3310 Evaluating Before Issuing a Permit
After accepting an application, the inspector determines:
- compliance with the statutes, administrative rules, and minimum standards applicable to issuance; and
- the risk to children.
Before determining whether to issue or deny the permit, the inspector completes the activities in the items listed below for all operation types.
2270 Residential Child Care Operations that Also Provide Child Day Care
3311 Checking the Sex Offender Registry
3312 Conducting 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
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)
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
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 Conducting Background Checks
The inspector ensures all background checks for applicants and non-client household members have been completed before issuing a permit to operate:
- a licensed child care home or center;
- a registered home;
- an independent foster family home;
- an independent foster group home; or
- an operation that has a sole proprietor as a governing body.
A permit may be issued in other cases without waiting for the results of the background searches if all other criteria for issuance are met.
40 TAC §745.631
10250 Handling Unsustained Central Registry Findings
3312.1 Unsustained Central Registry Findings
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)
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.
- 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
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
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
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.
40 TAC §745.321
3313.4 Evaluating Compliance
September 28, 2018
While processing an application for a permit, the inspector develops a plan to evaluate an operation’s compliance with minimum standards.
The inspector uses the guidelines in the following chart. More than one guideline may apply.
|Situation||Plan for Evaluating Compliance|
|Operation is not providing care.||Include all applicable statutes, rules, and standards not requiring the presence of children.|
|Operation is providing care.||Include all applicable statutes, rules, and standards.|
|Operation changes type of operation or adds a different type of operation.||Include all applicable statutes, rules, and standards related to the new operation type.|
Licensed operation changes ownership (See 3833 Change of Ownership) and:
|Include all applicable statutes, rules, and standards (including any rules or standards that have grandfather clauses).|
|Licensed operation changes ownership (see 3833 Change of Ownership), but:
||Evaluate the 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 rules or standards that have grandfather clauses.|
|Licensed operation that is not a child-placing agency (CPA) changes location.||Include all standards related to the new operation’s location and building.|
|New owner applies after the operation has received notice of revocation.||Include all applicable statutes, rules, and standards.|
|Renewal of the initial license is required, as noted in 3520 Renewing an Initial License.||Evaluate compliance with all applicable statutes, rules, and 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.
DCL may use the following forms when evaluating compliance:
Form 2936TSP Temporary Shelter Program
RCCL may also use the following forms for this purpose:
Form 2785 Child-Placing Agency
Form 2784 General Residential Operation and Residential Treatment Center
3313.5 Processing Controlling Person Submissions (Except Certified Operations)
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.
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)
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.
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
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
3322 Fee Exemptions for Certain Residential Operations
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
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)
When evaluating the application for a GRO or CPA license, CCR staff determine if the applicant 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 a new 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 §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 when deciding:
- whether to issue a license; and
- if any conditions need to be added to the license.
3323.1 Documenting Prior Operation Numbers (RCCR Only)
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)
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:
- 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.
- 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.
- Document in a CLASS chronology:
- the five-year compliance history of each operation reviewed; and
- how the information was considered.
- 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)
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.
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)
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.
3331.1 How to Evaluate Qualifications
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:
- An original and current CLASS Form 2860 Director’s Certificate; or
- 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.
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
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.
3331.3 When a Director Does Not Meet Qualifications
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.