1300, Child Care Regulation Records

Revision 23-3; Effective Sept. 22, 2023

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

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

1310 Content and Organization of Child Care Regulation Records

Revision 23-4; Effective Nov. 30, 2023

A CCR record consists of:

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

26 TAC Section 745.8481

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

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

Procedure

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

See:

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

1311 Records for Investigations

Revision 23-3; Effective Sept. 22, 2023

For investigations:

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

See: 

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

1320 Custody of Child Care Regulation Records

May 2020

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

1321 Assigning, Reassigning, and Transferring Records

Revision 23-3; Effective Sept. 22, 2023

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

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

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

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

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

1330 Records Retention

Revision 23-4; Effective Nov. 30, 2023

Every electronic and hard copy record created in the course of business must be retained for a specific period, as listed in the HHSC Records Retention Schedule, located on the HHS Connection intranet and is approved by the Texas State Library and Archives Commission. No records or documents may be destroyed before the time designated in the retention schedule.

Procedure

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

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

Extending the Record Retention Period

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

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

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

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

Government Code, Chapter 441, Subchapter L

13 TAC Sections 6.7 and 6.8

26 TAC Section 745.8481(c)