Appendices

Appendix 1000 General Licensing Information

Appendix 1000-2 Organizing Child Care Regulation Records

June 2020

 

All Child Care Regulation (CCR) staff follow the same guidelines for maintaining records, although some information and documentation described in this appendix may not apply to all types of operations or licensed administrators. Staff, therefore, include in the record only the information that applies to the type of operation or licensed administrator.

CCR staff document work in CLASS, the hard copy record, and on the CCL Digital SharePoint site. Documentation must be objective, concise, and clear.

CLASS documentation is printed only when necessary; for example, to file an open records request or file the documentation of hearings conducted through the State Office of Administrative Hearings (SOAH). If there is an active litigation hold, CCR must maintain all paper documents related to the hold even if they are uploaded to the CCL Digital SharePoint site.

What to Enter in the Chronology Field in CLASS

The Chronology field in CLASS is used to document an operation’s activities during the pre-application phase, the application phase, and regulatory activities, in order of occurrence.

All chronologies are documented in CLASS and CLASSMate. Some chronologies are generated automatically by CLASS, while staff enter others.

Entries Made by Staff

When documenting an activity as a chronology in CLASS, staff:

  • do not repeat the details that appear in an HHSC letter or form;
  • provide a summary of the information and do not copy and paste information from emails or other correspondence; and
  • enter in the Entry Date field the date of the activity, not the date of the entry.

Most letters and forms completed by staff are documented in CLASS, but some are documented only in the hard copy record or on the CCL Digital SharePoint site.

CCR staff must enter the following information in the Chronology field in CLASS:

  1. Contacts and decisions made during the pre-application phase;
  2. Contacts with and actions taken on unregulated operations;
  3. Significant telephone conversations and correspondence;
  4. Exceptions to the CCR process;
  5. Instructions from the supervisor, program administrator, or district director;
  6. Court actions;
  7. Court-related documents, such as correspondence requesting court action, petitions, and court orders;
  8. Changes of location (listed and registered homes only);
  9. Documentation and results of searches for controlling persons in the HHSC Adverse Action Record Sharing; system (AARS); and
  10. Other actions related to a controlling person that are not automatically generated in CLASS.

Entries Made by CLASS

Based on information staff enter in CLASS, CLASS automatically generates a chronology for the following:

  1. Application decisions;
  2. Inspections and investigations made at an operation;
  3. Waiver and variance requests and decisions;
  4. Issuance of a permit;
  5. Renewal of a permit;
  6. Notification for an administrative review, responses to the notification, and the outcome;
  7. Appeal requests, actions, and all decisions made through the appeal process;
  8. Change of ownership;
  9. Change of location (Exception: Chronologies for a change of location for a listed home or registered home are entered by staff);
  10. Finalization of letters;
  11. Transferring a record;
  12. Closing a record;
  13. Controlling person decisions;
  14. Events related to fees;
  15. Background Checks; and
  16. Enforcement actions.

Organizing the Hard Copy Record

CCR staff include in the hard copy record the paperwork necessary to show that the licensing and regulatory process has been carried out according to statute, administrative rules, and the policies and procedures published in this handbook. For residential child care operations, staff scan and upload all hard copies to the CCL Digital Storage SharePoint site.

Examples of the paperwork filed in the record include:

  1. forms and correspondence related to licensing, certification, registration, or listing permits;
  2. significant correspondence from the applicant or permit holder (such as an email from the provider waiving their right to a hearing); and
  3. significant correspondence from others involved in the regulatory process.

CCR staff:

  1. organize the hard copy record so that it includes dividers that are tabbed and labeled by subject;
  2. organize the hard copy record chronologically, starting with the current monitoring period;
  3. file all documentation on the right side of the record, with the most recent documents on top within each tabbed section;
  4. ensure that documentation in the hard copy record is legible; and
  5. print and file CLASS documentation only when appropriate; for example, printing open records requests or the documentation of hearings conducted through the State Office of Administrative Hearings (SOAH).

CCR staff do not include schedules for case readings and other internal monitoring forms in the hard copy record.

Recommended Tabs for the Hard Copy Record

It is recommended that CCR staff file paperwork in the hard copy record under the tabs listed below.

Tab 1: Application and Permit

The following paperwork is filed under this tab if not saved in CLASS or in the CCL Digital SharePoint site:

  1. The operation’s floor plan;
  2. Information related to public hearing requirements, when applicable;
  3. Form 2910 Application for a License to Operate a Child Day Care Facility or Form 2960 Application for a License to Operate a Residential Child Care Facility;
  4. Form 2911 Child Care Licensing Governing Body/Director Designation (child day care);
  5. CLASS Form 2860E Director’s Certificate;
  6. Form 2982 Personal History Statement;
  7. Form 7257 Day Care Space Computation (or calculator tape showing the computation);
  8. Form 2948 Plan of Operation for Licensed Center Operations (or the documentation required when applying for residential licensing, as indicated on Form 2960 Attachment A General Residential Operation - Documentation Required at Application, Form 2960 Attachment B Child-Placing Agency — Documentation Required at Application, or Form 2960 Attachment C General Residential Operations – Additional Operational Plan); and
  9. Permit renewal applications.

Tab 2: Regulation

The following paperwork is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site:

  1. Class Form 2936 Child Care Operation Inspection Form, when signed outside of CLASSMate;
  2. Correspondence relating to the correction plan for deficiencies;
  3. Significant correspondence requesting or relating to an administrative review;
  4. Correspondence relating to an enforcement action;
  5. Other regulatory correspondence;
  6. Correspondence related to judicial actions;
  7. Petitions; and
  8. Court orders.

Tab 3: Investigations

The following paperwork is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site:

  1. Any documentation not found in CLASS; and
  2. Any paperwork with original signatures.

Tab 4: Waiver/Variances

The following paperwork is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site:

  1. Form 2937 Child Care Licensing Waiver/Variance Request;
  2. Correspondence related to waivers and variances; and
  3. Supporting documentation.

Tab: 5: Miscellaneous Documentation

The following paperwork is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site:

  1. Correspondence related to the pre-application process;
  2. Inspection reports from other agencies or organizations, if provided;
  3. Form 2962 Verification of Liability Insurance and proof of liability insurance or an exception to liability coverage and notification to the parent about the exception; and
  4. Miscellaneous correspondence.

Tab 6: Confidential

Form 2971 Child Care Licensing Request for Background Check is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site.

Tab 7: Controlling Person

The following paperwork is filed under this tab if not saved in CLASS or on the CCL Digital SharePoint site:

  • Form 2760 Controlling Person – Child Care Licensing; and
  • Other external documentation related to controlling persons.

 

Appendix 1000-3 Security Roles and Functions in CLASS

March 2015

 

The tables below show the core roles and the additional security roles available in CLASS.

  • Core Roles
  • Additional Roles

Core Roles

Each Licensing employee 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. 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.
Administrative Technician Provides the functionality assigned to View Only, plus the functions described in the 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
Licensing Representative Provides the functionality assigned to the role of Administrative Technician, plus the functions described in the 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 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

Additional Roles

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

Additional Role Summary CLASS Functions
District Director or Manager The District Director or Manager provides the functions described in the Functions column to the fight.
  • 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
Administrators’ Licensing System (ALS) Provides all of the functionality assigned to the role of Licensing Inspector, plus the functions described in the Functions column to the right Add and modify information about a licensed administrator

Appendix 2000 Handling Inquiries About the Licensing Process and Exemption

May 2020

 

Appendix 2000-1 Organizations Whose Members May Qualify for Exemption

November 2010

 

The organizations listed at the end of this item are members of the Texas Private School Accreditation Commission (TEPSAC). Members of TEPSAC are approved to accredit nonpublic schools in Texas. Schools that are accredited by TEPSAC members may be exempt from regulation by Licensing.

See the first item in the table under 2371 Standard Educational Programs, regarding programs for prekindergarten and above.

Applying for or being in the process of becoming accredited does not constitute accreditation.

List of Accredited Schools

For a list of the individual private schools accredited by TEPSAC, search the TEPSAC site for the Texas School Directory. The list is updated weekly.

Accreditation Status

For the accreditation status of a specific school, use the Texas Education Directory’s search feature AskTED. (See the first item in the table under 2371 Standard Educational Programs, regarding programs for prekindergarten and above.

