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