1300, Child Care Regulation Records

May 2020

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

  1. document that staff have followed the policies and procedures required by law, the rules, and the policies in this handbook;
  2. maintain a chronology of an operation's regulatory history with CCR; and
  3. maintain a chronology of a licensed administrator's regulatory history with CCR.

 

1310 Content and Organization of Child Care Regulation Records

May 2021

A Child Care Regulation record consists of:

  • a hard copy record (if applicable);
  • electronic records maintained in CLASS; and
  • digital files maintained on the CCR Digital Storage SharePoint site.

The documentation in CCR records must be legible, objective, concise, and clear.

Upon receiving an application, inquiry, or report, CCR staff establish a record:

  1. for each regulated operation;
  2. for each operation that is exempt from regulation; and
  3. for each individual who applies to become a licensed administrator.

For each residential child care operation, CCR staff establish and maintain an operation record on the CCR Digital Storage SharePoint site for the purpose of maintaining electronic copies of all records located outside of CLASS.

Records for Investigations

For investigations:

  1. hard copy records are maintained separately from other records until the investigation is complete;
  2. the entire file for the investigation becomes part of the hard copy record, after the investigation is completed;
  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.

See 6740 Maintaining an Investigation File.

Procedure

Case records are maintained according to the guidelines in Appendix 1000-1: Organization of Case Records.

 

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

December 2011

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

In CLASS, a record is always assigned to the Child Care Licensing employee who is responsible for regulating the operation or administrator, even though different Licensing employees may be assigned to complete an investigation or inspection.

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

 

1330 Records Retention

September 28, 2018

Every electronic and hard copy record created in the course of business must be retained for a specific period of time. The amount of time Child Care Licensing records are retained is listed in the DFPS Records Retention Schedule, which 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

Licensing staff follow the:

  • retention schedule for Licensing records in the DFPS Records Retention Schedule; 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 schedule. If there is a business need to keep a record longer than the time specified in the retention schedule, Licensing staff must receive approval to extend the retention period of that record from:

  1. a district director (or designee);
  2. the director of day care licensing (or designee);
  3. the director of residential child care licensing (or designee);
  4. the associate commissioner of licensing (or designee); or
  5. an HHSC attorney.

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

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