TEPSAC Members

The TEPSAC members that are approved to accredit nonpublic schools are:

Accreditation Commission of Baptist Schools

  • 254-710-2410
  • Fax 254-710-3734
  • randy_wood@baylor.edu

Association of Christian Classical Schools

  • 512-899-8095
  • execdirector@accsedu.org
  • accsedu.org

Association of Christian Schools International

  • 972-941-4404
  • Fax 972-941-4405
  • john_craig@acsi.org
  • www.acsi.org

Association of Christian Teachers and Schools

  • 713-943-9978
  • Fax 713-944-4416
  • ellisjoyce@hotmail.com
  • actsschools.org

Independent Schools Association of the Southwest

  • 432-684-9550
  • Fax 432-684-9401
  • rdurham@isasw.org
  • isasw.org

International Christian Accrediting Association

  • 918-493-8880
  • Fax 918-493-8041
  • donpeal@oru.edu
  • icaa.us

Lutheran Schools Accreditation Commission

  • 512-926-4272
  • Fax 512-926-1006
  • wvhinz@aol.com

National Christian Schools Association

  • 512-835-5983
  • Fax 512-835-2184
  • mmoss@brentwoodchristian.org
  • nationalchristian.org/nc

Southern Association of Colleges and Schools

  • 512-326-4200
  • Fax 512-326-5908
  • ssherman@sacscasi.org
  • sacscasi.org

Southwestern Association of Episcopal Schools

  • 806-655-2400
  • Fax 806-655-2426
  • fbarrack@swaes.org
  • swaes.org

Texas Alliance of Accredited Private Schools

  • 361-552-1900
  • Fax 361-552-1951
  • taaps@tisd.net
  • taaps.org

Texas Catholic Conference Education Department

  • 512-339-8416
  • Fax 512-339-8670
  • margaret@txcatholic.org
  • txcatholic.org

Texas Seventh Day Adventists School System

  • 817-783-2223
  • Fax 817-783-5266
  • beder@txsda.org
  • txsda.org

Wisconsin Evangelical Lutheran Synod School Accreditation

  • 214-343-7457
  • Fax 214-348-1424
  • jhenrickson@caltex.org
  • wels.net

Other Organizations

The following organization is not a member of TEPSAC, but does require compliance with established standards and has been reviewed by Child Care Licensing.

Association Montessori International Teachers of Texas (AMITOT)

  • Chrissy Davol
  • 5701 West FM 487
  • Florence, Texas 76527
  • 512-627-1299
  • codavol@hotmail.com

 

Appendix 2000-2 Determining Whether a Program or Operation is Regulated by Child Care Regulation – Questions and Answers

May 2020

 

Child Care Regulation (CCR) staff may use the following questions and answers as a guide to determining whether a program or operation is regulated by CCR.

A. Youth Camps

1. What are the general characteristics of a youth camp licensed by the Department of State Health Services (DSHS)?

DSHS defines a youth camp as a program that:

  1. provides supervision, instruction and recreation;
  2. accommodates at least five minors during each camp session;
  3. operates as a youth camp for no more than 120 days each calendar year;
  4. hosts children who are apart from parents or guardians;
  5. operates as a youth camp for a period of four or more consecutive days;
  6. operates as a youth camp for more than four consecutive hours per day;
  7. operates as a youth camp only during school vacation periods; and
  8. offers at least two youth camp specialized activities in an outdoor setting, such as waterfront activities, archery, horseback riding, challenge courses or riflery that requires special technical skills, equipment or safety regulations.

25 TAC §265.11

2. Does DSHS license martial arts programs as youth camps?

DSHS issues a license for a martial arts program to serve as a youth camp only if the program meets all of the characteristics of a youth camp, as defined in A.1, directly above.

Most martial arts programs meet the requirements listed in 26 TAC §745.129(2), Single Skill Programs, and are, therefore, exempt from CCR regulation by law.

For the requirements to be considered a program that offers direct instruction in a single skill or proficiency, see the Human Resources Code, Chapter 42, §42.041(b)(18).

3. Can CCR recommend that a recreational program apply for a license from DSHS to operate as a youth camp, rather than apply for a license from CCR?

Yes, in some cases; however, CCR staff must first determine whether the program is exempt from regulation or must be licensed as a school-age program.

To determine whether a program is exempt, CCR staff:

  • review the relevant definitions; and
  • compare the information on the program’s exemption determination (Form 2821) with the characteristics and definition of a youth camp.

Recreation programs for children ages 5-13 are commonly known as neighborhood recreation programs. The requirements for exemption as a neighborhood recreation program are listed in 26 TAC §745.129(1), under Exempt Miscellaneous Programs.

Programs that do not meet all of the requirements to be exempt as a neighborhood recreation programs may meet the requirements to be exempt as a school-age program. A school-age program is a child care facility that provides supervision, recreation, and skills instruction or training, before or after the customary school day, for at least two hours a day, three days a week, to children attending prekindergarten through grade six. A school-age program may also provide transportation and may operate during school holidays, the summer period, or any other time when school is not in session.

If, after determining that a program is not exempt, CCR staff believe that the program would more appropriately be licensed by DSHS, CCR staff:

  • may recommend that the operation apply for a license from DSHS; and
  • request that the program send confirmation that its application was sent to DSHS within 14 calendar days of contacting CCR.

If CCR staff believes that CCR must regulate the program, and no confirmation about a DSHS license has been received, or the program cannot be determined to have the characteristics of a youth camp, CCR staff proceed with the application process for a permit from CCR.

CCR staff do not officially determine that a program is exempt from HHSC regulation, unless:

  • the program is already licensed by DSHS; or
  • the program can show proof of application for a DSHS youth camp license within 14 calendar days from the date that the CCR representative contacted the program.

4. Can a program that holds a current license from CCR request a youth camp license from DSHS?

No. DSHS does not issue a license to an operation that holds a current license from HHSC CCR.

5. Since CCR may issue a license to some but not all of an operation’s programs (such as issuing a license for after-school care only), can DSHS issue a youth camp license to some but not all of an operation’s programs?

No. If DSHS issues a youth camp license to the operation, then all of the programs at the operation are exempt from regulation by CCR. Under Human Resources Code §42.041(a)(5), a youth camp licensed by DSHS is exempt from regulation by CCR. So, if DSHS issues a license to an operation for a youth camp, even though the operation includes programs that constitute child care and have no characteristics of a youth camp, CCR cannot regulate any of the operation’s programs.

B. Educational Exemptions for Charter Schools

1. Are charter schools exempt from licensure by CCR?

Yes, charter schools are exempt from licensure by CCR.

2. Is an after-school program that is operated by a charter school exempt from regulation by CCR?

Yes, an after-school program that is operated by a charter school is exempt from regulation by CCR. The Texas Education Agency (TEA) has authority to grant a charter for operation to a school or may authorize a school district to grant the charter.

3. Is an after-school program that is operated by the contractor of a charter school exempt from regulation by CCR?

Yes, an after-school program operated by a contractor for a charter school is exempt from CCR if it demonstrates that it is using TEA approved curriculum content for all the children it serves.

4. Is a charter school exempt from regulation by CCR if it offers more than one program at the same location (for example, offering first grade along with after-school care)?

Just as with school districts, child care programs that are operated by a school district or charter school for children younger than three years are subject to regulation by CCR. If the various programs offered operate separately from each other, CCR exempts only those that qualify for an exemption. If the programs do not operate separately from each other, CCR regulates all of them.

To demonstrate that its programs are separate, a school must meet the criteria for defining whether programs are separate, as described in 2340 Exempt Programs That Operate in the Same Locations as Regulated Operations.

5. May an after-school program exempt from regulation by CCR offer care on school holidays and staff in-service days?

Yes, an after-school program may offer part or full day care on school day holidays and staff in-service days as long as the program is operated by a school district or charter school and the dates are within the designated school year.

6. How do CCR staff determine the designated school year?

Each school/school district publishes a calendar that outlines school days, school holidays, and staff in-service days. School holidays and staff in-service days are considered to be within the designated school year as long as these days are specified in writing on the school calendar.

C. Collaborative Programs – Head Start and Prekindergarten

CCR staff use the following guidelines when determining whether to license a Head Start program:

1. Is an operation that combines subsidized programs, such as Head Start and prekindergarten, exempt from regulation by CCR?

An independent school district is exempt from regulation by CCR, if it:

  1. operates either a Head Start program or combined program that offers Head Start and prekindergarten; and
  2. meets all of the exemption criteria in 26 TAC §745.119(1).

The program is not exempt from regulation if it also receives public funding that requires an operation to be licensed by CCR in order to receive the public funding; for example, an operation that receives public funding for child care management services (CCMS).

