Appendix 1000, General CCR Information | Texas Health and Human Services

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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.

CLASS Record

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

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:

photographs;
videos;
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.

CCR staff:

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
petitions.

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

Core 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
View Only	No role assigned No ability to modify data	View most pages in CLASS. View files uploaded in the Document Library. Exceptions: Pages that are only used to create records in CLASS are inaccessible to View Only users; for example, Batch Administration, Intake Report, and Application Exemption Request; and Administrator License System (ALS) CLASS pages.
Administrative Technician	Provides the functionality assigned to View Only, plus the functions described in the CLASS Functions column to the right.	Application – Create a new facility record. View and assign applications, including online applications (known as eApps) Case Assignment List – Assign or transfer cases Exemption Request – Create a record for a new exemption request Background Check Person Search – Request a background check Background Check Results – Document information related to background check results Background Check Results History – Create background check letters Intake Report – Create an intake report Designees – Add a designee Chronology – Create chronologies in any facility record User Request – Create User Request reports Case File Print – Create Case File Print reports Update/Query Payments – Update payment records Payment Verification – Update and delete payment records Training Session Information – Add or update training sessions Training List – View scheduled training sessions AH Reports – View and assign inspections of agency homes CLASS Document Library – upload files for an assigned activity. and edit files created by the user on specific CLASS pages.
Licensing Representative	Provides the functionality assigned to the role of Administrative Technician, plus the functions described in the CLASS Functions column to the right.	Operation Main – Update facility information in an assigned caseload Inspection/Assessment List – Create or modify inspections for operations in an assigned caseload Inspection/Assessment List – Create or modify assessments for operations in an assigned caseload Investigation Main – Update open investigations in an assigned caseload Waiver/Variance – Add a waiver or variance to operations in an assigned caseload Enforcement Recommendation List – Select an action based on enforcement recommendations for an operation in an assigned caseload Provider Corrective Action Plan – Create or update corrective action plans for an operation in a caseload Provider Adverse Action Involuntary Suspension – Create or update an adverse action for an operation in a caseload Provider Adverse Action Revocation or Denial – Create or update an adverse action for an operation in a caseload AH Reports – Access or conduct assigned inspections of agency homes
Supervisor	Provides the functionality assigned to the role of Licensing Representative, plus the functions described in the CLASS Functions column, to the right.	Waiver/Variance – Approve or deny waivers and variances Inspection Details – Reopen or delete an inspection when all drafts and final versions of forms or letters have been deleted Note: Only for inspections that are not the basis for either a corrective action, an adverse action, or a plan of action may be deleted Assessment Details – Reopen or delete an assessment when all drafts and final versions of forms or letters have been deleted Note: Only assessments that are not the basis for a corrective or adverse action or a plan of action may be deleted Investigation Main – Reopen or delete an investigation when all drafts and final versions of forms or letters have been deleted Note: Only investigations that are not the basis for a corrective adverse action or a plan of action may be deleted Intake Report – Delete an intake record when it is not attached to an investigation or inspection Investigation Conclusion – Document approval to extend an investigation beyond the usual time frames Issuance – Document approval and justification to extend an application period, specifically the initial permit, beyond the usual time frames Add/View Chronology – Delete a chronology that was entered manually Investigation Perpetrator Details – Complete the Due Process section for alleged perpetrators Provider Corrective Action Plan – Enter a supervisory decision. Provider Adverse Action Involuntary Suspension – Enter a supervisory decision Provider Adverse Action Revocation or Denial – Enter a supervisory decision CLASSMate Usage Monitoring – View records that are checked in and out of CLASSMate Enforcement Recommendation List – Enter a supervisory decision for the action recommended by the inspector based on the enforcement recommendations User Profile (Accessed through the Security tab) – View other employees’ To-Do tasks in CLASS Operation Main – Update the name and address of an operation Governing Body – Update the name of a governing body Inspection/Assessment List – Add inspections and assessments to any caseload Background Check Assignment – Assign an operation to a CBCU specialist CLASS Document Library – Upload, edit, and delete any file, except those uploaded from an ALS CLASS page

Additional Roles

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.	Provider Adverse Action Revocation or Denial – Access the Voluntary/Relinquish Withdrawal check box and Reason text box Operation Main – Reopen a closed operation Operation Main – Access the Do not display on the public/provider website check box Application/Closure – Change the decision made on an application User Request Reports – View an At Risk Facilities Report
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	Add and modify information about a licensed administrator CLASS Document Library – View all documents. Upload, edit, and delete only files on ALS CLASS pages