Revision 22-5; Effective Nov. 4, 2022

Certain provisions in Chapter 531 of the Texas Government Code transferred the regulatory functions of the Texas Department of Family and Protective Services (DFPS) to the Texas Health and Human Services Commission (HHSC) on September 1, 2017.  Hence, by default, Chapter 42 of the Texas Human Resources Code now designates HHSC as the agency responsible for protecting the health, safety, and well-being of Texas children by regulating child-care operations that provide assessment, care, training, education, custody, treatment, or supervision:

• for a child who is not related by blood, marriage, or adoption to the owner of the operation; and
• for all or part of the 24-hour day.

The same provisions of the Texas Government Code transferred DFPS’s responsibility under Chapter 43 of the Texas Human Resources Code to HHSC. Hence, HHSC is responsible for issuing licenses for child-care and child-placing-agency administrators. This chapter requires HHSC to develop and administer an examination as part of the licensing process for licensed administrators.

HHSC has designated the Child Care Regulation (CCR) Department for being responsible for carrying out the responsibilities outlined in Chapters 42 and 43 of the Texas Human Resources Code.

Texas Government Code Sections 531.02001; 531.02011; 531.02013; 531.02014; and 2401.002 

Texas Human Resources Code Sections 42.001; 42.002; 42.052(c); 43.003; 43.004(2); and 43.008

1110 CCR's Regulatory Activities

February 2021

Child Care Regulation's (CCR's) regulatory activities include:

1. reviewing applications for permits;
2. determining whether a child care program is subject to regulation or is exempt;
3. issuing permits to applicants;
4. inspecting and investigating operations;
5. developing and administering licensing examinations for child care and child-placing agency administrators;
6. seeking to ensure ongoing compliance with the requirements in Texas statutes and rules;
7. providing technical assistance to operations and licensees;
8. supporting operations in their efforts to improve their programs;
9. taking administrative, corrective, or adverse action on operations and licensees, as appropriate; and
10. conducting background checks on persons who are required to have a background check.

1120 Legal Support for Policies and Procedures

September 28, 2018

This handbook is intended primarily for HHSC Child Care Licensing staff. Licensing staff must follow the handbook's policies and procedures, so that HHSC meets the requirements in the Licensing statutes and rules. State statutes and rules that support the policies and procedures are cited in the handbook.

1121 District and Regional Procedures

December 2011

District directors and managers may develop procedures for their staff provided that the procedures:

• support the provisions in this handbook;
• do not conflict with Licensing statute, rules, and the policies in this handbook; and
• have been discussed and approved by the Director of Child Day Care Licensing or the Director of Residential Child Care Licensing.

1122 Child Care Regulation Statutes

Revision 23-4; Effective Nov. 30, 2023

State statutes for Child Care Regulation (CCR) are found in the following:

Human Resources Code

Chapter 40: Although most of the statutes in this chapter relate to DFPS responsibilities, two exceptions are Human Resources Code (HRC): 

• Section 40.066, which governs hearings at the State Office of Administrative Hearings (SOAH) conducted by HHSC on behalf of CCR; and
• Section 40.005, which continues to govern confidentiality provisions in 26 TAC Chapter 745, Subchapter K, Division 3.

Chapter 42: Regulation of Certain Facilities, Homes, and Agencies That Provide Child-Care Services — Establishes standards for regulating child care.

Chapter 43: Regulation of Child-Care and Child-Placing Agency Administrators — Establishes standards for regulating the child care administrators and child-placing agency administrators.

1123 Child Care Regulation Rules (Texas Administrative Code)

Revision 23-4; Effective Nov. 30, 2023

HHSC rules related to CCR are found in 26 TAC Chapter 745. The rules implement the agency's statutory responsibilities and identify and describe the rights and responsibilities of HHSC and the operations HHSC regulates. These rules can be found on the HHS website at Minimum Standards or on the Secretary of State website at Texas Administrative Code.

Before adopting new, amended or repealed rules, HHSC publishes all proposed rule changes in the Texas Register for a 30-day review and comment period.

Chapter 2001, Government Code (GC)

Once adopted, rules in the TAC carry the force of law.

1123.1 Chapters of Rules in the Texas Administrative Code Applicable to Child Care Regulation

Revision 23-4; Effective Nov. 30, 2023

The following chapters of rules in Title 26 of the Texas Administrative Code (TAC) apply to the rules for CCR. Once proposed, reviewed and adopted, rules become part of the Texas Administrative Code. Minimum Standards for child care are based on the corresponding chapter of 26 TAC.

Chapter of Rule in Title 26 TAC	Publication
26 TAC Chapter 742	Minimum Standards for Listed Family Homes
26 TAC Chapter 743	Minimum Standards for Shelter Care
26 TAC Chapter 744	Minimum Standards for School Age and Before or After School Programs
26 TAC Chapter 745	Licensing
26 TAC Chapter 746	Minimum Standards for Child Care Centers
26 TAC Chapter 747	Minimum Standards for Child Care Homes
26 TAC Chapter 748	Minimum Standards for General Residential Operations
26 TAC Chapter 749	Minimum Standards for Child-Placing Agencies

1130 Ethics of Regulation

September 28, 2018

All state employees are bound by the laws and rules established by the Texas Legislature in the Government Code and the Penal Code. The Texas Ethics Commission interprets these laws.

As a government regulator, Licensing is expected to use its authority in a manner that earns the respect, trust, and confidence of the public and consumers.

Even the appearance of an impropriety must be avoided.