To determine who operates a program, CCR staff ask who is responsible for hiring, supervising, and firing staff?

Head Start programs and early care and education operations that do not meet the exemption criteria in 26 TAC §745.119(1) must be licensed and regulated by CCR.

D. Miscellaneous Questions and Answers

1. If a facility is sold to a buyer who plans to open an educational program (for example, a Montessori school for children who are 4 to 5 years old), and the buyer is not subject to regulation, must the buyer still complete an exemption request form?

Yes. An operation cannot make its own determination about being regulated or exempt from regulation. Having information about the new program on the exemption request form provides CCR staff with useful information about the new facility and helps CCR staff determine whether or not it is exempt from regulation by CCR.

2. Are court-ordered children’s exchanges (domestic relations offices) exempt?

The visitation services provided by a domestic relations office or its contractor do not fit the CCR definition of child day care, so CCR neither regulates them nor exempts them from regulation. Provisions for domestic relations offices and their contractors are covered in the Texas Family Code, §203.004(a)(11).

3. Are the healthy snack programs, administered by the Food and Nutrition Division of the Texas Department of Agriculture, exempt?

Most healthy snack food programs do not fit the CCR definition of child day care, so CCR neither regulates them nor exempts them from regulation.

Among the centers that do fit the definition, those that operate for fewer than two hours a day are not required to obtain an exemption or complete an exemption determination form.

Centers that operate for two hours or more a day are required by the Texas Department of Agriculture Food and Nutrition Division to:

  • obtain an HHSC license or proof of exemption; or
  • modify their hours to operate for fewer than two hours a day.

4. When should CCR inspect a program requesting an exemption?

If necessary, CCR staff should inspect the program to observe the following prior to making a determination:

  1. activities;
  2. hours of operation;
  3. ages of the children in care; and
  4. any other factor related to the type of exemption requested.

Appendix 2000-4 Decision Guide: Is the Care Being Provided Subject to Regulation?

March 2015

 

To determine whether child care is subject to regulation, Licensing staff review each of the following sections:

Child Day Care Provided at a Caregiver’s Home

Child Day Care Provided at a Location Other Than the Caregiver’s Home

Determining Whether Care Provided Is Subject to Regulation as a Residential Child Care Facility

Evaluating Child Placing Services

Evaluating Boarding Schools

Exemptions for All Other Residential Operations

Child Day Care Provided at a Caregiver’s Home

Regular care is care that is provided for at least four hours a day, three or more days a week, for three or more consecutive weeks or for four hours a day for 40 or more days in a period of 12 months.

“Children related to the caregiver” means:

  • children who are the caregiver’s children, stepchildren, grandchildren, great-grandchildren, brothers, sisters, stepbrothers, stepsisters, nieces, or nephews;
  • a relationship between the child and caregiver that was created by court decree (such as adoption); or
  • any combination of the above. See HRC §42.002(16).

To determine whether child day care that is provided at the caregiver’s home is subject to regulation, Licensing staff consider the following:

  1. Does the caregiver provide regular care in the caregiver’s own home for children whose ages range from birth through 13 years?
    • If yes, see step 2.
    • If no, the care is not subject to regulation.
  2. Are all of the children related to the caregiver?
    • If yes, the care is not subject to regulation. (Some providers who care for related children may list with HHSC and therefore be subject to Licensing's regulation as provided by HRC §42.0523, but these providers would not be illegal operations if they did not volunteer to be regulated.)
    • If no, see step 3.
  3. Does the caregiver provide care for four or more unrelated children?
    • If yes, the care is subject to registration or may be licensed as a child care home.
    • If no, because there are three or fewer children in care, see step 4.
  4. Does the caregiver receive compensation for providing care to the children?
    • If yes, the care is subject to regulation as a listed home.
    • If no, the care is not subject to regulation.

See:

Texas Human Resources Codes, §42.002(9)(16)(17) and §42.052(c)(d)

Texas Administrative Code, Chapter 745, subchapters B and C

Child Care Licensing Policy and Procedures Handbook, Section 2000 Handling Inquiries About the Licensing Process and Exemptions

Child Day Care Provided at a Location Other Than the Caregiver’s Home

To determine whether child day care, or a plan for child day care, is subject to regulation, Licensing staff consider the following:

  1. Is the care provided outside of the caregiver’s home?
    • If yes, see step 2.
    • If no, see Child Day Care Is Provided at a Caregiver's Home, above.
  2. Are the children in care for more than two days a week?
    • If no, the operation is not subject to regulation and there is no need for further evaluation.
    • If yes, see step 3.
  3. Is the care provided, or expected to be provided, for three or more consecutive weeks?
    • If no, the operation is not subject to regulation and there is no need for further evaluation.
    • If yes, see step 4.
  4. Are all of the children related to the caregiver? “Children related to the caregiver” means children who are the caregiver’s children, stepchildren, grandchildren, great-grandchildren, brothers, sisters, stepbrothers, stepsisters, nieces, or nephews; a relationship between the child and caregiver that was created by court decree (such as adoption); or any combination of the above. See HRC §42.002(16).
    • If yes, the operation is not subject to regulation and there is no need for further evaluation.
    • If no, the operation is subject to licensure. Also, consider the operation for possible exemption.

Determining Whether Care Provided Is Subject to Regulation as a Residential Child Care Facility

To determine whether the child care provided is subject to regulation as a residential child care facility (including a child-placing agency), Licensing staff ask the following question:

Are all of the children related to the caregiver? “Children related to the caregiver” means children who are the caregiver’s children, stepchildren, grandchildren, great-grandchildren, brothers, sisters, stepbrothers, stepsisters, nieces, or nephews; a relationship between the child and caregiver that was created by court decree (such as adoption); or any combination of the above. See HRC §42.002(16)

  • If yes, the operation is not subject to regulation and there is no need for further evaluation.
  • If no, Licensing staff evaluate further to determine whether the operation is subject to regulation or exempt from regulation.

Evaluating Child Placing Services

A program that brings birth mothers and prospective adoptive parents together, but does not arrange the adoption, is not considered to be making plans for a placement. Such programs are not subject to regulation as long as the program:

  • does not receive compensation for its services; and
  • does not conduct child placement activities.

Child placing agencies located in Texas that provide only international adoption services are subject to Licensing’s regulation when placing a child with a Texas family.

Licensure by Another State Agency

Licensure by another state agency to provide medical care does not exempt a facility from the need to be licensed as a child placing agency, if child placing activities are being conducted.

Evaluating Boarding Schools

An accredited educational program or operation for grades pre-kindergarten and above is exempt from regulation by Licensing, if all of the following are true:

  1. The educational operation operates primarily for educational purposes.
  2. The educational operation operates the program.
  3. All children in the program are at least pre-kindergarten age (three or four years).
  4. The educational operation or program is accredited by the Texas Education Agency (TEA), the Southern Association of Colleges and Schools (SACS), or the Texas Private School Accreditation Commission (TEPSAC). Being in the process of applying for accreditation or having applied for accreditation does not constitute accreditation.
    For information on an individual school’s accreditation status, visit AskTED for the Texas Education Directory (TED), or TEPSAC for access to the TEPSAC directory.
  5. The parents retain primary responsibility for financial support, health problems, or serious personal problems of the students.
  6. The residential child care is provided solely for the purpose of facilitating a student’s participation in the educational program and does not exist apart from the educational aspect of the facility.

