3100 Regulatory Process for Operations

 

 

3110 Requirements for Assessment of Risk

April 2010

 

Child care regulation involves the assessment of risk to children from the beginning phases of application and issuance. Licensing staff use a screening process to help ensure that the only persons who are granted permission to operate are those who are able to meet requirements of the:

  • licensing statute;
  • administrative rules; and
  • minimum standard rules.

 

3120 Documentation

October 2013

 

Licensing staff must enter all decisions and facility information related to the application and issuance process in the Child Care Licensing Automation Support System (CLASS).

 

3121 Initiating an Application in CLASS

June 2016

 

Procedure

Within five calendar days of receiving an application, Licensing staff initiate the application in CLASS by:

  • entering the application information when a paper application is submitted; or
  • searching for and adding an operation to CLASS when an e-application is submitted.

Initiating an Application for an Illegal Operation

When an illegal operation that is the subject of a Child Care Licensing (CCL) investigation applies for a permit:

  • staff must enter the Application Received Date on the Illegal Operation main page before entering the application information when a paper application is submitted; or
  • staff search for the open operation and select Update to CLASS when an e-application is submitted.

 

3130 The Application Process

September 2012

 

Procedure

The application process includes all of the following:

  1. The pre-application interview or orientation class (not required for certificates, compliance certificates, or listings).
  2. Submission of the application materials.
  3. The posting of public notice and compliance with hearing requirements for residential child care operations (if applicable).
  4. Review of the application for completeness.
  5. Acceptance of the application as complete, or return of the application if it is incomplete.
  6. A determination by Licensing of the applicant’s compliance with rules, including minimum standards and statutes.
  7. The decision to issue or deny a permit.

40 TAC §745.211

 

3200 Processing the Application for a License Certificate, Compliance Certificate, Registration, or Listing Permit

 

 

3210 Orientation, Inquiry Meeting, or Pre-Application Interview

September 2015

 

The pre-application interview (also known as orientation or an inquiry meeting) teaches a potential applicant or governing body designee about the application process, licensing requirements, and administrative procedures.

40 TAC §745.213

 

3211 When a Pre-Application Interview is Required

September 2015

 

A pre-application interview is required for an applicant or applicant’s governing body designee seeking a license, certificate, or registration. For a registration, a pre-application interview must have been completed within one year before the application date.

An applicant for a listing may attend a pre-application interview for registered and licensed child care homes, but is not required to do so.

The pre-application interview is not available to applicants for a compliance certificate to operate an employer-based daycare facility or a temporary shelter daycare facility.

40 TAC §§745.211, 745.243

Procedure

If a potential applicant has not attended a pre-application interview, Licensing staff may schedule one for the potential applicant who inquires.

Licensing staff should encourage the potential applicant to attend a class to take advantage of the class’s benefits. However, if a hardship situation prevents the potential applicant from attending, and there are sufficient resources, Licensing staff gives the potential applicant the option of meeting this requirement at a one-on-one meeting with an inspector.

 

3212 Approved Locations for a Pre-Application Interview

September 28, 2018

 

The inspector may hold the pre-application interview for a child care permit:

  • at an HHSC office;
  • at the applicant’s or potential applicant’s office;
  • at the potential site for the operation;
  • as a group meeting, with other Licensing staff or HHSC representatives, at any of the locations identified above; or
  • as a telephone interview, if meeting in person is not possible.

40 TAC §745.215

 

3213 Topics Covered and Forms Provided During the Pre-Application Interview

July 2018

 

During a pre-application interview with a person interested in running a child care operation, the inspector explains the process for obtaining a child care permit.

  • If an application is returned three times within one year because it is incomplete, the applicant must wait one year before submitting another application.
  • The inspector has 21 days to review each submission for completeness.
  • After an application is accepted, the inspector has two months to decide whether to issue or deny a permit.
  • An initial license may be issued so that the operation can be evaluated before it is issued a full license.
  • The inspector explains the administrative procedures to be followed and the requirements to be met under the permit, including:
  • governing body responsibilities;
  • controlling person responsibilities; and
  • background check responsibilities.

The inspector also discusses the criteria an operation would have to meet to be exempt from Licensing regulation.

See:

2200 Types of Child Care Permits and Multiple Operations

2300 Determining Whether a Program Is Subject To or Exempt from Regulation

40 TAC §§745.37; 745.113

 

3213.1 Governing Body and Licensing Responsibilities

March 2017

 

Procedure

At the pre-application interview, the inspector explains to the applicant or the applicant’s governing body designee that the governing body:

  • is responsible for maintaining compliance with statutes, administrative rules, and minimum standards; and
  • must complete and submit a separate application for each operation subject to regulation that it plans to operate.