Government Code, §§572.001 and 572.051

Penal Code, Chapter 36 (Bribery and Corrupt Influence) and Chapter 39 (Abuse of Office)

Procedure

In all facets of Licensing responsibilities and activities, staff:

1. enforce licensing regulations in a fair and equitable manner in accordance with state law and HHSC policy and procedures;
2. inform regulated entities of their rights and responsibilities throughout the regulatory process;
3. foster a mutual respect among regulated entities, consumers, and HHSC;
4. provide child care operations with information and assistance to improve their understanding of state regulations for child care and improve their ability to meet those regulations;
5. provide information to parents and consumers to assist them in making informed decisions about child care; and
6. are courteous and professional when conducting regulatory actions.

Licensing staff must:

1. avoid the appearance as well as the fact of improper, unfair, or self-serving conduct, including unwarranted discrimination or differential treatment;
2. behave in a manner that earns respect, trust, and confidence and reflects positively on their profession and HHSC;
3. promptly disclose any personal or financial interest they have or have had that might appear to influence their actions;
4. avoid the fact or appearance of using their positions to endorse a particular product, licensee, service provider, or group of licensees or providers;
5. not allow political or religious affiliations to influence decisions made while in the role of a regulator; and
6. observe the policies published in the HHS Human Resources Manual.

1140 Operations and Activities Regulated by Licensing

December 2019

Licensing regulates the following:

1. Child day care — Operations that provide care to children under age 14 less than 24 hours at a time
2. Residential child care — Operations that provide care to children under 18 years old 24-hours a day
3. Administrator licensing — Individuals licensed as child-care administrators, child-placing agency administrators, or both

26 TAC §§745.33, 745.35, 745.8901, and 745.8903

1141 Types of Child Day Care Operations

December 2019

The following table describes the types of child care that Licensing regulates. See also 26 TAC §745.37(2).

Child Day Care Operations Regulated by HHSC	Description
Listed family home	The primary caregiver: is at least 18 years old; provides regular care in the caregiver's own home, for compensation; serves children whose ages range from birth through age 13; provides care for at least four hours a day, three or more days a week, and for three or more consecutive weeks; serves no more than three children who are unrelated to the caregiver; and serves no more than 12 children, total, including children who are related to the caregiver.
Registered child care home	The primary caregiver: is at least 21 years old; provides regular care in the caregiver's own home; serves children whose ages range from birth through age 13; provides care for at least four hours a day, three or more days a week, and for three or more consecutive weeks; provides care to no more than six children who are unrelated to the caregiver; provides after-school care to no more than six additional elementary school children; and serves no more than 12 children, total, including children related to the caregiver.
Licensed child care home	The primary caregiver: is at least 21 years old; provides regular care in the caregiver's own home; serves children whose ages range from birth through age 13; and serves no more than 12 children, total, including the children related to the caregiver.
Child care center	The operation: provides care for seven or more children; serves only children younger than age 14; provides fewer than 24 hours of care per day; and is located somewhere other than the permit holder's home.
Small, employer-based child care (A small, employer-based operation employs fewer than 100 full-time employees)	A small employer that: provides care for up to 12 children of employees; serves only children younger than age 14; provides fewer than 24 hours of care per day; and is located in the same building where the parents work.
Shelter care	The operation: provides care for seven or more children; serves only children younger than age 14; operates for at least four hours a day and three days a week; and is located at a temporary shelter, such as a family violence or homeless shelter.
Before or after school program	The operation: provides care before, after, or both before and after the customary school day and during school holidays; operates for at least two hours a day, three days a week; and serves children who attend pre-kindergarten through grade six.
School-age program	The operation: provides supervision and recreation, skills instruction, or skills training; operates for at least two hours a day, three days a week; serves children who attend pre-kindergarten through grade six; and may operate before or after the customary school day, school holidays, summer period, or any other time when school is not in session.

1142 Types of Residential Child Care

December 2019

The following table describes the types of residential child care that Licensing regulates. See also 40 TAC §745.37(3).

Residential Child Care Operations	Description
Foster family home (Independent)	An independent foster family home is a home that is: a single, independent home that is the primary residence of the foster parents; and provides care for six or fewer children up to age 18.
Foster group home (Independent)	An independent foster group home is a home that is: a single, independent home licensed after January 1, 2007, that is the primary residence of the foster parents; provides care for seven to 12 children up to the age of 18 years; or a single, independent home licensed before January 1, 2007, that provides care for seven to 12 children up to age 18.
General residential operation (GRO)	An operation that provides child care for seven or more children up to age 18. The care may include treatment and other programmatic services. Residential treatment centers are a type of general residential operation.
Child-placing agency (CPA)	An agency, organization, or person (other than a child's parent) that places or plans for the placement of the child in a foster or adoptive home or other residential care setting.
CPA foster family home	A home regulated by a child-placing agency that: is the primary residence of the foster parents; and is verified to provide care for six or fewer children up to age 18.
CPA foster group home	A home regulated by a child-placing agency that is verified to care for seven to 12 children up to age 18.  Homes verified after January 1, 2007, must be the primary residence of the foster parents.
CPA adoptive home	A home approved by a child-placing agency for the purpose of adoption.

1143 Types of Licensed Administrators

December 2019

The following table describes the types of licensed administrators that Child Care Licensing (CCL) regulates. See also 26 TAC §§745.8901, and 745.8903.

Licensed Administrators	Description
Child Care Administrator	A person who: supervises and exercises direct control over a general residential child care operation or a residential treatment center; and is responsible for the operation's programs and personnel, regardless of whether the person has an ownership interest in the operation or shares duties with anyone.
Child-Placing Agency Administrator	A person who: supervises and exercises direct control over a child-placing agency, as defined in §745.37(3)(F) (relating to What specific types of operations does Licensing regulate?); and is responsible for the child-placing agency's programs and personnel, regardless of whether the person has an ownership interest in the agency or shares duties with anyone.