Exemptions for All Other Residential Operations

The following are exempted from regulation as a residential child care facility:

  1. A facility operated on a federal installation, including military bases and Indian reservations, is exempt.
  2. The following state-operated programs:
    1. A juvenile detention facility certified under §261.405, Texas Family Code, or a juvenile facility providing services solely for the Texas Juvenile Justice Department or any other correctional facility for children that is operated or regulated by another state agency or by a political subdivision of the state.
    2. A treatment facility or a structured program for treating chemically dependent persons that is licensed by the Texas Department of State Health Services.
    3. A youth camp licensed by the Texas Department of State Health Services.
    4. A youth camp exempt from licensure by the Texas Department of State Health Services under §141.0021, Health and Safety Code, because it is:
      1. operated by or located on the campus of an institution of higher education, as defined in §61.003(8), Education Code, or a private or independent institution of higher education, as defined in §61.003(15), Education Code; and
      2. regularly inspected by at least one local governmental entity for compliance with health and safety standards.
  3. Programs of limited duration:
    1. A short-term program, if the program:
      1. operates no more than 11 weeks during the year;
      2. provides care only for children who are at least five years old and younger than 14 years old; and
      3. is not a part of an operation subject to regulation by HHSC Licensing.
    2. A religious program, if it is:
      1. an ongoing program of religious instruction, such as Sunday school or weekly catechism; or
      2. a religious program that lasts two weeks or less.
    3. A respite care program, if:
      1. the program provides residential child care on weekends or for a short time;
      2. the care is planned;
      3. the program does not provide care for more than 40 days per year; and
      4. the program is not a part of an operation subject to regulation by Licensing.
    4. A foreign exchange or sponsorship program, if the children in the program:
      1. entered the United States on a time-limited visa;
      2. are living in the home of a person they are not related to; and
      3. are under the sponsorship of the person with whom they are living, or are under the sponsorship of some organization.
    5. An arrangement between friends, if:
      1. the caregiver is friends with the parents of the child;
      2. the purpose of the arrangement is to provide temporary residential child care for one child or a sibling group; and
      3. the care does not exceed 40 continuous days or 150 total days in a calendar year.
  4. Miscellaneous programs:
    1. A caregiver providing residential care, if all of the following are true:
      1. There is only one unrelated child or sibling group.
      2. The caregiver had previously known the children or family of the children.
      3. The caregiver does not receive compensation or solicit donations for the care of the child or sibling group.
        Compensation is anything of value, beyond the child’s normal expenses, that is received by the caregiver from the parent in exchange for care of the child. Compensation does not include reimbursement for the normal expenses associated with caring for a child, including Medicaid payments, insurance benefits, or other governmental benefits or assistance.
      4. The caregiver has a written agreement with the parent to care for the child or siblings.
    2. An emergency shelter for minors, as defined by §101.003, Texas Family Code, must meet the following:
      1. The purpose of the shelter is to provide shelter or care to a minor and the minor’s child or children if any.
      2. The shelter provides care for the minor and the minor’s child or children only when there is an immediate danger to the physical health or safety of the minor’s child or children.
      3. The shelter does not provide care for more than 15 days, unless the minor consents to shelter or care to be provided to the minor or the minor’s children and is:
        1. 16 years of age or older, resides separate and apart from the minor’s parent, and manages the minor’s own financial affairs; or
        2. unmarried and is pregnant or is the parent of a child; or
        3. has qualified for Temporary Assistance for Needy Families (TANF) and is on the waiting list for housing assistance; and
        4. Licensing staff have received written confirmation on the items listed in this section.
    3. A caregiver caring for a child placed by DFPS when all of the following are true:
      1. The caregiver has a longstanding and significant relationship with the child.
      2. DFPS is the managing conservator of the child.
      3. DFPS placed the child in the caregiver’s home.
    4. Emergency shelter care for human trafficking victims:
      1. may not otherwise operate as a child care facility that is required to have a license from HHSC;
      2. is operated by a nonprofit organization;
      3. provides shelter and care for no more than 15 days to alleged victims of human trafficking as defined in Penal Code §20A.02, who are 13-17 years old; and
      4. is located in a municipality with a population of at least 600,000 that is in a county on an international border, and:
        1. is licensed by, or operates under an agreement with, a state or federal agency to provide shelter and care to children; or
        2. is a family violence center that meets the requirements listed under Human Resources Code §51.005(b)(3), as determined by the Health and Human Services Commission.

Appendix 3000 Notifying the Operation and Types of Governing Bodies

May 2020

 

Appendix 3000-1 Notifying the Operation

May 2020

 

Use the following chart to determine whom to notify in the following situations:

Situation Director, Administrator, or Person in Charge Applicant, Designee, or Permit Holder Child Day Care Only:
Head of Governing Body, such as CEO or Board Chair
Controlling Person
Results of an inspection Always Always If enforcement action imposed
OR
If requested on Form 2911 Child Care Licensing Governing Body/Director Designation
 
Receipt of a report of possible deficiency with minimum standard rules*

 

(verbal notification is acceptable)

Always* During the application or initial period
OR
If allegations are classified as P1 or P2
If allegations are classified as P1 or P2
OR
If requested on Form 2911 Child Care Licensing Governing Body/Director Designation
 
Results of an investigation Always Always If violations were classified as P1 or P2
OR
If enforcement action imposed
OR
If requested on Form 2911
 
Receipt of relevant criminal history (verbal notification is acceptable) Always Within 14 days, if this is the person responsible for hiring staff    
Receipt of Central Registry match (verbal notification is acceptable) Always If this is the person responsible for hiring staff:
Immediately, if presence of person presents a risk
OR
After release hearing is offered and refused
OR
After release hearing is held and findings upheld
   
Enforcement action taken against the operation Always Always Always Always

* Child Care Regulation (CCR) staff must inform the applicant or permit holder of the nature of the allegations by the next workday following the first on-site investigation, unless there is reason to believe that the investigation may be compromised. If it appears the investigation may be compromised, CCR staff may postpone explaining the nature of the allegations. CCR staff must inform the appropriate persons of the nature of the allegations as soon as it is decided that our doing so will not compromise the investigation. See 40 TAC §745.8443.

 

Appendix 3000-2 Types of Governing Bodies

May 2020

 

The chart below lists the types of governing bodies that an applicant for a permit may be.

Type of Governing Body Definition
Association A combination of individuals and interests of some kind without a tax-exempt status from the IRS. Not organized under the Texas Business Organizations Code.
Corporation An intangible entity created by individuals to operate for profit but to limit individual liability. Organized according to the Texas Business Organizations Code or similar act of another state as evidenced by the corporation’s Certificate of Formation.
Limited Liability Company (LLC) An entity organized and existing in accordance with the Texas Limited Liability Company Act. The secretary of state has authority over the formation and existence of LLCs.
Limited Liability Partnership A partnership that registers with the secretary of state as a limited liability partnership as allowed in the Texas Revised Partnership Act. This status limits the range of a partner’s personal liability for the debts and obligations of the partnership.
Nonprofit Association with Religious Affiliation A combination of individuals and interests of some kind, synonymous with society, with operations devoted to religious purposes. Not organized under the Texas Business Organizations Code. Operated by, responsible to, or associated with an organization of individuals devoted to religious purposes. Does not include those whose relationship with a religious organization is only for business, such as those who only lease space.
Nonprofit Corporation Equivalent of not for profit corporation. None of the income is distributed to members, directors, or officers. Organized under the Texas Business Organizations Code.
Nonprofit Corporation with Religious Affiliation An entity with nonprofit corporation status operated by, responsible to, or associated with an organization of individuals devoted to religious purposes. Does not include those whose relation with a religious organization is only for business, such as those who only lease space.
Nonprofit Association A combination of individuals and interests of some kind, synonymous with society, with operations devoted to charitable, benevolent, religious, patriotic, or educational purposes, not organized under the Texas Business Organizations Code.
Partnership A combination by contract of two or more people who use their money, labor, and skill to carry on a continuing business, dividing the profits and sharing the losses in an agreed manner. Includes general and limited partnerships.
Political Subdivision Includes any city, county, school district, junior college district, public health district and any political entity that is operated by and under the jurisdiction of a government unit that has distinct geographical barriers within the state of Texas, and is defined in part by its geographical area.
Sole Proprietorship Personal ownership with the legal right and responsibility to possess, operate, sell and otherwise deal with the operation. A sole proprietorship is just one person. Before Feb. 1, 2004, a sole proprietorship could include an operation owned in common by a husband and wife. A license issued to a husband and wife as a sole proprietorship before Feb. 1, 2004, may remain as a sole proprietorship until revoked or surrendered.
State-operated Operated by, under the direct jurisdiction of, and responsible to an agency of the state of Texas.

Appendix 4000 Reserved for Future Use

May 2020

Appendix 5000 Administrative Actions

Appendix 5000-1 Reviewing Waiver and Variance Requests

 

 

Appendix 5000-1A Guidance on Reviewing Day Care Waiver or Variance Requests

January 2013

 

The sub-items below relate to common waiver and variance requests. The sub-items provide guidance regarding what types of documentation may be needed and what information to consider when evaluating a waiver or variance request.

