharePoint site for the current operation and all prior operation numbers identified on the Operation Main page in the Issuance History section. If a review of these reports reveals a finding of abuse, neglect or exploitation, or a violation of a minimum standard related to corporal punishment, the inspector must review the investigation or inspection with the finding(s) 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 the age of 6;
4. any follow-up activity that was completed; and
5. any patterns of investigations or the agency homes involved in the investigations.

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

May 2021

Procedure

Prior to generating the draft Form 2936 in CLASS, the inspector documents the following information in the Extended Compliance History Review section on the Inspection Details page:

1. the date the information was reviewed;
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:
   • abuse, neglect or exploitation intakes received;
   • the number of confirmed findings of abuse, neglect or exploitation;
   • the number of citations issued for corporal punishment; and
3. an assessment of the information reviewed, including any risk identified.

Within one day of completing the inspection, the inspector documents the steps taken during the inspection to mitigate risk. The steps taken to mitigate risk must be documented prior to freezing the inspection.

See: Example of an Extended Compliance History Review on the CCR SharePoint site.

4150 Conducting Inspections

Revision 23-3; Effective Sept. 22, 2023

When conducting any type of inspection, CCR staff:

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 minimum standard rules and understand how to comply with the rules.

40 TAC Section 745.8401

General Procedures

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 statutes, administrative rules or minimum standards by which compliance will be evaluated;
   3. that compliance with additional statutes, administrative rules or minimum standards may be evaluated as the situation demands; and
   4. that photographs and video may be taken during the inspection.
3. Obtain written consent before interviewing biological or adopted children, even when the owner’s or operator’s children are in care at the operation. Children in care may be interviewed, provided the child’s parent has not previously refused to allow CCR 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 Determining When An Inspection is Attempted, if there is no one at the operation or no children are in care.
7. Follow the procedures in 6210 Receipt of Intake Reports From Statewide Intake, if abuse or neglect is reported or is observed during the inspection.

4150.1 Additional Requirements for Investigation Inspections

April 2021

The investigator conducts an unannounced investigation inspection at an operation that is the subject of the investigation according to the time frames in 6000 Investigations.

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.
   • 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); or
• a priority of 3 (P3) to process a sex offender proximity report.

See 6000 Investigations.

40 TAC Section 745.8407

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

June 2016

After reviewing the restrictions and conditions, Licensing staff document an operation’s deficiencies in CLASS.

Procedure

For each inspection in which restrictions or conditions are reviewed, Licensing staff document any violations of restrictions or conditions on CLASS Form 2936 Child Care Facility Inspection by:

• citing the Licensing statute, administrative rule, or minimum standard that has been violated;
• describing the restriction or condition that was violated. If multiple restrictions or conditions were originally referenced using numbers or letters, it is permissible to use numbers or letters to reference each restriction or condition when it is being evaluated;
• describing the deficiency observed;
• describing how the deficiency was identified, such as whether staff reviewed paperwork, interviewed the operation’s staff or the children, or took photographs; and
• documenting the following, depending on whether the deficiency was corrected during the inspection:
  • If the deficiency was corrected during the inspection, Licensing staff explain how it was corrected.
  • If the deficiency was not corrected during the inspection, Licensing staff:
    • explain what correction is needed to either meet the conditions or to comply with the Licensing statute, rule, or minimum standard; and
    • provide a correction deadline date.

See:

4161 Completing CLASS Form 2936 Child Care Facility Inspection                       
7425 Inspecting an Operation During a Corrective Action

4152.2 When an Operation Repeatedly Fails to Meet Restrictions or Conditions

March 2017

If the operation repeatedly fails to meet the restrictions or conditions, Licensing staff consult with the supervisor on what action to take.

See:

3800 Handling Changes in an Operation, Type of Permit, Location, and Ownership                       
5140 Rescinding or Amending a Waiver or Variance                       
10000 Background Checks                       
7000 Voluntary Actions and Enforcement Actions

4152.3 Discussing Waivers and Variances

June 2016

Licensing staff discuss any waivers or variances that have expired since the last monitoring inspection with the operation to assess the outcome of the waiver or variance and document the outcome in CLASS. Licensing staff also discuss any waivers or variances that are still in effect to determine if any are no longer needed.

See 5144 Documenting Outcomes for Waivers and Variances.

4153 Reviewing Records at an Operation or a Central Administrative Location

December 2019

Licensing staff review the records of licensed, registered, and certified operations to evaluate compliance with Licensing statutes, administrative rules, and minimum standards.

Licensing 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. Licensing staff may make copies of documents, as needed, but they do not remove original records from the operation.