See also Section 9000 Licensed Administrators.

Revision 23-3; Effective Sept. 22, 2023

To preserve the integrity of confidential information within the Child Care Licensing Automation Support System (CLASS) and Information Management Protecting Adults and Children in Texas (IMPACT) system, CCR employees and certain stakeholders:

• follow HHSC and DFPS policy for application security;
• are assigned security roles in CLASS; and
• are granted access to IMPACT by DFPS as needed.

1210 Assigning Security Roles in CLASS

Revision 23-3; Effective Sept. 22, 2023

Each HHSC employee and stakeholder who has approval to use the CLASS is assigned a core security role. The role is based on the employee's job classification, title and duties.

See Appendix 1000-2: Security Roles and Functions in CLASS for:

1. a list of the core security roles;
2. the functions performed by persons in those roles; and
3. the pages in CLASS used to perform the functions associated with the roles.

Requests for roles that require additional security permissions are considered individually, based on the business need.

Examples of tasks that require additional security permissions include:

1. updating CLASS to reflect changes in the minimum standards;
2. maintaining information in the Administrators' Licensing System (ALS) in CLASS; and
3. maintaining the Technical Assistance Library in CLASS.

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 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

1220 Assigning a Designee in CLASS

September 28, 2018

An employee may be assigned to perform functions for another employee in the CLASS. Employees assigned designee status are accountable for the responsibilities they are assigned while serving as designees.

If the designee performs casework for another employee, the designee is expected to produce the same quality of work that would be produced if the designee were working on his or her own caseload.

1221 Maximum Number of Designees in CLASS

September 28, 2018

Managers and Directors

Managers and directors may assign up to three designees each in CLASS.

Supervisors

Supervisors may assign up to two designees in CLASS.

Inspectors

A Child Care Licensing inspector may assign designee status to another Licensing inspector only for the purposes of:

• completing a specific task; or
• temporarily covering a caseload.

Once the specific task is completed, the designee status must be deactivated.

Examples of the tasks appropriate for assignment to a designee include:

1. conducting courtesy interviews during an investigation;
2. sharing inspection responsibilities, temporarily, for a vacant caseload; or
3. completing other specific tasks assigned by a supervisor, manager, or district director.

Designees

A Licensing staff person may be appointed as a designee for up to five people.

1222 Time Limitations for Designees in CLASS

September 28, 2018

Child Care Licensing staff may only assign a designee in the CLASS for up to 90 days.

1230 Reassigning Cases, Deactivating Accounts, and Removing Roles in CLASS and IMPACT

September 28, 2018

Directors, managers, and supervisors manage and monitor the workloads of Child Care Licensing employees.

When the employment status of a Licensing employee changes, the employee's director, manager, or supervisor submits a Move, Add, or Change form (known as an eMAC) to request a change in the employee's access to systems such as CLASS and IMPACT.

To maintain security, the eMAC form must be submitted in a timely manner.

1231 Reassigning Cases in CLASS

September 28, 2018

Before an employee's access to CLASS may be removed, all of the employee's cases must be transferred to other employees.

Procedure

When possible, an employee's cases must be reassigned in CLASS before the employee's position is vacated. This includes the reassigning of operations, agency homes, and investigations.

When cases cannot be reassigned before an employee's position is vacated, the cases must be transferred in CLASS no later than five days after the position is vacated.

1232 Removing Rights to CLASS When an Employee Transfers Within HHSC

September 28, 2018

When a Child Care Licensing employee transfers to a new position within HHSC, the employee's rights to the CLASS must be removed at the time of the transfer.

Procedure

No later than the day after a Licensing employee transfers to a new position within HHSC, the employee's supervisor submits a Move, Add, or Change form (known as an eMAC) to request that the employee's rights to CLASS be removed.

1233 Removing Rights to CLASS When an Employee Voluntarily Leaves HHSC Employment

September 28, 2018

When a Child Care Licensing employee voluntarily leaves HHSC employment, all of the employee's rights to the network, including rights to CLASS, must be removed unless the employee is transferring to DFPS and needs to maintain access to CLASS.

Procedure

No later than the day after a Licensing employee voluntarily leaves HHSC employment, the employee's supervisor submits an eMAC (Move, Add, or Change form) to request that the employee's rights to CLASS be removed.

If the employee is transferring to DFPS and needs to maintain access to CLASS as part of the employee's DFPS job duties, the employee's supervisor reviews the employee's assigned security roles and submits an eMAC to request a different security role, if needed.

1234 Removing Rights to CLASS and IMPACT When an Employee is Involuntarily Terminated

September 28, 2018

When an employee is involuntarily terminated from HHSC employment, all of the employee's rights to the network, including rights to the CLASS and IMPACT systems, must be removed immediately.

Procedure

When an employee is involuntarily terminated, the supervisor immediately takes the following actions:

• Transfers all of the open cases assigned to the former employee in CLASS to another Licensing employee
• Submits an eMAC (Move, Add, or Change form) to request that all of the former employee's rights to any HHSC and DFPS systems (including CLASS and IMPACT) be removed
• Requests the former employee's rights be removed immediately by contacting:
  • CLASS Program Support; and
  • IMPACT Application Security Administrator.

If the employee's cases cannot be transferred to another employee immediately in order to terminate the employee's rights to all systems:

• the employee's supervisor requests that the employee's access to the CLASS and IMPACT systems be suspended by contacting:
  • CLASS Program Support; and
  • IMPACT Application Security Administrator.

