Revision 23-3; Effective Sept. 22, 2023
CCR staff continuously evaluate each operation's performance in terms of risk to children to determine appropriate enforcement actions to reduce such risk throughout the duration of an operation's permit. See Appendix 7000-1 Factors to Consider for Enforcement Actions.
Human Resources Code Section 42.044
4510 CLASS Enforcement Recommendations
CLASS Enforcement Recommendations help supplement the professional assessments of CCR staff. CLASS produces Enforcement Recommendations based upon the type, number, weight, and repetition of violations over the course of an operation's two-year compliance history.
Inspectors continue to independently evaluate risk to children in addition to reviewing CLASS Enforcement Recommendations.
An inspector's decision to select or reject recommended actions on the Enforcement Recommendation Detail page in CLASS is based on the overall risk to children exhibited by the operation.
4511 Options on the Enforcement Recommendation Page in CLASS
Revision 23-4; Effective Nov. 30, 2023
Each option on the Enforcement Recommendation Detail page in CLASS represents an action that CCR may take regarding an operation based on the risk presented to children in care. Depending upon the situation, enforcement recommendations may be selected individually or in combination with other enforcement recommendations.
The page layout varies depending upon the operation's current risk as determined by the CLASS Enforcement Recommendations.
No deficiencies cited. Follow monitoring frequency
This means that no action is being taken at this time. Staff do not select this recommended action if any other enforcement recommendations are selected, even if no deficiencies were cited at the current inspection.
Follow-up without inspection
See 4330 Following Up Without an Inspection. This recommendation should be selected when:
- deficiencies cited do not warrant a physical follow-up; and
- the operation’s compliance history supports a 12-month monitoring frequency.
When this option is selected, CLASS Follow-Up and Chronology entries must clearly document how the inspector determined compliance. The decision to follow up with or without an inspection should be based upon the nature of the deficiencies cited at the most recent inspection(s).
Follow-up with inspection
See 4320 Following Up with an Inspection. This action indicates that the inspector will conduct a follow-up inspection to determine compliance on specific deficiencies. Staff select this action any time that deficiencies necessitate a physical follow-up, even if this action is not included in the Recommended Actions Based on Risk. A Scheduled Date is required when this option is chosen. This date should be the date upon which the follow-up inspection is planned.
Plan of Action
See 7300 Voluntary Enforcement Action. A plan of action is a voluntary enforcement action that is a collaborative effort between CCR and an operation. The goal is to develop a plan to reduce risk and help improve the operation’s compliance with CCR statutes, administrative rules and minimum standards. CCR inspects an operation more frequently during a plan of action to evaluation the operation’s compliance with minimum standards.
Warning letter and follow-up with inspection
See 5310 When to Issue a Warning Letter.
CLASS Form 2999 Warning Letter is issued to notify the governing body of a child care operation that CCR has identified risks and may recommend enforcement action if the operation’s compliance history does not improve. The warning letter prompts the operation to resolve patterns of deficiencies in a timely manner and to maintain compliance on an ongoing basis.
The inspector conducts a follow-up inspection within 60 days of sending a warning letter, and the date of the follow-up inspection is entered in the Follow Up Date field on the Warning Letter Detail page.
Expedite monitoring inspection
Staff select this action when risk at the operation warrants conducting a monitoring inspection before the Next Inspection Due Date from the Enforcement Recommendation.
- The expedited monitoring inspection is an interim inspection. If the operation does not demonstrate improved compliance at the expedited inspection, staff consider additional action.
- A Scheduled Date is required when this action is chosen. In many cases, if risk warrants an expedited inspection, the date of the expedited inspection should be no more than a few months after the inspection that prompted the action to reduce risk.
Probation is a type of corrective action for which CCR imposes conditions beyond the requirements of the minimum standards and the basic permit to improve an operation’s compliance with minimum standards and reduce risk at the operation. The duration of probation is 12 months and CCR conducts inspections at least monthly to evaluate compliance with minimum standards and the conditions imposed as part of the corrective action plan. CCR may recommend imposing probation if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7412 Criteria for Imposing Probation.
Adverse amendment is a type of adverse action in which an existing permit is voided, and the permit is then reissued with new or additional restrictions or conditions. See 7622 Criteria for Imposing an Adverse Amendment.
In an involuntary suspension, CCR takes away the permit holder's authority to operate for a specific period so that deficiencies may be corrected. The operation must close during a suspension. Suspension may be imposed if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7623 Criteria for Imposing an Involuntary Suspension.
If CCR determines that circumstances at the operation are extreme enough to warrant immediate intervention (there is substantial risk of immediate harm to the health and safety of children in care), the CCR inspector may make a referral for legal action simultaneously with the mailing of the notice of an intent to deny, revoke or suspend. See 7724 Injunction.