40 TAC §§745.8415; 745.8417

After evaluating records as part of an inspection, Licensing 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.

See also 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 Homes	Minimum Number of Each Type of Record to Review During the Two-Year Compliance Period (Except Serious Injury Reports)
44 or less	4
45-74	6
75-94	8
95 or more	10

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 Homes	Minimum Number of Serious Injury Reports to Review During Each Inspection
44 or less	4
45-74	6
75-94	8
95 or more	10

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 Application, Initial, 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

May 2020

Child Care Regulation (CCR) staff provide technical assistance as needed to help applicants, permit holders, and operation employees understand and comply with CCR statutes, administrative rules, and minimum standards.

CCR staff must 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 the minimum standard, rule, or statute.

All technical assistance provided by CCR staff must be documented in CLASS. See 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 minimum standard, administrative rule, or statute.

Technical assistance can be provided during inspections or through communications such as telephone and email.

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 §§42.0442; 42.0443.

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 Type	Minimum 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.

Topic	Minimum 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 23-3; Effective Sept. 22, 2023

An operation’s employees must admit CCR staff and not delay or obstruct CCR staff from making inspections during hours of operation.

Human Resources Code Sections 42.044(a) and 42.04412

40 TAC Sections 745.8413, 745.8415, 745.8419

Procedure

If the employees of an operation delay or obstruct CCR from making 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 obstruct CCR staff from inspecting the operation during 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 obstruct an attempt to inspect or investigate, so that CCR staff cannot carry out their responsibilities…

CCR staff: 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 enforcement action against the operation’s permit if the resistance continues. obtain the name of the person in charge at the operation, if possible; cite obstruction of the inspection or investigation and violation of rules using Form 2936 Child-Care Facility Inspection in CLASS. Include documentation on the form that, if CCR inspections are further denied, obstructed, or delayed, HHSC may take enforcement action against the operation’s permit under Texas Human Resources Code Sections 42.071 and 42.072; consult with the CCR supervisor about the necessary follow-up actions; see 4520 Handling Immediate Danger to Children, if children are in immediate danger; 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.

4160 Documenting the Results of an Inspection

Revision 23-3; Effective Sept. 22, 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;
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

August 2012

After reviewing the background materials related to the operation (see 4140 Preparing for Inspections), Licensing staff create a draft of CLASS Form 2936.

On the same day as the inspection, after the inspection is completed, Licensing staff complete CLASS Form 2936 Child-Care Facility Inspection to document inspection results.

Documenting a Possible Deficiency as Pending on Form 2936

If staff need to conduct further investigation or consult with the supervisor before determining compliance with a specific Licensing statute, administrative rule, or minimum standard, each item requiring further action is documented as Pending on CLASS Form 2936. Licensing staff use the Pending status only if staff cannot determine an operation’s compliance with a statute, rule, or standard before leaving the operation.

Licensing 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. See 4163 Final Determination of Findings Left Pending During an Inspection.

Signing and Providing a Copy of Form 2936

Licensing staff provide a copy of Form 2936 to the person in charge after Licensing staff conduct the exit conference.

See 4172 Signing and Providing a Copy of Form 2936 Child-Care Facility Inspection

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 23-3; Effective Sept. 22, 2023

Procedure

The inspector uses CLASS Form 2936 to document the inspection. The inspector documents the results of an inspection according to the table below.

