7100, Overview of Voluntary Actions and Enforcement Actions

September 2019

Voluntary Actions

Voluntary actions are actions initiated by the operation. Voluntary actions include the following:

  • withdrawal of an application
  • temporary relocation
  • voluntary suspension
  • voluntary closure

Enforcement Actions

Enforcement actions are actions Licensing initiates to ensure the safety of children in care at operations subject to regulation.

Enforcement actions include the following:

Voluntary Enforcement Action Corrective Actions Monetary Actions Adverse Actions Judicial Actions
  • plan of action
  • evaluation (imposed before September 1, 2019)
  • probation
  • administrative penalty
  • civil penalty
  • denial of permit
  • revocation of permit
  • suspension of permit
  • adverse amendment to permit
  • temporary restraining orders
  • injunctions

Enforcement actions are neither punitive in nature nor required to be taken in any certain order. Licensing recommends or imposes enforcement actions based on the seriousness of the situation and on the operation’s compliance history. Licensing does not have to recommend or impose a less restrictive action if Licensing determines that a more restrictive action is more appropriate.

Texas Human Resources Code (HRC), Chapter 42, Subchapter D, Remedies (§§42.0705-42.079)

40 TAC §745.8511
26 TAC §745.8601§745.8603 and §745.8607

 

7110 Circumstances That May Call for Enforcement Action

July 2021

CCR may take an enforcement action under the circumstances listed below.

Abuse, Neglect, or Exploitation

Enforcement action may be taken if abuse, neglect or exploitation has occurred at the operation.

Deficiencies

Enforcement action may be taken if the operation has:

  • a single serious deficiency or a pattern of deficiencies in meeting the minimum standards, administrative rules, or the Human Resources Code, Chapter 42; or
  • several deficiencies that create an endangering situation.

Probation or Suspension

Enforcement action may be taken if the operation fails to:

  • meet the terms and conditions of probation; or
  • comply with minimum standards, licensing laws, or administrative rules after the suspension period has ended.

Emergency Closure

Enforcement action may be taken if there is substantial risk of immediate harm to the health and safety of children in care. The operation is immediately closed (immediate enforcement, emergency closure and injunction).

Background Check

Enforcement action may be taken if issues are identified by a Central Registry background check or a criminal history check.

When a listed home permit is automatically suspended or revoked because the listed family home failed to submit a 24-month background check by the due date, that does not constitute adverse action; accordingly, the home does not get due process with respect to an automatic suspension or revocation.

Necessary Changes

Enforcement action may be taken if the permit holder fails to timely report necessary changes to CCR.

Change of Location

Enforcement action may be taken if:

  • the permit holder of a registered or listed home fails to notify CCR staff within 15 days after a change in location;
  • a child-placing agency or school-age program that operates exclusively during the summer or any other time school is not in session fails to give CCR staff timely notification about a move; or
  • other operations fail to notify CCR staff before relocating.

See 3800 Handling Changes in an Operation, Type of Permit, Location, and Ownership.

Problems with an Application

Enforcement action may be taken if, during the application process:

  • a registered or licensed child day care applicant provides information that shows a deficiency in meeting the minimum standards; or
  • an operation gives false information or false statements.

False Records

Enforcement action may be taken if an operation has falsified or permitted to be falsified records or materials required by CCR.

Conditions on the Permit

Enforcement action may be taken if an operation fails to comply with the limits, restrictions, or conditions placed on the permit.

Refusal of an Inspection or Investigation

Enforcement action may be taken if someone at the operation refuses, prevents, or delays an inspection or investigation.

Applicant with a History in Another State

Enforcement action may be taken if an applicant:

  • has a permit for a child care operation revoked in another state; or
  • is barred from operating a child care operation in another state for reasons similar to those that would cause CCR to take adverse action.

Applicant with a History with Another Texas State Agency

Enforcement action may be taken if an applicant has had a permit revoked, suspended, or terminated by another Texas state agency.

Public Notice and Hearing Requirements (Residential Child Care Only)

Enforcement action may be taken if an applicant or permit holder fails to comply with the requirements of a public notice or hearing, or the results of the hearing indicate that the community and/or children in care will be adversely impacted as outlined in 26 TAC §745.8605.

Revoked or Relinquished Permit

Enforcement action may be taken if an applicant, who previously held a permit, applies for a permit to operate a child care operation within five years after:

  • CCR revoked the applicant’s permit to operate a child care operation; or
  • the applicant voluntarily closed a child care operation or relinquished a permit after receiving notice that CCR:
    • intended to take adverse action against the permit; or
    • was taking adverse action against the permit.

Retaliation

Enforcement action may be taken if a child care operation discharges or retaliates against an employee, client, resident, or other person because the person or someone on behalf of the person files a complaint, presents a grievance, or otherwise provides, in good faith, information relating to the misuse of restraint or seclusion at the operation.

Human Resources Code

Enforcement action may be taken for:

  • a reason set forth in Human Resources Code, §42.078; or
  • a failure to pay an administrative penalty under Human Resources Code, §42.078.

Controlling Person

Enforcement action may be taken if:

  1. an operation fails to submit information to CCR within two days of a change in controlling persons;
  2. a designated controlling person applies for a permit before the due process for the designation is completed;
  3. a sustained controlling person applies for a permit or is listed on the application for a permit within five years of the designation being sustained;
  4. a person who has been denied a permit for a substantive reason applies for a permit within five years of the denial being sustained; or
  5. a person who is associated with an operation whose permit has been denied or revoked by another HHSC agency for a substantive reason applies for a permit.

Conditions on an Individual

Enforcement action may be taken if an operation fails to follow conditions or restrictions placed on a person’s presence at an operation.

Texas Human Resources Code §42.048

26 TAC §745.8605; §745.431; §745.433; §745.435(d); §745.8605 and §745.8607

Liability Insurance

Enforcement action may be taken if an operation fails to comply with liability insurance requirements, including failing to:

  • maintain liability insurance in the amount of $300,000 for each occurrence of negligence that covers injury to a child while the child is on the premises of the operation or in the operation’s care, unless the operation has an acceptable reason not to have the insurance;
  • provide proof of coverage to CCR each year by the anniversary date of the issuance of the operation’s permit; or
  • meet requirements for notifying CCR or parents if the operation does not maintain or ceases to carry the insurance.

Texas Human Resources Code §42.049 and 42.0495

26 TAC §§742.403742.405742.407744.203744.205744.207745.249745.251745.253745.8605(3)746.203746.205746.207747.209747.211747.213748.158748.159748.160749.155749.157; and 749.159

 

7120 Notifying an Operation When Licensing Takes Enforcement Action

March 2017

Procedure

The inspector notifies all of the following persons when Licensing recommends or imposes an enforcement action against an operation:

  1. The person in charge of the operation
  2. The permit holder
  3. The applicant or designee
  4. The head of the governing body
  5. Each controlling person

See Appendix 3000: Notifying the Operation.