Revision 23-3; Effective Sept. 22, 2023

The purpose of retaining Child Care Regulation (CCR) records is to:

1. document that staff have followed the policies and procedures required by statute, administrative rules and the policies in this handbook;
2. maintain a chronology of an operation's regulatory history with CCR; 
3. maintain a chronology of a licensed administrator's regulatory history with CCR; and
4. maintain a background check subject’s background check records submitted and processed in CLASS.

1310 Content and Organization of Child Care Regulation Records

Revision 23-4; Effective Nov. 30, 2023

A CCR record consists of:

• a hard copy record (if applicable);
• electronic records maintained in CLASS, including files uploaded to CLASS Document Library. CLASS Document Library replaced CCR Digital Storage SharePoint site and Neubus system for licensed administrators on Aug. 6, 2023; and
• digital files maintained on the CCR Digital Storage SharePoint site or in the digital Neubus system for licensed administrators (prior to Aug. 6, 2023).

26 TAC Section 745.8481

The documentation in CCR records must be legible, objective, concise and clear. After uploading a file to CLASS Document Library, CCR staff should verify the file uploaded correctly and is legible.

CCR staff establish operation and licensed administrator records according to the following table:

Program Area	Hard Copy record	CLASS Record
Day Care	If staff receive a paper copy, the document is retained in the hard copy record until added to the CLASS record.	An operation is established in CLASS when an application or inquiry is received. The application is uploaded to CLASS Document Library when accepted.
Residential Care	Not used. All records are maintained in the CLASS record or digital records.	An operation is established in CLASS and the application is uploaded to CLASS Document Library when an application or inquiry is received.
Unregulated Operations	Not used. All records are maintained in CLASS record or digital records.	An inquiry or report of an alleged unregulated operation is received. A search is conducted by staff and a possible unregulated operation is identified.
Exempt Operations	Not used. If staff receive a paper copy, the document is scanned and a CLASS record is created.	An application, inquiry or report is received.
Licensed Administrators	If staff receive a paper copy, the document is retained in paper file system.	When an application and payment of the application fee is received, the applicant information is added to Administrator Licensing System (ALS) in CLASS.

Procedure

Records are maintained according to the guidelines in Appendix 1000-1: Organizing Child Care Regulation Records.

See:

1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 

1311 Records for Investigations

Revision 23-3; Effective Sept. 22, 2023

For investigations:

1. records are confidential until the investigation is complete;
2. any document that must be retained as a hard copy record becomes part of the operation hard copy record, after the investigation is complete;
3. electronic records are maintained in CLASS; and 
4. all external documentation, including digital photographs, videos, scanned documents, digital files and audio files are uploaded:
   • onto the CCR Digital Storage SharePoint site if the investigation was initiated prior to Aug. 6, 2023; and
   • to CLASS Document Library if the investigation was initiated on or after Aug. 6, 2023.

See: 

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool  
1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files 
1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library 
6740 Maintaining an Investigation File.

1320 Custody of Child Care Regulation Records

May 2020

Each office must establish procedures to track the location of and store hard copy records. The district director must approve the tracking procedures.

1321 Assigning, Reassigning, and Transferring Records

Revision 23-3; Effective Sept. 22, 2023

Electronic records are assigned, reassigned and transferred in CLASS. See 1200 Application Security for CLASS and IMPACT.

In CLASS, the electronic record is assigned to the CCR staff who is responsible for regulating the operation, even though different CCR employees may be assigned to complete an investigation, inspection or other regulatory activities.

CCR licensed administrator staff are responsible for maintaining the electronic records in the Administrator Licensing System (ALS) in CLASS.

Access to the CCR Digital Storage SharePoint site or the digital Neubus system is granted to CCR staff and to stakeholders as needed.

The hard copy record is transferred when the electronic record is assigned or reassigned in CLASS. When a CCR employee vacates his or her CCR position, the employee's supervisor ensures continuous custody of the hard copy records until the record is reassigned to another CCR employee.

1330 Records Retention

Revision 23-4; Effective Nov. 30, 2023

Every electronic and hard copy record created in the course of business must be retained for a specific period, as listed in the HHSC Records Retention Schedule, located on the HHS Connection intranet and is approved by the Texas State Library and Archives Commission. No records or documents may be destroyed before the time designated in the retention schedule.

Procedure

CCR staff follow the following policies, available on the Records Management page of the HHS Connection intranet pages:

• retention schedule for HHSC Regulatory Services – Childcare Regulation Records Retention Schedule;
• HHS Records Management policy document (c-065); and
• policy and procedures outlined in the HHS Records Management Operating Policy.

Extending the Record Retention Period

All records and documents must be kept at least as long as the retention period stated in the HHSC Regulatory Services – Childcare Regulation Records Retention Schedule, available on the HHS Connection intranet schedule. If there is a business need to keep a record longer than the time specified in the retention schedule, CCR staff must receive approval to extend the retention period of that record from:

1. a regional director (or designee) or above; or
2. an HHSC attorney.

The extension to retain a record or document may be granted for as long as needed. After receiving approval to extend the retention schedule, CCR staff document the following in the operation's record as a Chronology in CLASS:

1. The reason for the extension.
2. The name of the approver.
3. The date of the approval.

Government Code, Chapter 441, Subchapter L

13 TAC Sections 6.7 and 6.8

26 TAC Section 745.8481(c)

Revision 23-3; Effective Sept. 22, 2023

CCR staff use state-issued equipment to document the conditions that exist when conducting regulatory activities by:

• taking photographs;
• recording video and audio;
• creating digital files; 
• obtaining digital files from the operation, law enforcement or another person, agency or entity; and
• converting paper documents or photos of a paper document received to an approved digital file.