5000-1A.1 Director Qualifications for Licensed Child Care Centers, School Age Programs, and Before or After School Programs

5000-1A.2 GED or High School Diploma

5000-1A.3 Working Phone with a Listed Number

5000-1A.4 No Fence Around Playground or Yard

5000-1A.5 No Hand-Washing Sink in the Diaper-Changing Area

5000-1A.6 Shared Space

5000-1A.7 Indoor Equipment Soft Contained Play Equipment (SCPE)

5000-1A.8 Sprinkler Play

 

5000-1A.1 Director Qualifications for Licensed Child Care Centers, School Age Programs, and Before or After School Programs

September 28, 2018

 

Documentation Considerations
Transcripts of college courses (may also need course descriptions from college catalogs or course syllabi) Evaluate courses for relevance to the minimum standard that is the subject of the waiver or variance request.
For a waiver or variance to be approved, the applicant or designee for a director position must have at least one-half of the education, training, and experience requirements, unless:
  • the person is seeking to be a site director at a Before or After School Program (BAP) or School Age Program (SAP), which care for school-age children for shorter periods of time; or
  • granting the waiver or variance would result in a licensed child care center (one that currently shares its director with another center) having its own director.
Training logs or certificates Evaluate for relevance to child development or management requirements. Conversion:
50 clock hours = 5 CEUs = 3 SCHs
CEUs (continuing education units)
SCHs (semester credit hours)
Personal History Statement, Form 2982 Evaluate work experience. Count the years the person has worked at a licensed operation, exempt operation regulated by some other entity, or public or private accredited school where teaching experience for primary grades (Pre-K - 3) was obtained.

 

 

Other Factors Considerations
Size of operation Recognize large operations need and should be able to afford a fully qualified director.
Overall compliance history of the operation Understand an operation with a good compliance history has different needs in a director than a new operation or one with ongoing compliance issues.
Other waivers or variances requested
  • Does the operation already have several waivers or variances in effect or are there only a few?
  • How many of the operation’s previous directors required a waiver or variance for director’s qualifications?

Conditions

Licensing staff must be able to monitor and enforce the conditions. Licensing staff must specify exactly what is needed to meet minimum standards and a timetable or plan for achieving it. Consequently, the operation documents progress toward meeting the applicable standard and makes the documentation available for Licensing’s review.

Example

The director must complete six college credit hours of Business Management. The operation must provide proof of enrollment in courses to your Licensing representative and proof of successful completion before the expiration date of this waiver or variance. Business Management includes any administrative or supervisory course and may include a child development course, which is in administration of a child care operation. Accounting, goal and objective setting performance, planning and evaluation, and so on, all count towards business credit. This variance applies only to [insert name of director] while working towards compliance with the standard.

Documentation in CLASS in Director/Administrator Section

Circumstance Where and How to Document
A designated director of a licensed child care center In the How DC Director Qualified field select “Waiver Variance Requested”
A second director of a licensed child care center In the How DC Director Qualified field select “Waiver Variance Requested”
Any type of director of a before or after-school program or a school-age program Leave the How DC Director/Site Director Qualified field blank

 

5000-1A.2 GED or High School Diploma

November 2008

 

Documentation Needed Considerations
Enrollment in a GED study program (or 18 years of age and in a high school child development program such as HECE) This is the minimum education requirement; all caregivers and employees should meet the standard. Are they working at passing the test or just planning on taking and retaking the tests over time?
Other situations where person has shown ability (other courses taken, jobs held) Have they met the requirement in another way?
Situation person is working in Registered Child Care Home, Licensed Child Care Home, or Licensed Child Care Center
  • Registered Child Care Home Provider is the only caregiver and so must be able to take care of emergencies, etc., even while working toward GED.
  • Licensed Child Care Home Qualified employees can supervise employees (director should not be waived under most circumstances).
  • Licensed Child Care Center Employee is just one of several adults who can assure safety of children.
Person is 60 years of age or older A variance may be granted for three years. The person may choose to work toward meeting the requirement or obtain five additional hours of annual training each year. After the three years, the person may no longer be counted in ratio, unless they meet the minimum requirement.
Compliance history of operation; other waivers in effect?
  • Are they having problems maintaining compliance?
  • Is there a pattern of hiring unqualified employees?
  • How many employees have a GED waiver (small vs. large program should have different limits on unqualified employees).
  • Is the director also unqualified?

Conditions

Licensing staff must be able to monitor and enforce conditions. The caregiver must show progress toward meeting the standard (course attendance, proof of taking tests and completion of GED or high school), and this must be documented for review by Licensing.

Employees 18 years of age and in high school but not in a work-study program should not be counted in the child caregiver ratio unless another qualified adult not counted in ratio is present and available to assist. Licensing staff should consider additional training hours.

Example

This variance pertains only to [insert name of person] while he or she works toward compliance with the standard. [Insert name of person] will attend and participate in GED classes and take the GED examination. Progress for the GED must be maintained and be documented for review by your Licensing representative. The operation must submit proof of successful completion of the GED to the Licensing representative no later than [insert date]. This variance will not be renewed.

 

5000-1A.3 Working Phone with a Listed Number

November 2008

 

Documentation Needed

The caregiver must be able to respond quickly in an emergency and parents must be able to easily access the caregiver by phone during all hours of business.

Considerations

  • Is the operation an after-school program serving school-aged children in a public school building that does not have a listed phone number?
  • Are operations under the auspices of the same governing body and/or ownership?
  • Are operations in more than one location?
  • Does the governing body have a central location to ensure all incoming calls are immediately routed to the correct operation?
  • Is this a temporary situation and if so, for how long?
  • Is this a temporary situation and if so, for how long?
  • Is the primary caregiver of a registered or licensed child care home working toward compliance with the standard?
  • Does the caregiver have a plan for emergency use of a nearby telephone while continuing to ensure the supervision of children?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that operation’s compliance (following plans, assuring safety, and so on) can be monitored.

Example

The governing body (or RFH caregiver) submits a plan to Licensing staff outlining its procedures for insuring immediate access to a telephone located in the building for outgoing calls. Parents must sign a written statement indicating the operation has no phone on the premises, and give directions on how the parent is to reach the operation in an emergency. This letter must be posted next to the permit.

 

5000-1A.4 No Fence Around Playground or Yard

November 2008

 

Documentation Needed

  • Drawings with measurements
  • Photos of the area
  • Outdoor floor plan
  • Description, photos or video of surrounding areas

Considerations

  • Can children be supervised adequately enough to assure their safety?
  • Are there things (temporary barriers, and so on) that can be effectively used to enclose the area?
  • Is there an absence of hazards (traffic, ditches, creeks, and so on) immediately surrounding the area?
  • Is there a limit on the amount of time the area will be unfenced (such as, while they build a new playground, or get enough money for a fence)?
  • Is the operation in a public school building?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should specify what steps the operation will take to assure the children’s safety. The expiration date of the waiver should allow for assessment of changing conditions (such as an increase in traffic in a previously rural area) or agreed-on date of compliance.

Example

The director must ensure employees follow plan to place cones out for psychological boundaries before children go outside. Two employees in addition to the regular child caregiver ratio must supervise children while outside.

The operation must be able to show progress toward installation of a fence no later than three weeks before expiration of the waiver. The fence must be installed and ready for use by the expiration date of this waiver or variance. This waiver or variance will not be renewed.

 

5000-1A.5 No Hand Washing Sink in the Diaper Changing Area

November 2008

 

Documentation Needed

  • Drawings of floor plan with measurements or photos
  • Written plan that answers considerations

Considerations

  • What is the operation’s plan for ensuring caregivers wash hands after each diaper change?
  • Is there an economic reason for having no sink?
  • What is the operation’s plan for ensuring that all children are supervised at all times?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should specify what steps the operation will take to assure the children’s health and supervision and that the minimum standard must be met by the expiration date of the variance.

Licensing staff must observe hand washing and diaper changing procedures.

Example

Two employees must be present in any room where children are in diapers at all times to ensure that diapers are changed promptly, hands are washed after each diaper change, and children are supervised at all times.

 

5000-1A.6 Shared Space

November 2008

 

Documentation Needed

  • Drawings of floor plan with measurements or photos
  • Documentation regarding what other program uses space during hours of operation
  • Written plan that answers considerations

Considerations

  • Is the operation in a public school building?
  • What is the operation’s plan for preventing children from mixing freely with others?
  • What is the operation’s plan if they have to move to an alternate space?
  • What is the operation’s plan for ensuring that all children are supervised at all times?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should specify what steps the operation will take to assure the children’s health and supervision.

Example

Children enrolled in the program must not mix freely with children and adults not enrolled in the program. The activity areas for the two programs should be separated at all times. Staff must escort children to and from the bathroom facilities. Staff must check the bathrooms to make sure they are empty before allowing children from the program to enter.