Operation Type	Inspection Type	What to Document	How to Document in CLASS
All Day Care and Residential Care Operations	All Inspections	The 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.     See:     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 Operations	All Inspections	The technical assistance provided.	Complete the Standard Details page.     See 4154.2 Documenting Technical Assistance
All Day Care and Residential Care Operations	All Inspections	A 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 Operations	All Inspections	Whether 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 Operations	All Inspections	Whether 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/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.     See:     7356 Inspecting an Operation During a Plan of Action     7425 Inspecting an Operation During a Corrective Action
All Day Care and Residential Care Operations	Monitoring  Monitoring/Investigation	The inspector’s evaluation of all action items related to 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.    See:    7356 Inspecting an Operation During a Plan of Action    7425 Inspecting an Operation During a Corrective Action
All Day Care and Residential Care Operations	Monitoring  Monitoring/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.    See 4153 Reviewing Records at an Operation or a Central Administrative Location
All Day Care and Residential Care Operations	Initial Monitoring  Monitoring/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.    See 4152 Reviewing Restrictions, Conditions, Waivers, and Variances
All Day Care and Residential Care Operations	Application Initial Monitoring  Monitoring/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.    See:    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/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.    See 10700 Monitoring Operations for Compliance with Background Check Requirements
All Day Care and Residential Care Operations	Application Initial Monitoring Monitoring/Investigation	The inspector’s review of the operation’s Controlling Persons List in CLASS with the person in charge to determine whether the list is accurate 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.    See:     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 Operations	Investigation	The 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.    See 10700 Monitoring Operations for Compliance with Background Check Requirements
All Residential Care Operations	Monitoring Investigation Monitoring/Investigation	A summary of the steps the inspector took to mitigate risk during the inspection (part of the Extended Compliance History Review).    See: 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 Inspections	Whether the designated director is present during the inspection.	If the director is present, select the Director Present check box on the Inspection Details page.    See 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/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.    See 4131.5 Health and Safety Audits for Licensed Child Day Care Operations
Registered Child Care Homes (with a TWC Subsidy Agreement)	Monitoring Monitoring/Investigation	The inspector conducted an unannounced annual inspection using the Health and Safety Audit Checklist or conducted a standard-by-standard evaluation during an unannounced annual inspection.	Select the Health and Safety Audit conducted checkbox on the Inspection Details page.    See 4132 Minimum Requirements for Registered Child Care Homes
Licensed Child Care Centers Only	Monitoring Monitoring/Investigation	Ratio data for each classroom that is caring for children aged 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.    See 4131.4 Collection of Ratio Data for Licensed Child Care Centers
Licensed Child Care Centers Only	Annual 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.    See:     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.    See:    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 23-3; Effective Sept. 22, 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. See 8230 Confidential Information Not to Be Released to the Public. 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

December 2015

Within 10 days after completing an inspection, Licensing staff must:

• 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.

40 TAC §§745.8447(1); 745.8445

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 23-3; Effective Sept. 22, 2023

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 assist the operation in addressing 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 person in charge.

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.

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 
5613  Explaining the Right to an Administrative Review 
8230  Confidential Information Not for Release to the Public

Texas Human Resources Code Section 42.0441

40 TAC Section 745.8495;

26 TAC Sections 745.8801 – 8811

4171 Discussing the Results of an Inspection

Revision 23-3; Effective Sept. 22, 2023

Procedure

During each exit conference, CCR staff do as follows:

• 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 that were identified and documented during the inspection, if applicable. (See 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 CCL 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. (See 5616 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 or Monitoring, 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 that either the location or mailing address in CLASS is inaccurate, the inspector:

• documents the correct information in a Chronology (category, Operation General); and
• enters the corrected address in CLASS and attempts to validate the address according to 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 23-3; Effective Sept. 22, 2023

A licensed child care center, a school-age program, a before or after-school program, a licensed child care home, and a registered child care home must display the most recent CLASS Form 2936 Child-Care Facility Inspection or CLASS Form 2939 Child-Care Facility Assessment in a prominent place where it may be viewed by staff, parents and others; however, confidential information may not be posted.

26 TAC Sections 744.403, 746.403, 745.8801, 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.

See:

4200  Assessments                       
5600  Administrative Reviews

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 where it may be viewed by staff, parents and other persons.

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 (see 8230 Confidential Information Not to Be Released 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.

See 6631 Notifying the Operation of the Results of an Investigation.

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 Type	Use to Cite a Deficiency when:	See CCRH Section(s):
Monitoring Assessment	DFPS reported a monitoring violation related to: a DFPS investigation (see 6940 Citing Deficiencies for a DFPS Investigation), or Heightened Monitoring visit; 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); Another agency (other than DFPS) or a political subdivision reported a violation; or 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 Assessment	Following 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 23-3, Effective Sept. 22, 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).

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.

Revision 23-2, Effective June 26, 2023

An inspector conducts a follow-up with an operation to:

1. ensure that the operation is in compliance with any CCR statutes, administrative rules and minimum standards that were cited during an inspection, investigation or assessment;
2. determine whether the operation is complying with the conditions of a waiver or variance;
3. determine whether 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. ensure that the operation is in compliance after a corrective action ended;
6. ensure the operation is no longer operating due to denial of a permit, suspension or revocation;
7. ensure the operation is no longer operating after an auto revocation;
8. monitor the operation during the appeal process; or
9. monitor the operation during a temporary relocation.

When following up with an operation regarding a deficiency that the operation did not correct at inspection (see 4155 Determining When a Deficiency Can Be Corrected at Inspection), the inspector verifies that the operation corrected the deficiency, which may include:

1. reviewing records related to the deficiency;
2. inspecting areas of the physical plant related to the deficiency; and
3. observing activities related to health and safety.

Procedure

For each deficiency, the inspector determines whether to follow up on the deficiency with or without an inspection.