Licensing informs the governing body of any enforcement action that may be taken against the operation if it fails to maintain compliance with statutes, administrative rules, and minimum standards.

 

3213.11 Additional Information for Child Day Care Governing Body Responsibilities

September 28, 2018

 

Procedure

At the pre-application interview for a child day care operation, the inspector explains all of the following.

The applicant or the applicant’s governing body designee must submit Form 2911 Child Care Licensing Governing Body/Director Designation with the application.

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must:

  • submit a personal history statement each time a new director is named;
  • notify Licensing no later than five days after a change is made regarding a director;
  • submit Form 2911 or designate a new director through the provider's online Child Care Licensing Account within 10 days of designating the director;
  • submit changes in the governing body or the director designation on Form 2760 Controlling Person - Child Care Licensing or through the provider’s online Child Care Licensing Account within two days in accordance with controlling person requirements (see 3213.2 Controlling Person Responsibilities); and
  • indicate on Form 2911 or through the provider’s online Child Care Licensing Account whether all routine correspondence should be sent to the head of the governing body (see Appendix 3000-2: Notifying the Operation, for others who must receive routine correspondence).

26 TAC §§744.303; 744.1037; 746.303; 746.1039

40 TAC §745.903

 

3213.12 Additional Information for Residential Child Care Governing Body Responsibilities

September 28, 2018

 

Procedure

At the pre-application interview for a residential operation, the inspector explains all of the following to the applicant or the applicant’s governing body designee.

Reporting a Change of Administrator

A general residential operation or child-placing agency must have a full-time licensed administrator.

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must report any change of administrator within seven days after the change. This must be done in writing using Form 2819 Residential Child Care Licensing Governing Body/Administrator or Executive Director Designation, or through the provider’s online Child Care Licensing Account.

26 TAC §§748.103; 748.307(3); 749.103; 749.507(3); 749.633

Reporting a Change of Governing Body or Administrator

The applicant or applicant’s governing body designee, the permit holder, or the governing body designee must inform Licensing if the governing body or the administrator changes. This must be done within two days of the change, in accordance with requirements for controlling persons.

Licensing may be notified by using Form 2760 Controlling Person - Child Care Licensing or through the provider’s online Child Care Licensing Account.

See 3213.2 Controlling Person Responsibilities.

40 TAC §745.903

Reporting Policy Changes

The applicant or applicant’s governing body designee or the permit holder must report any significant change in the policies to Licensing at least seven days before implementing the change. See 4700 Reviewing Operation Policies.

If the change requires amending the permit, the amendment must be approved by Licensing before the change is implemented.

26 TAC §§748.63; 748.1203; 749.63; 750.61; 750.151(f)

Staffing Plan

The applicant or applicant’s governing body designee or the permit holder must have a written professional staffing plan and must hire qualified staff to meet minimum standards.

26 TAC §§748.501; 749.601

 

3213.2 Controlling Person Responsibilities

September 28, 2018

 

Procedure

At the pre-application interview, the inspector explains the following to the applicant or applicant’s governing body designee:

  • who qualifies as a controlling person; and
  • what his or her roles and responsibilities are with an operation.

The inspector also informs the applicant that controlling person information must be submitted:

  • online through the provider's online Child Care Licensing Account or by using Form 2760 Controlling Person - Child Care Licensing, with the application; and
  • within two days each time a person becomes, or ceases to be, a controlling person at the operation thereafter.

26 TAC §§744.305(a)(6); 746.305(a)(6); 747.303(a)(6); 748.103(a)(13); 749.103(18); 750.103(11)

40 TAC §§745.901; 745.903; 745.907

See 5400 Controlling Person.

 

3213.3 Background Check Responsibilities

September 2015

 

Procedure

At the pre-application interview, the inspector informs the applicant or applicant’s governing body designee that a background check, including a criminal history check, is conducted on applicants and household members.

The inspector explains which individuals living or working in an operation require an FBI fingerprint check, and that certain criminal convictions and Central Registry findings preclude applicants from getting a permit.

Texas Family Code §264.8521

Human Resources Code §42.056

40 TAC §§745.615; 745.625

 

3213.4 Additional Information

September 2015

 

See Additional Information, Forms, and Materials for Pre-Application Interview.

 

3214 CLASS Documentation Requirements

September 2015

 

Procedure

The inspector documents in the CLASS chronology that the applicant or applicant’s governing body designee attended a pre-application interview.

 

3215 Handling Original Certificates of Completion

September 2015

 

Procedure

After completion of the pre-application interview, the inspector provides the applicant with a certificate of completion.