 

5000-1A.7 Sprinkler Play

September 28, 2018

 

Documentation Needed

  • Drawings of area with measurements or photos
  • Written plan that answers considerations

Consideration

  • What is the operation’s plan for ensuring the children’s health and safety?
  • What is the operation’s plan for ensuring that all children are supervised at all times?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should specify what steps the operation will take to assure the children’s health and supervision and should be clearly stated so that the operation’s compliance can be monitored.

Example

Children must wear rubber-soled water shoes when participating in sprinkler play. Children must not be allowed to run when participating in sprinkler play. No climbing equipment or chairs may be present on or around the water play area. The group size will not exceed 12 children using the water park or sprinkler area. The caregiver to child ratio must be maintained to provide adequate supervision.

 

Appendix 5000-1B: Guidance on Reviewing Residential Child Care Waiver or Variance Requests

March 2002

 

When assessing the following types of waiver or variance request, certain information should be considered, along with sufficient documentation to verify information when appropriate.

See:

5000-1B.1 GED or High School Diploma

5000-1B.2 Extending a Child’s Stay

5000 1B.3 Medical Exam Within 30 Days

5000-1B.4 Foster Home Ratios

5000-1B.5 Children Younger Than Five Years in a Foster Group Home

5000-1B.6 Children of the Opposite Sex Sharing a Bedroom

 

5000-1B.1 GED or High School Diploma

November 2008

 

Documentation Considerations
School enrollment or enrollment in a GED program How close is the person to completing the educational requirements?
Other relevant work, training or course experience How much experience does the person have?
Type of job responsibilities, environment and operation the person will be working in
  • Will the person have adequate supervision and support?
  • Will the person have adequate training to work with the child population?
  • Will the person have adequate training to meet the job responsibilities?
  • Will the training be given prior to being left alone with children?
Compliance history of the operation
  • Is the operation having trouble meeting standards?
  • Is there a pattern of hiring unqualified employees?
  • Is the administrator or any other key person in the operation also unqualified?
  • How many employees have a GED or high school variance?
  • What is the size and location of the operation (smaller operations and operations in smaller communities may have different limits on unqualified staff)?

Waiver or Variance Considerations

Licensing staff must be able to monitor and enforce conditions. Documentation must specify what steps will be taken toward meeting educational requirements. Course attendance, documentation proving successful completion of GED tests, and earning a GED or high school diploma must be available for review by Licensing.

Example

The variance pertains only to [insert name of person] while he completes the remaining two out of three GED exams to meet compliance with minimum standards. Documentation of his GED class enrollment and successful completion of the GED program must be maintained in the personnel record. [Insert name of person] must submit proof of successful completion of the GED to the Licensing representative no later than two months from this date. The variance will expire on [insert date].

 

5000-1B.2 Extending a Child’s Stay

November 2008

 

Documentation Needed

  • Reason for need to extend the child’s stay

Consideration

  • Is this in the best interest of the child?
  • Are there other viable options?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that the operation’s compliance can be monitored.

Example

This variance only applies to Child A for this placement. The variance expires when Child A is discharged or by [insert date], whichever occurs sooner. The operation will maintain contact with Licensing regarding the status of the potential placement plans.

 

5000-1B.3 Medical Exam Within 30 Days

November 2008

 

Documentation Needed

  • Reason additional time is requested

Considerations

  • Does the child have any special health needs?
  • What is the child’s age?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that the operation’s compliance can be monitored.

Example

This variance only applies to [insert child’s first name and the last name’s initial] in the home of [insert names of caregivers]. The child must receive medical care as needed for illness or injury. This variance expires [insert date] or when a medical exam has been obtained for the child, whichever is sooner.

 

5000-1B.4 Foster Home Ratios

November 2008

 

Documentation Needed

  • Reason for request

Considerations

  • What is the operation’s compliance history?
  • Is there support available for the foster parents?
  • What is in the best interest of the child?
  • Is the child related to one or more other children in care?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that the operation’s compliance can be monitored.

Example

This variance only applies to [insert child’s first name and the last name’s initial] in the home of [insert names of caregivers]. Arrangements for respite will be made if the foster parents feel they need it. The CPA will conduct monthly home visits while the variance is in effect. The CPA must provide services in accordance with the Minimum Standards for Child-Placing Agencies.

 

5000-1B.5 Children Younger Than Five Years in a Foster Group Home

November 2008

 

Documentation Needed

  • Reason for request

Considerations

  • What is the operation’s compliance history?
  • Is the child related to one or more other children already in care?
  • What is in the best interest of the child?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that the operation’s compliance can be monitored. Licensing staff may consider reducing the home’s capacity while the variance is in effect.

Example

This variance only applies to [insert child’s first name and the last name’s initial] in the home of [insert names of caregivers]. The variance expires when the child is adopted or otherwise discharged or on [insert date], whichever is sooner. No additional placements may be made while the variance is in effect.

 

5000-1B.6 Children of the Opposite Sex Sharing a Bedroom

November 2008

 

Documentation Needed

  • Reason for request

Considerations

  • What is the operation’s compliance history?
  • Do one or more of the children have identified special needs?
  • What is in the best interest of the children?
  • What are the ages of the children the request is for?
  • Are the children related?

Conditions

Licensing staff must be able to monitor and enforce conditions. Conditions should be stated so that the operation’s compliance can be monitored.

Example

This variance only applies to [insert child’s first name and the last name’s initial] in the home of [insert names of caregivers]. The home will develop and follow a written plan for supervision.

 

Appendix 5000-2 Licensing Fees

February 2020

 

The table below describes Licensing fee invoicing. This includes when an invoice is created, payment is due and consequence for not paying a fee on time. For further information, see 5200 Fees.

Fee Invoice Type When and How Invoice is Generated When Fee Payment is Due Consequence if an Operation Fails to Meet Time Frames
Application For an e-Application, CLASS generates the invoice at the time the applicant submits the e-Application.

For a paper application entered into CLASS, CLASS generates the invoice after saving the operation’s Main page for the first time.
Application acceptance date. Return application as incomplete.
Initial license The inspector generates the invoice after accepting the application and before issuing the initial license. Before issuance of initial license. Do not issue initial license.
Initial renewal The inspector generates the invoice when the inspector determines a full license cannot be issued. Before issuance of the renewed initial license. Do not renew initial license.
Full license The inspector generates the invoice when the operation is eligible for a full license. Before issuance of a full license. Denial, if the fee is not paid by the expiration date of the initial or renewed initial license.
Annual fee CLASS generates the invoice to the operation 35 days before the anniversary date of the full permit. Anniversary date of the issuance of a full permit. Automatic suspension, if the fee is not paid by the anniversary date.

Automatic revocation, if the fee is not paid within six months after the automatic suspension begins.
Capacity Increase CLASS generates the invoice when the inspector approves the operation’s request to increase capacity. Before the amended permit is issued. No increase in capacity.
Background check CLASS generates the invoice at the beginning of each quarter. On a quarterly basis. Possible suspension or revocation of the permit.

 

Appendix 5000-3 Invoice Cancellation Reasons

February 2020

 

The chart below outlines which invoices may be canceled, the cancellation options for each, and who may cancel the invoice.

Invoice Type Possible Cancellation Reasons Who May Cancel
Application Fee Invoice Operation is Exempt
  • Program Administrator
  • District Director
Annual Fee Invoice Operation is Exempt
  • Program Administrator
  • District Director
Background Check Fee Invoice Operation is Exempt
  • Program Administrator
  • District Director
Initial Permit Fee Invoice Operation is Exempt or
Created in Error
  • Inspector
  • Supervisor
  • Program Administrator
  • District Director
Initial Permit Renewal Fee Invoice Operation is Exempt or
Created in Error
  • Inspector
  • Supervisor
  • Program Administrator
  • District Director
Full Permit Fee Invoice Operation is Exempt or
Created in Error
  • Inspector
  • Supervisor
  • Program Administrator
  • District Director
Capacity Increase Fee Invoice Operation is Exempt or
Created in Error
  • Inspector
  • Supervisor
  • Program Administrator
  • District Director

 

 

Appendix 6000 Investigations

Appendix 6000-1 Investigator Time Frames for Investigations

May 2020

 

Use the table below to determine when certain actions must be completed after SWI or the local CCR office receives the intake report.

All days are calendar days. Supervisors may require shorter time frames on certain investigations, based on the risk to children. Investigators document all investigation activities on the same day that the activities occur, or on the following day.