To determine whether to follow up with or without an inspection, the inspector considers:

1. the risk to children;
2. scope and severity of the deficiency;
3. time and expense needed to correct the deficiency;
4. the provider's previous compliance history; and
5. if an inspection is required to determine whether 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 that an operation is not in compliance during the follow-up, the inspector follows the procedures in 4340 When an Operation Continues to Be Deficient.

40 TAC Section 745.8449

See also:

4131.3 Child Day Care Annual Meeting with the Designated Director at a Licensed Child Care Center               
4152 Reviewing Restrictions, Conditions, Waivers, and Variances               
4310 Time Frames for Conducting a Follow-up               
4320  Following Up with an Inspection               
4330  Following Up Without an Inspection    
5132  Evaluating Conditions    
5520  Temporary Relocation    
7636  Follow-Up to Final Notice of Suspension, Revocation, or Denial    
7731  Regulation During Appeal Process    
10410  When a Risk Evaluation is Required    
10510  Types of Eligibility Determinations

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 Assessment	Time Frame for Completing Follow Up
High-weighted only	Within 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 23-1, Effective Apr. 21, 2023

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 Document Follow-Ups Completed with an Inspection.

See also:

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  
5132 Evaluating Conditions  
10400 Risk Evaluation

4321 Documenting a Follow-Up Completed During an Inspection Unrelated to Heightened Monitoring Activities

Revision 23-1, Effective Apr. 21, 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 Homes and 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-Up	Procedures
Only HM-related deficiencies	In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section. Conduct and document results of the weekly HM inspection according to existing policies and procedures. Follow up on deficiencies being evaluated. 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	In CLASS, create an inspection (type Other) and complete the Heightened Monitoring section. Conduct and document results of the weekly HM inspection according to existing policies and procedures. 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.  When conducting the exit interview, explain to the person in charge: the results of the weekly HM inspection; the results of the follow-up on the non-HM-related deficiencies evaluated; and that the follow-up results will be sent on an assessment form (CLASS Form 2939 Child-Care Facility Assessment). 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: 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and  4221.1 Additional Requirements for Documenting Follow-Up Assessments.
Both HM-related and non-HM-related deficiencies	In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section. Conduct and document results of the weekly HM inspection according to existing policies and procedures. 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. When conducting the exit interview, explain to the person in charge: the results of the weekly HM inspection; the results of all follow-ups on deficiencies evaluated; that the follow-up results for the HM-related deficiencies are documented on CLASS Form 2936; and 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). 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: 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and  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-Up	Procedures
Only HM-related deficiencies	In CLASS, create an inspection (type: Follow-up) and complete the Heightened Monitoring section. Conduct the inspection without evaluating HM plan tasks. Follow up on the 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.
Only non-HM-related deficiencies	In CLASS, create an inspection (type: Follow-up). Conduct the inspection without evaluating HM plan tasks. Follow up on the non-HM-related deficiencies being evaluated. 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	In CLASS, create an inspection (type Follow-up) and complete the Heightened Monitoring section. Conduct and document the inspection without evaluating HM plan tasks. 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. When conducting the exit interview, explain to the person in charge: the results of the inspection; the results of all follow-ups being evaluated; that the follow-up results for the HM-related deficiencies are documented on CLASS Form 2936 Child-Care Facility Inspection; and 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). 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: 4221 Documenting an Assessment Using CLASS Form 2939 Child-Care Facility Assessment; and 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 23-3, Effective Sept. 22, 2023

Procedure

The inspector may follow up without an inspection when the inspector 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.

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
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        
5132  Evaluating Conditions       
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 Evaluated	Follow Procedures in
Operation corrected all deficiencies	4331.1 Documenting a Follow-Up Without an Inspection When the Operation Corrected All Deficiencies
Inspector will re-cite one or more deficiencies	4331.2 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:

Field	What to Document
Follow Up Date	The date the information was received from the operation.
Follow Up Method	The method the inspector used to complete the follow-up.
Results	Select 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 23-1, Effective Apr. 21, 2023

The inspector may extend the time an operation has to comply with a requirement cited as a deficiency if the operation:

• provides the reasons that an extension is being requested; or
• 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).

Procedure

If an Extension is Approved

If an extension is approved, the inspector:

• notifies the operation about the approval (unless the extension is based on an administrative review of a citation); 
• 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:

Field	What to Document
Compliance Date	Change the date to the new compliance date.
Follow Up Method	Select the method inspector used to complete the follow-up.
Follow Up Date	Enter the date of the extension approval.
Results	Select 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 granted; 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.