Denial is the refusal to grant a permit or an amendment to a permit. The inspector only selects denial as an Enforcement Recommendation if intending to deny a permit amendment, as Enforcement Recommendations are not generated for operations that do not have a full permit. See 7621 Criteria for Imposing a Denial.
Revocation is the cancellation of a permit, which requires the operation to close. Revocation may be imposed if circumstances described in 7110 Circumstances That May Call for Enforcement Action exist and CCR determines the operation meets criteria outlined in 7624 Criteria for Imposing a Revocation.
4512 Acting on Enforcement Recommendations
Revision 23-3; Effective Sept. 22, 2023
The inspector has five days from the date CLASS generated the Enforcement Recommendation to select one or more recommended actions from the Enforcement Recommendation Detail page in CLASS. When acting upon an Enforcement Recommendation, the inspector must:
- review the action that triggered the recommendation;
- consider all relevant compliance history for the operation;
- consult with his or her supervisor if necessary; and
- select one or more recommended actions based on risk.
See 4500 Evaluating Risk to Children and Handling Immediate Danger
4512.1 Documenting Enforcement Recommendations
Any combination of actions can be selected from the three categories on the Enforcement Recommendation Details page. The three categories are:
- Recommended Actions Based on Risk;
- Actions Not Requiring Supervisory Review; and
- Actions Requiring Supervisory Review.
Actions in the Recommended Actions Based on Risk section correspond with the risk level of the Recommended Monitoring Frequency.
Actions in the Actions Not Requiring Supervisory Review or Actions Requiring Supervisory Review sections correspond with either a higher or lower risk level than is associated with the Recommended Monitoring Frequency. Choosing an action in one of these sections will change the Recommended Monitoring Frequency and the due date of the associated inspection To-Do.
If the inspector selects an alternative action (those listed in the Actions Not Requiring Supervisory Review and Actions Requiring Supervisory Review categories), the inspector must also:
- choose the most appropriate reason from the Reason for Alternative Recommendation drop-down menu; and
- document the reasons to support the enforcement action decision in the Licensing Specialist Comments field.
Also see the CLASS Enforcement Recommendations Tip Sheet on the CCR SharePoint site for additional information.
4512.11 When to Allow CLASS to System Close the Recommendation
If the inspector agrees with the recommended monitoring frequency on the Enforcement Recommendation Detail page in CLASS but does not find it appropriate to select an enforcement action in the Recommended Actions Based on Risk section, then the inspector should take no action and allow the enforcement action recommendation to "system close."
Within five days of receiving the recommended action, the inspector documents in a CLASS Chronology (type Recommendation) why the inspector did not take the recommended enforcement action. The documentation includes:
- why the inspector agrees with the recommended monitoring frequency; and
- what action(s) will be taken even though they were not noted on the Enforcement Recommendation Detail page.
Also see the CLASS Enforcement Recommendations Tip Sheet located on the CCR SharePoint site for additional information.
4512.2 Actions Requiring Supervisory Approval
If the inspector selects any recommended action from the Actions Requiring Supervisory Review section of the Enforcement Recommendation Detail page in CLASS, the following actions are taken within five days of the selection:
- the inspector staffs the inspector’s assessment of risk and the selected recommendations with the supervisor; and
- the supervisor reviews the Enforcement Recommendation Details page to:
- ensure that the selections made on the Enforcement Recommendation Details page accurately reflect the decisions made during the consultation;
- remove or add check box selections (or both), if necessary, to only include recommended actions that will be implemented; and
- describe what actions the inspector originally selected, what (if any) changes were made to recommendations selected, and why in the Supervisor Comments field.
After the supervisor enters the decision in CLASS, the inspector has an additional five days to review the Enforcement Recommendation Details page and initiate the approved actions.
4520 Handling Immediate Danger to Children
Revision 23-4; Effective Nov. 30, 2023
During an inspection or investigation, staff may discover conditions in a regulated or unregulated operation that pose a threat of immediate danger to children because of violations of the minimum standards, administrative rules or statutes.
If this occurs, the inspector or investigator consults with the supervisor, program administrator and regional director to determine whether it is necessary to take one or more of the following actions:
- Request assistance from the Department of Family and Protective Services.
- Request assistance from fire, health or law enforcement officials.
- Remain at the operation until parents or managing conservators arrive or the dangerous situation is corrected.
- Request that the permit holder or person in charge notify parents or managing conservators of the situation. If that person fails to do so, notify the parents or managing conservators.
- Submit a referral to Child Care Enforcement.
- Remove the child or children from a residential operation if there is a substantial risk of harm and if the removal is approved by a CCR director.
4521 Immediate Danger in a State-Operated Facility
Revision 23-3; Effective Sept. 22, 2023
If conditions are found that pose an immediate threat or danger to children in care in a state-operated operation because of violations of minimum standards, administrative rules or statutes, the appropriate CCR director notifies the associate commissioner of CCR, who then notifies the commissioner.
The commissioner may notify the governor at his or her discretion.