See:

1427  Using Scanned Documents and Other Digital Files as a Regulatory Tool

1410 Use of State-Issued Equipment

May 2021

CCR staff are provided with state-issued equipment such as computers, tablets and mobile phones to complete regulatory activities. CCR staff must:

• ensure the security of the equipment both in the office and in the field, according to the HHS Asset Management Guide and Policy;
• use equipment in accordance with the HHS Information Security Acceptable Use Policy; and
• ensure only authorized CCR staff use the equipment.

When taking photographs, video or audio, CCR staff must use the equipment issued to them. CCR staff may not use other personal devices.

Before using the state-issued equipment for documentation, CCR staff must:

• be instructed in the equipment's use; and
• become familiar with the equipment to learn its advantages and limitations.

1420 Using Photographs and Video as a Regulatory Tool

Revision 24-1; Effective Feb. 20, 2024

CCR staff notify the operation before taking photographs or video, except when a supervisor has determined that taking photographs or video as part of surveillance is necessary.

CCR staff primarily use photographs and video to document conditions that exist when CCR regulatory activities are conducted. Photographs and video help CCR with documenting and identifying patterns in an operation's compliance history.

Procedure

Photographs may be useful in various circumstances, such as:

1. when a written description alone cannot provide a clear picture of what is observed;
2. documenting evidence of a deficiency discovered during an inspection;
3. documenting repeated deficiencies;
4. documenting evidence of care being provided at an unregulated operation;
5. supporting or refuting an allegation of a deficiency during an investigation;
6. documenting a good practice at an operation;
7. documenting evidence to support an action that will be taken against an operation;
8. supporting due process, including serving as evidence; 
9. consulting with a supervisor before making a determination about a deficiency; 
10. supporting an issued citation when under administrative review by Child Care Enforcement; or
11. capturing information on a paper document if a document scanner is not readily available. CCR staff use approved software to convert the photo of the paper document to a PDF file.

Video may be useful in various circumstances, such as:

• capturing a 360-degree view; or
• walking the path a child took to show hazards, such as traffic conditions.

References:

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool 
6535 Obtaining Consent to Enter an Unregulated Operation 
6540 Investigations Conducted as Desk Reviews 
7442 Conducting Surveillance During Probation

1421 Using Audio as a Regulatory Tool

Revision 23-3; Effective Sept. 22, 2023

When recording during an inspection, CCR staff inform the operation of the recording at the beginning of the inspection. The recording of the inspection must be accurate, unaltered and without interruption.

Procedure

Audio recording an inspection may be useful in various circumstances, such as:

• recording interviews of individuals to determine if a violation occurred; or
• documenting to support upholding a finding.

1422 Photographs and Video of Children

December 2019

Photos and videos that include children should be taken only when there is a necessary business purpose. Photographs and videos that include children are confidential.

Instances when taking photos of children may be useful include, but are not limited to, the following:

1. Documenting the particular physical condition of the child;
2. Documenting a child's reach;
3. Documenting scale of an object or area in relation to a child;
4. Occasions when it is necessary to photograph the child to document a deficiency;
5. Occasions when moving the child or group of children to not be in the photo would disturb their activities;
6. Occasions when delaying taking the photo until a time when children are not present would delay Licensing's ability to accurately document conditions or items being photographed; and
7. Documenting an injury or the lack of injury when an injury is alleged.

Instances when taking video of children may be useful include, but are not limited to, the following:

1. Obtaining a more accurate picture of marks or bruises when a photo alone is not clear;
2. Recording when children are out of control and the caregiver's response to them; and
3. Recording children outside without supervision.

See 8210 Confidential Information Not for Release to the Public.

Procedure

When photographing a child to document an injury or the particular physical condition of the child, Licensing staff do as follows:

1. Take all photographs against a neutral, uncluttered background.
2. Attend to the lighting, focus, and the distance from the child to obtain clear photographs. A camera flash that is used too close to an injury may bleach the injury out of the photograph.
3. Start by taking an identifying photograph of the child.
4. Continue by taking photographs that identify the child and pinpoint the location of the child's injury or particular physical condition.
5. Follow with close-up shots of the particular injury.

1422.1 Taking Sensitive Photographs

December 2014

If an alleged victim's injury or alleged injury is in a private area of the body, the investigator must assess whether taking a photograph is appropriate and necessary. The investigator takes into consideration:

• the age and maturity of the child;
• any objections by the child or parent; and
• whether any other evidence exists to verify the existence or extent of the injury that might make the photograph unnecessary.

If photographs are taken, a witness must be present when clothing is removed and the investigator photographs the child.

If there is other evidence, such as medical reports or pictures taken by law enforcement or a sexual assault nurse examiner (SANE) that documents the extent of the injuries to a child's private area, then taking pictures is not necessary.

Procedure

The investigator includes the witness's name and job title in the documentation.

If evidence other than photographs is used to document the extent of a child's injury in a sensitive area, the investigator documents that the evidence was sufficient and that photographs were not necessary.

1423 Photographs of a Facility, House, Room, or Outdoor Area

March 2014

Procedure

It is impossible for one photograph to depict an entire room without distortion.

When taking a photograph of a facility, house, room, or outdoor area, Child Care Licensing staff follow these guidelines:

1. Plan the photographs carefully and take them from a good vantage point.
2. Take a series of three or four photos in a clockwise sequence, covering the entire area.
3. Take photographs from eye level to achieve the proper perspective.
4. Photograph the general area, first, to identify a particular area that must be shown in a detailed close-up.

As an alternative, Licensing staff may take video depicting a 360-degree view of the room or outdoor area.

1424 Inappropriate Use of Photographs or Video

June 2015

It is not appropriate to use photos or video to document an operation's:

1. violation of the child-caregiver ratio;
2. violation of the group size; or
3. deficiencies in record keeping.

Such violations are best documented with:

• clear, concise descriptions; and
• copies of relevant records, when appropriate.