For further information, see 6200 Receiving, Assessing and Processing Intake Reports.

Action Priority 1 (P1) Intakes Priority 2 (P2) Intakes Priority 3 (P3) Intakes Priority 4 (P4) Intakes Priority 5 (P5) Intakes
Initiation of the investigation Within 24 hours Within 5 days Within 15 days N/A Within 5 days
Inspection at operation Within 15 days Within 15 days Within 30 days Within 45 days for CPA Internal Investigations
Within 30 days for all other types of investigations
N/A
Complete the investigation Within 30 days Within 30 days Within 60 days Within 60 days Within 60 days
Investigations: Complete the documentation The same day the investigation is completed The same day the investigation is completed Within 60 days Within 60 days Within 60 days
Finalize and mail the notification letters to the operation and, if applicable, the reporter The same day the investigation is completed The same day the investigation is completed Within 60 days Within 60 days Within 60 days

 

Appendix 6000-2 Worker Safety

September 28, 2018

 

Staff safety is one of the most important factors in any investigation or inspection. CCL staff must immediately leave any situation they feel is unsafe.

If a provider or another person shows any signs of physical or verbal hostility or aggression, staff should immediately leave the operation and not return unless and until circumstances indicate that returning to the operation would not pose a safety threat. Attempting to continue an investigation or inspection in these situations can escalate an unsafe situation. 

A coworker or supervisor should accompany staff on a return attempt to inspect or investigate the operation. If verbal or physical signs of hostility or aggressive behavior continue to be present, staff consult with their supervisor. If staff must return to complete necessary interviews or inspections, staff may contact law enforcement in order to ensure safety during the completion of the inspection or investigation. They may also contact Child Care Licensing Legal Services about getting a court order to assist the investigation. See Human Resources Code §42.04412.

No law, policy, or local procedure requires CCL staff to enter or remain in a dangerous situation.

The following best practices are steps that can be taken to help ensure worker safety in the field when conducting inspections and investigations:

  1. Conduct team inspections if the operation is located in an area with a high rate of crime or if the inspection is conducted at night.
  2. Upon arriving at the operation, ask the provider who else is in the operation at the time of the inspection.
  3. Upon arriving at the operation, ask the provider to describe or show you the layout of the operation.
  4. Ask the provider to lead the way during an inspection.
  5. Update your Outlook calendar before each inspection or investigation activity with the operation name, operation number and your location (e.g., operation, school, or off-site meeting location).
  6. Take your state-issued phone with you to all inspections and investigation activities. 
  7. Enter your supervisor’s phone number on speed dial.
  8. Identify an agreed upon strategy with your supervisor for emergencies.
  9. During the course of the inspection or investigation, if the provider or any other person displays inappropriate behavior or comments leave the operation or interview, report the incident to your supervisor, and return at another time with a coworker.

Appendix 7000-1 Factors to Consider for Enforcement Actions

March 2019

 

Licensing staff may consider enforcement actions when an operation meets any of the criteria outlined in 7110 Circumstances That May Call for Enforcement Action.

When determining what type of enforcement action to take consider the following:

Governing Body and Staffing

Level of Involvement of the governing body has in the operation

Ability to identify operation needs

Knowledge behind intent of standards

Knowledge of operation policy and procedures

Other history as a permit holder, governing body, or a controlling person

Compliance History

Scope and severity of deficiencies

Patterns of deficiencies

Repetition of deficiencies

Investigation history

Responsiveness to deficiencies

Previous enforcement actions

Nature of Risk

Isolated serious incident that may have resulted in injury or death or has resulted in injury or death

Systemic issues at the operation that negatively impact the health and safety of children in care

Other/Extenuating Factors

Operation capacity

Type of permit

Type of services provided

Number of children impacted by enforcement action

Impact to the community

Involvement from the other governmental agencies

Here are some questions (by area) to consider when assessing risk:

Governing Body and Staffing

  1. Are the director, administrator, and the operation's professional staff qualified to hold their respective positions at the operation?
  2. Does the director or administrator maintain an adequate presence at the operation?
  3. Are the director, or administrator, and the operation's staff and caregivers aware of and knowledgeable about the minimum standard rules?
  4. Does the person in charge have the authority to make changes or corrections? Is the person in charge knowledgeable about the minimum standard rules?
  5. Are staff mindful of environmental factors (location, physical facilities, proximity to sex offenders, and so on) that may present a hazard to children in care?
  6. What is the level of experience of the staff?
  7. Is adequate staff training and orientation provided?
  8. What is the frequency of staff turnover?
  9. Are approved risk evaluations in effect? If so, how many approved risk evaluations are in effect and for what type of background check findings? Are there any patterns in the type of charges or abuse or neglect allegations upon which the risk evaluations were conducted? Are conditions of the approved risk evaluations met?

Compliance History and Nature of Risk

  1. Are waivers or variances in effect and, if so, how many? Are conditions of the waivers or variances met?
  2. Have there been significant changes in the operation's compliance history? If so, do changes in performance correlate with any specific factors at the operation (for example, a new director, change in season, staff shortage)?
  3. Are fire and health inspections kept current and are repairs to the physical building and outdoor equipment made promptly?
  4. Are deficiencies that have been recently cited related to high-risk standards (such as infant care, quality of supervision, child/caregiver ratio, and emergency behavior intervention)?
  5. Have deficiencies been addressed appropriately and in a timely manner? Are there repeated deficiencies?
  6. Do the staff or caregivers appear to recognize how continued deficiencies will affect the children?
  7. Is the operation responsive to technical assistance?
  8. Has the operation historically initiated corrections on its own, or waited for additional regulatory action to be implemented before correcting deficiencies?
  9. How many warning letters has Licensing sent to the operation during the past 24 months?
  10. Has the operation previously completed and implemented Form 7277, Child Care Licensing Plan of Action?
  11. Have monetary penalties been assessed against the operation?
  12. Is the operation on, or has it ever been on, evaluation or probation?
  13. Were previous Licensing actions successful at reducing risk?
  14. How many reports of potential problems (investigations) has Licensing received about the operation? Did Licensing ultimately cite the operation for deficiencies? What percentage of the reports received were self-reports? How many reports should have been self-reported but were not?
  15. Is there a trend in the type of allegations or serious incidents reported?
  16. What are the ages of the children involved in any deficiencies or questionable situations?
  17. Did any of the reports result in substantiated determinations of abuse or neglect?

Other/Extenuating Factors

  1. What age range does the operation serve?
  2. What are the hours of operation?
  3. What services does the operation provide?
  4. Were children in care during the last inspection?

Appendix 8000 Reserved for Future Use

Appendix 9000 Instructions for the Administrative Technician in the Licensed Administrator Program

Appendix 9000-2 Applications for Administrator’s Licenses

November 2008

 

Creating a Paper File

Starting a File

When Licensing receives an application for an administrator license, staff create a paper file.

If Licensing receives other application-related materials in advance of the application form, staff file the materials in a general Pending file.

Once Licensing receives the application form, staff refers to the Pending file for any matching application materials.

Tracking Receipt of Documents

Ensure that all application-related materials are stamped with the date they were received.

Attach to the materials the envelopes in which they were received in.

If multiple materials arrive in one envelope, make a note at the bottom of each of the materials that will not be attached to the envelope, to show that they arrived in that envelope.

Matching materials to envelopes is important. If an application is denied, the envelope information may strengthen evidence presented in a hearing before the State Office of Administrative Hearings (SOAH).

Incomplete Applications

Incomplete files must be kept separate from those that have been approved and are waiting on exam results.

Send the applicant a letter informing him or her about what is missing from the application materials.

If the application materials continue to be incomplete, send updated letters three months after the application was received and six months after the application was received.

If the application materials remain incomplete after one year, send a notice that the application has expired.

Ensure that the application shows as lapsed in the Licensed Administrator database.

All of the letters noted above must be generated manually, and the time frames must be tracked manually. The letters are not generated automatically through the end-of-week process.

Background Checks

A background check is required for each applicant. See Appendix 9000-4 Background Checks for Administrator’s Licenses.

