Appendix 1000-1 Organizing Child Care Regulation Records
Revision 23-3; Effective Sept. 22, 2023
All CCR staff follow the same guidelines for maintaining records, even though some information and documentation described in this appendix may not apply to all types of operations or licensed administrators. The operation record only includes information required for the operation type or licensed administrator.
Records for child care operations or licensed administrators consist of:
- documentation or digital files provided by the operation or administrator; and
- documentation received from other agencies or organizations that is related to CCR regulatory activities.
Records are maintained in CLASS, the CCR Digital Storage SharePoint site, and the hard copy record, as required by statute, court orders, and CCR policy.
Applications for Child Day Care Operations
CCR staff and applicants for a child day care operation communicate through face-to-face, phone, email or text message contacts regarding incomplete applications.
After accepting an application, CCR staff upload application materials and any related email or other digital files to CLASS Document Library.
Applications for Residential Child Care Operations
CCR staff and applicants for a residential child care operation communicate through face-to-face, phone, or email contacts. When a CCR residential inspector receives a text message communication from the applicant, the inspector:
- responds to the applicant through face-to-face, phone or email contact;
- documents the communication in a Chronology in CLASS; and
- uploads all emails or digital files to CLASS Document Library.
CCR staff print CLASS documentation only when necessary. If there is an active litigation hold, CCR must maintain all paper documents related to the hold even if they are uploaded to the CCR Digital Storage SharePoint site.
Requests for Exemption from Regulation
Staff upload exemption request forms and all supplemental documents related to an exemption determination to CLASS Document Library. If staff receive forms or documents as paper copies, staff scan the documents to create a digital file.
Chronology entries capture additional details about regulatory activities that are not already captured on CLASS forms or letters. Chronology entries are created in CLASS and CLASSMate in the following ways:
- automatically by CLASS when certain activities occur;
- manually by CCR staff according to requirements in applicable CCR Handbook policies and procedures; or
- manually by CCR staff as needed.
Digital Records on CLASS Document Library
CCR staff upload digital files to CLASS Document Library for individual operations and CCR activities such as:
- audio recordings;
- application materials; and
- scanned copies of other records and digital documents related to the regulation of an operation.
For residential child care operations, staff scan and upload all documents in the existing hard copy records to CLASS Document Library.
For day care operations, staff scan and upload application materials to CLASS Document Library within one business day after accepting an application.
For unregulated operation investigations, staff also scan and upload Form 2895 CCR Request to Enter (available on the CCR SharePoint site) to CLASS Document Library site.
For all operation types, CCR staff upload all digital records, such as documents, photos, audio and video that support CCR activities.
Digital files are organized within CLASS Document Library according to the activity category.
Hard Copy Record
The hard copy record includes documents necessary to support CCR activities conducted by CCR according to statute, administrative rules, and the policies and procedures published in this handbook.
Examples of the documents filed in the hard copy record include:
- forms and correspondence related to licensing, certification, registration, or listing permits;
- significant correspondence from the applicant or permit holder; and
- significant correspondence from others involved in the regulatory process.
- organize the hard copy record so that it includes dividers that are tabbed and labeled by subject;
- organize the hard copy record chronologically, starting with the current monitoring period;
- file all documentation on the right side of the record, with the most recent documents on top within each tabbed section;
- ensure that documentation in the hard copy record is legible; and
- print and file CLASS documentation only when appropriate.
Organizing Hard Copy Records
Recommended Tabs for the Hard Copy Record
CCR staff file external documentation in the hard copy record under the tabs as recommended below if the documentation is not uploaded to the CCR Digital Storage SharePoint site or not submitted online through the provider’s online account.
Tab 1: Application and Permit
- application material listed in the Required Application Materials document available on the Policy and Rules page of the CCR SharePoint site;
- information related to public hearing requirements, when applicable;
- CLASS Form 2860E Director’s Certificate;
- Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings;
- Form 7257 Day Care Space Computation, located on the CCR SharePoint site; and
- permit renewal applications.
Tab 2: Regulation
- CLASS Form 2936 Child Care Operation Inspection Form, when signed outside of CLASSMate;
- correspondence relating to the correction plan for deficiencies;
- other regulatory correspondence;
- correspondence related to judicial actions; and
Tab 3: Investigations
- any documentation not found in CLASS; and
- any paperwork with original signatures, such as Form 2895 Request to Enter or a safety plan (available on the CCR SharePoint site).
Tab 4: Waiver/Variances
- Form 2937 Child Care Regulation Waiver/Variance Request;
- correspondence related to waivers and variances; and
- supporting documentation.
Tab: 5: Miscellaneous Documentation
- correspondence related to the pre-application process;
- inspection reports from other agencies or organizations, if provided;
- documentation related to liability insurance:
- Form 2962 Verification of Liability Insurance; and
- proof of liability insurance; or
- Form 2962, Attachment A Parental Notification of Lack of Liability Insurance, if applicable; and
- miscellaneous correspondence.
Tab 6: Confidential Background Check Information
Form 2971 Child Care Licensing Request for Background Check, if a CCR inspector received as a hard copy document.
Tab 7: Controlling Person
- Form 2760 Controlling Person – Child Care Regulation; and
- other external documentation related to controlling persons.
Appendix 1000-2 Security Roles and Functions in CLASS
Revision 23-3; Effective Sept. 22, 2023
The tables below show the core roles and the additional security roles available in CLASS.
- Core Roles
- Additional Roles
Each person granted access to CLASS is assigned only one core security role. Core security roles are successive, meaning that each role includes the permissions of a preceding role and provides additional permissions.
|Core Role||Summary||CLASS Functions|
|Administrative Technician||Provides the functionality assigned to View Only, plus the functions described in the CLASS Functions column to the right.|
|Licensing Representative||Provides the functionality assigned to the role of Administrative Technician, plus the functions described in the CLASS Functions column to the right.|
|Supervisor||Provides the functionality assigned to the role of Licensing Representative, plus the functions described in the CLASS Functions column, to the right.|
Requests for additional security roles are considered individually, based on the business need.
|Additional Role||Summary||CLASS Functions|
|District Director or Manager||Provides all the functionality assigned to the role of Supervisor, plus the District Director or Manager provides the functions described in the CLASS Functions column to the right.|
|State Office Staff||Provides the functionality assigned to the role of Licensing Representative, plus the functions described in the CLASS Functions column, to the right.||CLASS Document Library – view, upload, and edit files.|
|Administrators’ Licensing System (ALS) in CLASS||Provides all of the functionality assigned to the role of Licensing Inspector, plus the functions described in the CLASS Functions column to the right|