1425 Taking Photographs That Present Better Evidence

December 2019

To be used as evidence in an administrative review or a court hearing, a photograph must satisfy the following requirements:

1. The subject of the photograph must be shown from a normal perspective. Photographs must be taken from a normal eye-level viewpoint and under the same lighting conditions that existed at the time of the incident, if possible.

Avoid the distortion caused by:

• wide-angle lenses; and
• shooting from odd vantage points.

2. The object of the photograph must be material to the case and must not incite prejudice.
3. At least one photograph taken during the inspection or investigation must contain proof of the identity of the operation in which the photograph is being taken, such as:

• a sign bearing the operation's name; or
• the presence of the director or owner in the photograph.

4. The Licensing staff person taking the photographs must attest to the accuracy of the photographs.
5. Photographs of injuries or alleged injuries must be taken in a timely fashion. Photographs must not be altered in any manner. The photograph must show a true and accurate account of the subject of the photograph. If enhancements are needed for clarity (such as enlarging, cropping, or brightening), Licensing staff must obtain photographic services outside of HHSC. See 1440 Printing and Destroying Digital Photographs.

1426 Overcoming an Operation's Resistance to Being Photographed

December 2019

Child Care Licensing staff have the authority to:

• inspect an operation; and
• document the inspection of an operation.

Human Resources Code §42.044

Procedure

If the operation objects to having photographs taken of the operation or the children in care, Licensing staff:

1. explain that Chapter 42 of the Human Resources Code allows Licensing to inspect the operation and document the inspection;
2. explain that it can be to the operation's advantage for Licensing to take photographs that document the situation; and
3. explain, as appropriate, the purpose of the photographs, such as to:
4. document deficiencies when their validity may be questioned by a supervisor;
5. enable adequate consultation with a supervisor; or
6. document that deficiencies do not exist.

If the operation is still resistant to having photographs taken of the operation or the children in care, Licensing staff consult with the supervisor.

For policy regarding allowing review of photos or audio or video recordings, see 8210 Confidential Information Not for Release to the Public.

1427 Using Scanned Documents and Other Digital Files as a Regulatory Tool

May 2021

CCR staff notify the operation before scanning copies of operation records.  

When conducting regulatory activities and making regulatory decisions, CCR staff may create digital files or use digital files provided to CCR.  Examples of digital files include:

1. email communications;
2. PDF documents created with approved computer applications; and
3. digital photographs and videos provided to CCR by the operation, law enforcement or another person, agency or entity.

The primary use of scanned documents and other digital files is to document conditions that exist when CCR activities are conducted. Scanned documents and other digital files may be useful in circumstances, including:

• identifying patterns in an operation’s compliance history;
• documenting evidence of part of an inspection or investigation;
• identifying and documenting evidence associated with falsification of records; and
• documenting conditions associated with following-up on a deficiency.

1430 Documenting and Storing Photographs, Video, Audio, Scanned Documents and Other Digital Files

Revision 23-3; Effective Sept. 22, 2023

Photographs, video, audio, scanned documents and other digital files do not replace written documentation in the case record in CLASS; they supplement the narrative description.

All photographs, video, audio, written documentation, scanned documents and other digital files taken by CCR staff or received from persons outside of HHSC must be:

• documented in the CLASS system; and
• uploaded to CLASS document library.

See:

6423  Recording Interviews 
Appendix 1000-1  Organizing Child Care Regulation Records

1431 Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files

Revision 23-3; Effective Sept. 22, 2023

Procedure

Photographs, video, audio, scanned documents and other digital files created by CCR staff or received from sources outside of HHSC are documented as follows:

1. upload the file to CLASS Document Library from the appropriate CLASS page;
2. if related to an investigation, document the item in the Contact field of the CLASS Investigation Conclusion page;
3. if related to an inspection, assessment or foster home random-sampling inspection, complete the Photos Taken by CCR During the Inspection radio buttons, Other Documents/Photos Obtained radio buttons, or a combination of the two, to be included on CLASS Form 2936 (operation inspections), CLASS Form 2939 (assessments) or CLASS Form 2979 (foster home random-sampling inspections); and
4. if related to other regulatory activities, document the item in a Chronology in CLASS.

If the CCR inspector receives the item from another person, the inspector documents the name of the individual who took or provided the item to CCR.

1432 Storage of Photographs, Video, Audio, Scanned Documents and Other Digital Files in CLASS Document Library

Revision 23-3; Effective Sept. 22, 2023

Procedure

As soon as possible, but no later than the next business day from the date that CCR staff take, obtain or create photographs, video, audio, scanned documents or other digital files, staff upload the photographs, video, audio, scanned documents or other digital files to CLASS Document Library from the appropriate CLASS page. When uploading files to CLASS Document Library, staff add a new folder from the appropriate Document Library page and enter a description of the contents of the folder in the Summary of Documents text box. The description includes:

• the name and title of the person providing the document(s), photo(s) or other file(s), if applicable;
• the date the photo(s), document(s) or other file(s) was received or taken; and
• a brief summary of the files being included in the folder.

Before saving the uploaded files, staff complete the Document Details fields for each file, including the Document Type and Description of the file content. For documentation regarding children, staff only include the first name and last initial of the child.

For additional details, see the CLASS: Document Library Tip Sheet located on the CCR Digital Storage SharePoint site.