Updating the Database

To update the database, Licensing staff take the following steps:

  • Enter the applicant’s Social Security number and license type in the fields in the lower right corner of the Administrator page, then click on the New Admin button. This creates a new record for the applicant and assigns an ID.
    • Enter the applicant’s first name first, followed by a space and the last name. Use the applicant’s legal name, unless the applicant specifically requests otherwise. Do not enter a middle name.
    • The address in the database is automatically entered on all correspondence generated by the end-of-week process. Check that the address is accurate.
  • Complete the rest of the Administrator page. Record the application fee on the Application page in the fields for Amount and Check Number, then select Save Payment.
  • Do not enter information on the Qualifications/Exam page until the application has been reviewed and either approved or denied. After the application has been reviewed, enter the applicant’s qualifications on the Qualifications/Exam page and then ensure that the Application Level Status field on the Application page indicates either Complete or Denied, as appropriate.
  • Although a medical exam is no longer required, select Yes for the Medical Exam field on the Qualifications/Exam page so that the application processes correctly.

 

Appendix 9000-3 Renewing Administrator’s Licenses

November 2008

 

To process a renew request for an administrator’s license, Licensing staff take the following steps:

  • Ensure that all renewal materials are date stamped.
  • Compare the postmarked date on the envelope in which the renewal was mailed to the expiration date on the administrator’s license to determine if late fees apply. Keep the envelope only if the postmark shows that the renewal is late.
  • Make a note on the renewal request if the fee submitted is inadequate, based on the status requested (active or inactive) or the timeliness of the renewal, or both. For fee schedules, see §745.9003 and §745.9005 of the Texas Administrative Code.
  • If the administrator’s license was inactive for the entire renewal period, no training hours are required.
  • Enter the renewal fee and number of training hours required into the Licensed Administrator database after the training hours have been approved.

A background check is required for each licensed administrator who is renewing on active status. See Appendix 9000-4 Background Checks for Administrator’s Licenses.

The end-of-week process generates either a renewal letter or a letter informing the licensed administrator that his or her renewal is pending (due to an inadequate number of training hours). A letter regarding the pending status of a renewal due to fees owed must be generated manually.

Licensing staff also:

  • ensure that updates to the licensed administrator’s contact information are entered into the Licensed Administrator database.
  • If a person requests withdrawal or emeritus status, put a dated note in the Comments field on the page under the Review and Comments tab, then go to the page under the Certification tab and use the drop down menu to select the appropriate special action code. The emeritus request must meet the policy requirements.

 

Appendix 9000-4 Background Checks for Administrator’s Licenses

November 2008

 

Texas Residents

When a Texas resident applies for an administrator’s license or renew a license that is in active status, the following actions are taken:

  • Licensing staff run a background check on each applicant or licensed administrator, using CLASS
  • Licensing staff enters operation number 819934 in CLASS
  • The Centralized Background Check Unit (CBCU) processes the background check and notifies the Licensed Administrator program of matches that violate minimum standards rules

Persons Living Outside of Texas

When a person living outside of Texas applies for an administrator’s license or renew a license that is in active status, the following actions are taken:

  • Licensing conducts a background check using CLASS
  • The applicant or licensed administrator obtains an FBI fingerprint check
  • The applicant or licensed administrator requests a Central Registry check from his or her state of residence and sends the Licensed Administrator program the results
  • The CBCU follows up on any Central Registry or criminal history matches

Background Check Fees

If the applicant or licensed administrator already receives background checks through a licensed residential child care operation, do not charge a fee for the additional background check related to the application or administrator’s license.

To request a background check in CLASS:

  • select the Background Check tab;
  • enter the operation number (819934) for the Licensed Administrator program and select Verify; and
  • enter the applicant’s or licensed administrator’s Social Security number and then select Search Person to open the Person Details page.

If the Social Security number has not undergone a background check through CLASS, CLASS indicates that no records match your search criteria. This is not an error message; it is notification that the Social Security number is new to CLASS.

If CLASS does not find a match for the Social Security number, complete all of the fields on the Person Details page and select Save at the bottom of the page.

If CLASS finds a match for the Social Security number, check the pre-filled information against the information available about the applicant or licensed administrator. Update any fields, if necessary, before selecting Save at the bottom of the page.

CLASS runs the background check, and the CBCU processes the results.

 

Appendix 9000-5 Processing Fees

September 28, 2018

 

To process an applicant’s or licensed administrator’s payment for any fee:

  • stamp the back of the check with the Deposit stamp;
  • record the check type (personal, business, or money order), the check amount, and the check number on the application or renewal form, if applicable;
  • log each check on the Fee Memo addressed to Accounting;
  • list fees in the Fee Memo separately, if a single check is received as payment for both a background check and an application or renewal; and
  • copy the Fee Memo and send the original with the corresponding checks to the HHSC Accounting Division.

Accounting returns the Fee Memo with a document locator number once the checks have been processed. File the copy of the memo.

Memos can be purged after two years.

Send all checks to Accounting at least weekly.

 

Appendix 9000-6 End-of-Week Procedures

November 2008

 

The end-of-week process creates reports and letters based on all information entered into the Licensed Administrator database for that week (or since the last end-of-week).

The following types of letters are produced by the end-of-week process:

Licensing Fees

Letter Template Description Editing Needed Attachments
Denial1 Explains why an applicant’s license was denied and offers an administrative review. Yes No
Denial2 Offers a hearing before the State Office of Administrative Hearings (SOAH) for a license denial. Yes No
Denial3 Confirms that a denial is final. Yes No
Emeritus Confirms an administrator’s emeritus status. No Emeritus license
ExamEligible Informs an applicant that his or her application is approved and he or she can take the administrator’s exam. No No (Schedule already attached to letter)
FailedExam1 Informs an applicant that he or she failed the administrator’s exam and invites the applicant to take the exam again. No Exam schedule
FailedExam2 Informs an applicant that he or she failed the administrator’s exam a second time and invites the applicant to take the exam again. No Exam schedule
FailedExam3 Informs an applicant that he or she has failed the administrator’s exam three times and must now wait a year to reapply. No No
Inactive Confirms a renewal on inactive status. No No
License Issues a license to the applicant. No License; Continuing education guidelines
Probation Informs an administrator that he or she has been placed on probation. Yes No
Renewal Confirms a renewal on active status. No Date sticker; Continuing education guidelines
RenewalDue Reminds an administrator that his or her license is about to expire. No Request for Criminal History and Central Registry Check
RenewalDueLateLess90 Reminds an administrator that his or her license has expired and needs to be renewed. No Request for Criminal History and Central Registry Check
RenewalDueLateMore90 Reminds an administrator that his or her license has been expired for 90 or more days and needs to be renewed. No Request for Criminal History and Central Registry Check
RenewalDueOverYear Informs an administrator that his or her license has lapsed. No No
RenewalEducationDue Informs an administrator that his or her renewal is pending because more training documentation is required. Yes No
Revoked1 Informs an administrator of the intent to revoke his or her license. Yes No
Revoked2 Offers an SOAH hearing after an administrative review has been waived or has upheld the decision to revoke. No No
Revoked3 Finalizes revocation after an SOAH hearing has been waived or has upheld the decision. No No
Suspended Informs an administrator that his or her license has been suspended. Yes No
Withdrawn Confirms that an administrator has relinquished his or her license. No No

End-of-Week Procedures

To run the end-of-week process, Licensing staff complete the following tasks:

  • Ensure that the Licensed Administrator database is closed.
  • Open the drive that contains the database, using My Computer.
  • Open the Backups folder and create a new file. Name the file with the date on which the next end-of-week will be run.
  • Copy the database (AL_Working_be.mdb) from the database folder to the back-up file.
  • Close My Computer.
  • Open the Licensed Administrator database, sign in, and click the Run End of Week button.
  • Answer Yes each time the database sends a pop-up message.

The Licensed Administrator database generates several reports and letters. Letters of the same type appear in the same Word document.

  • Save each document generated by end-of-week in the back up file.
  • Check all letters and reports against the record of actions taken that week. Investigate inconsistencies. For example, if a passing exam score was entered for John Jacobs yesterday, be sure that a license letter was generated for him by the end-of-week process.
  • Edit any letters that require individualized information (see the chart above).
  • Print letters and make copies for each person’s record.
  • Ensure that letters are mailed with the required attachments (see the chart above). Remedial action letters must be sent by both regular mail AND certified mail, with a return receipt requested.
  • Wait to mail the second revocation letter until the licensed administrator’s time frame to request an administrative review has expired OR the administrative review has been waived or has upheld the revocation.
    For the third revocation letter, wait to mail it until the licensed administrator’s time frame to request an SOAH hearing has expired OR the SOAH hearing has been waived or has upheld the revocation.
    Date the letter to reflect when it is actually mailed.
  • Save all back-up files for a minimum of two years.