See: 

1431  Documenting Photographs, Video, Audio, Scanned Documents and Other Digital Files
1440  Printing and Destroying Digital Photographs and Other Hardcopy Documents
4161.22  Limits to Documenting Names of Children
4161.23  Limits to Documenting Names of Persons in CLASS 

1440 Printing and Destroying Digital Photographs and Other Hardcopy Documents

May 2020 

1441 Printing Digital Records

Revision 23-3; Effective Sept. 22, 2023

Procedure

CCR staff print digital photographs, documents or other records:

• after obtaining permission or directive from a regional director, a manager, CCR state office staff or an HHSC attorney; or
• as convenience copies, if needed, to support the performance of their tasks.

See:

1330  Records Retention

1442 When and How to Destroy Photos and Other Hardcopy Documents

May 2020

Procedure

If the printed photographs and other hardcopy documents are not stored in the hard copy record, CCR staff must destroy them.

If there is an active litigation hold, CCR must maintain the physical copies of any document related to the hold, even if the document has been uploaded to the CCL Digital SharePoint site. Otherwise, CCR staff may destroy hardcopies of documents that have been uploaded to the CCL Digital Storage SharePoint site.

Acceptable methods of destruction include:

1. shredding;
2. tearing;
3. burning; and
4. pulping.

1510 Types of Searches in CLASS

October 1, 2013

There are four primary searches available in CLASS:

1. Operation Search
2. Background Check – Results Search
3. Controlling Person Search
4. Global Person Search

1520 When to Conduct Searches in CLASS

 

1521 When to Conduct an Operation Search in CLASS

October 1, 2013

Licensing staff conduct an Operation Search:

1. to verify whether a provider is operating with or without a permit or to determine whether the provider has a history of operating illegally;
2. to search for the operation for the purposes of linking an intake, investigation, or e-application to the operation; and
3. to review an operation’s compliance history.

1522 When to Conduct a Background Check Results Search in CLASS

October 1, 2013

Licensing staff may conduct a Background Check – Results Search to review an individual’s background check records in CLASS. A Global Person Search may also be conducted in this circumstance.

Residential Licensing inspectors must conduct a Background Check – Results Search when a child-placing agency (CPA) or general residential operation (GRO) designates a new administrator. The search is conducted so that any criminal history matches for the new administrator may be evaluated. See 10311 Determining Appropriate Actions Based on Criminal History.

1523 When to Conduct a Controlling Person Search in CLASS

October 1, 2013

A Controlling Person Search is conducted in CLASS when:

• an operation submits the name of a new controlling person; or
• Licensing staff need to review an individual’s record as a controlling person in CLASS.

See 5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation.

1524 When to Conduct a Global Person Search in CLASS

September 28, 2018

Licensing staff must conduct a Global Person Search in the CLASS under these circumstances:

1. When an application is submitted – To determine whether the applicant is eligible to receive a permit. (See 3222 How to Determine Whether the Applicant Is Eligible to Apply.
2. When an operation submits the name of a new controlling person – To determine whether the person is eligible to serve in the role of a controlling person. (See 5430 Processing and Reviewing the Information on Controlling Persons Submitted by an Operation.
3. When an operation submits the name of a new director – To determine whether the director is serving as a director at another operation.
4. When an applicant for an administrator’s license submits an application – To determine whether the applicant is a sustained controlling person and to review other relevant history in CLASS.

1530 How to Conduct a Search in CLASS

October 1, 2013

To obtain the most accurate search results, it may be necessary to conduct multiple searches using a variety of approaches, including the following:

Phonetic Searches

Conduct a phonetic search when searching by an operation’s name, a person’s name, or an address. A phonetic search involves using exact spelling but selecting the Phonetic option so that the results include phonetic similarities. See 1531 Conducting a Search in CLASS That Yields Phonetic Search Results.

Narrowed Searches

To narrow the results of a search:

• Begin searching by entering fewer search criteria in the fields on the search page; and
• Narrow the results by entering additional search criteria or different combinations of search criteria.

Social Security and Driver License Searches

When searching by a Social Security number (SSN) or driver license number (DLN), conduct follow-up searches using additional criteria to find records in which the SSN or DLN are incorrect or blank.

1531 Conducting a Search in CLASS That Yields Phonetic Search Results

October 1, 2013

The phonetic search feature is the default search option in CLASS.

When conducting a CLASS search using the phonetic search feature, Licensing staff receive a broader set of results. A phonetic search captures more results by searching for words or names that sound similar to or are spelled slightly differently than the search criteria and words or names that contain typographical (data entry) errors that are common to the search criteria.

Before conducting a phonetic search, Licensing staff must ensure that the Phonetic check box is selected.

Before searching by Operation Number, Licensing staff must uncheck the Phonetic check box.

Procedure

With the exception of the operation number, Licensing staff can enter any search criteria when conducting a phonetic search.

Certain search criteria are treated as an exact filter (explained in more detail below). An exact filter filters out, or removes, any search result that does not exactly match the search criteria that are treated as exact filters.

Operation Search

Licensing may conduct a phonetic search on the Operation Search page by entering any of the search criteria, except for the operation number.

When a phonetic search is performed, the following fields are treated as exact filters:

1. County
2. Operation Type
3. Care Type

Background Check Results Search

Licensing may conduct a phonetic search on the Background Check Results Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

1. Operation Number
2. Batch Number
3. Licensing Representative ID
4. Employee ID
5. Region
6. Batch Date
7. Status

Controlling Persons Search

Licensing may conduct a phonetic search on the Controlling Persons Search page by entering any of the search criteria.

When a phonetic search is performed, the following fields are treated as exact filters:

1. State
2. Phone Number

Global Person Search

Licensing may conduct a phonetic search on the Global Person Search page by entering any of the search criteria. When a phonetic search is performed, only Date of Birth is treated as an exact filter.

All Searches

When conducting a phonetic search, the best results are obtained by entering the operation’s full name, the person’s full name, or the full street name.

To search by entering partial information, see 1532 Conducting a Search in CLASS That Yields Exact Search Results.

1532 Conducting a Search in CLASS That Yields Exact Search Results

October 1, 2013

The purpose of conducting a search that yields exact results, or an exact search, is to identify a smaller set of results that exactly or partially match the search criteria that were entered.

Before conducting an exact search, Licensing staff must uncheck the Phonetic check box.

Procedure

Licensing staff must conduct an exact search when searching by the operation number. Licensing staff are able, but not required, to conduct an exact search on any other search criteria.

1533 Conducting a Global Person Search in CLASS to Obtain All Records on an Individual

October 1, 2013

The purpose of conducting a Global Person Search is to identify each record related to an individual in CLASS. See 1520 When to Conduct Searches in CLASS.

Procedure

A Global Person Search in CLASS, may pull up records for the following roles:

1. Background Check
2. CEO
3. Designee
4. Director
5. Second Director
6. Program Director
7. Site Director
8. Partner
9. Perpetrator (Intake or Investigation)
10. Controlling Person
11. Administrator

Handling Errors in Data

When conducting a Global Person Search, Licensing staff may detect errors in data entry in an individual’s various records in CLASS.

When staff detect variations in an individual’s records, such as inconsistent Social Security numbers, staff attempt to verify and correct the records in CLASS only if correcting the records is within the staff person’s responsibility.

Licensing staff do not submit a formal request to correct data or ask other Licensing staff to correct data that is outside of the staff person’s responsibility.

1610 When and How to Validate an Address in CLASS

October 1, 2013

Licensing staff complete the address validation process in CLASS to ensure that addresses entered into CLASS conform to the standards of the United States Postal Service (USPS).

Except for addresses entered as part of an intake or investigation, Licensing staff must attempt to validate all location and mailing addresses stored in CLASS, including the addresses found on the following pages:

1. Main page for all operations
2. Application page for all operations
3. Exemption Requests & Background Check Only Entities
4. Illegal Operation
5. Controlling Person Details
6. Governing Body Designation
7. Administrator Details
8. Background Check – Person Details
9. Agency Home

Procedure

Licensing staff must select Validate Location Address or Validate Mailing Address each time a location address or mailing address is entered for the first time or is updated in CLASS.

After selecting the appropriate validation button, Licensing staff are given the following options:

• Accept the USPS standardized format, if one is found.
• Correct the address and re-validate.

Use the address which was originally entered and explain the reason the address is not validated in the text box Reason Location Address Not Validated or in the text box Reason Mailing Address Not Validated.

If a USPS standardized address is found, CLASS displays a Validated status for the address.

If a USPS standardized address is not found, CLASS displays a Not Validated status for the address.

1620 Addresses That Are Not Validated

October 1, 2013

In some cases, the United States Postal Service (USPS) does not return a valid address when Validate Location Address or Validate Mailing Address is selected.

The reasons that a validated address may not be returned include, but are not limited to, the following:

1. The location address is an area of new construction.
2. The location address is in a rural are
3. USPS cannot determine in which county the address is located.
4. The address that was entered is incomplete or otherwise incorrect.

1621 When a Validation Check in CLASS Does Not Return a Valid Address

October 1, 2013

Procedure

If, after entering an address in CLASS and selecting Validate Location Address or Validate Mailing Address, a validation check does not return a validated address, Licensing staff contact the applicant or operation to determine whether the address is correct.

If the address is not correct, Licensing staff:

1. obtain the correct address;
2. enter the correct address in CLASS; and
3. attempt to validate the address again.

If the address is correct, Licensing staff:

1. attempt to determine why the address may not be recognized as correct;
2. accept the address in CLASS, even though it is not validated; and
3. enter in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated the reason that the address may not be recognized as correct and the date the reason was entered.

See 1630 How to Enter a Valid Address.

1622 When an Address that is Not Validated is Submitted Through the Child Care Licensing Account Website

September 28, 2018

Procedure

If a provider submits an address with a Not Validated status through the Child Care Licensing Account website, Licensing staff contact the applicant or operation if:

1. the reason that is entered in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated is not clear; or
2. the address appears to be obviously incorrect.

If the address is not correct, Licensing staff:

1. obtain the correct address;
2. enter the correct address in CLASS; and
3. attempt to validate the address again.

If the address is correct, Licensing staff:

1. attempt to determine why the address may not be recognized as correct;
2. accept the address in CLASS, even though it is not validated; and
3. enter in the text box Reason Location Address Not Validated or the text box Reason Mailing Address Not Validated the reason that the address may not be recognized as correct and the date that the reason was entered.

See 1630 How to Enter a Valid Address.

1623 Routinely Attempting to Validate Addresses Not Validated in CLASS

October 1, 2013

Because the USPS system is routinely updated with new addresses, a Licensing inspector must attempt to validate an operation’s location or mailing address at each monitoring inspection, if either address has a status of Not Validate. See 4171 Discussing the Results of an Inspection.

1630 How to Enter a Valid Address

October 1, 2013

Licensing staff must enter only valid addresses in the Location Address and Mailing Address fields in CLASS.

The address fields must not contain the following types of information:

1. Phone numbers
2. Directions
3. More than one address

Procedure

Licensing staff do as follows when entering an address:

1. Spell out uncommon abbreviations.

Examples of abbreviations that must be spelled out include the following:

• Any variation of County Road (such as CR, CNTY RD, VZCR, CO RD, ACR)
• State Highway (ST HWY)
• Private Road (PR)

2. Enter only street numbers, street names, and P.O. boxes on the first address line.
3. Enter only apartment, lot, suite, building, and trailer numbers on the second address line.

If an address does not validate, re-enter it as explained in this item and attempt to validate the address again.