 

3220 Reviewing and Accepting the Application for a Permit

September 2015

 

The inspector must:

  • determine whether the applicant is eligible to apply;
  • review and process the application in a timely manner; and
  • notify the applicant in writing of acceptance of the application and, if necessary, the reason for any delays.

 

3221 Time Frame for Reviewing and Making a Decision on the Application

August 2019

 

Procedure

Within 21 days of receiving the application for a license, certificate, registration, or listing, and within 10 days of receiving the application for a compliance certificate, the inspector notifies the applicant in writing that:

  • the application is complete and accepted by mailing CLASS Letter 2875 App Received and Accepted;
  • the application is incomplete;
  • the applicant is ineligible to apply for a permit;
  • there is good cause to delay the timeframe for making a determination on the application; or
  • Licensing recommends withdrawal of the application.

Texas Human Resources Code §42.046

26 TAC §745.301

 

Military Member, Veteran, or Spouse of Military Member or Veteran

The inspector processes an application for a military member, veteran, or spouse of a military member or veteran as soon as possible within the required time frame.  To determine whether an applicant qualifies under one of these categories, follow the requirements related to administrator licensing in 9211.1 Additional Documentation Required if the Applicant is a Military Member, Veteran, or Spouse of a Military Member or Veteran Requesting Expedited Licensure or Special Considerations.

See also:

3221.1 Good Cause to Exceed the Time Frame

3222 How to Determine Whether the Applicant Is Eligible to Apply

3223 Evaluating an Application for Completeness

3225 Returning an Application

3226 When to Delay a Decision on an Application

3230 Withdrawal of an Application for a Permit

 

3221.1 Good Cause to Exceed the Time Frame

September 2015

 

Licensing may have good cause to exceed its time frame for processing an application if:

  • there are at least 15% more applications being processed than in the same quarter of the previous year;
  • the delay is caused by another public or private entity that must be relied on to process all or part of the applications received;
  • the operation is the subject of a pending investigation; or
  • other conditions exist that give good cause for exceeding the time frames.

See 3226 When to Delay a Decision on an Application.

40 TAC §745.327

 

3222 How to Determine Whether the Applicant Is Eligible to Apply

September 28, 2018

 

To determine whether an applicant is qualified to apply for a license, certificate, registration, or listing permit, see the circumstances and actions described in the following table:

If … Then …
Licensing revoked a permit or denied a permit for a substantive reason… the applicant is not eligible to reapply for five years from the date the denial or revocation became final.
the application was returned for the third time as incomplete within the past year … the applicant may not reapply for one year from the date the third application was returned as incomplete.
Licensing sustained the applicant as a controlling person within the previous five years… the person is ineligible to apply for a permit because of an adverse action that was sustained during the previous five years.
the applicant was a permit holder or controlling person who had a permit denied, revoked, suspended, or terminated by a state health and human services agency in the last 10 years… depending on the circumstances that led to the previous denial, suspension, revocation, or termination, the applicant may not be eligible to apply.
the applicant is seeking a permit for a day care home and is younger than 18 years of age (if a listing permit) or 21 years of age (if a registration or license) and will not meet the age requirement within the time frame noted in 3221 Time Frame for Reviewing and Making a Decision on the Application. the applicant is ineligible to apply.

40 TAC §§745.303; 745.403; 745.911

Texas Human Resources Code §42.072

Texas Government Code, Chapter 531, Subchapter W

Procedure

The inspector reviews HHSC files using CLASS or reviews other available records maintained in Licensing offices to verify information submitted in the application packet. The review of HHSC files must go back five years from the effective date of the application. Staff must use available information, such as a Certificate of Formation and HHSC files, to cross-check the names of an entity given on the application. The review must include conducting a Global Person Search in CLASS.

If the review of HHSC files reflects that the applicant is not prohibited from obtaining a license, certificate, registration, or listing permit, the inspector documents it in the operation’s record.

If the review of HHSC files reflects that the applicant is not eligible to apply for a permit, the inspector does not accept the application. The inspector informs the applicant in writing of his or her ineligibility by generating a letter in CLASS using the HHSC letterhead.

See: 1500 Conducting a Search in CLASS

 

3223 Evaluating an Application for Completeness

September 28, 2018

 

Procedure

The inspector reviews the information supplied on one of the following application forms for completeness:

  • Form 2841 Small Employer-Based Child Care or Temporary Shelter Child Care Facility Application
  • Form 2910 Application for a License to Operate a Child Day Care Facility
  • Form 2919e Request for a Registration Permit
  • Form 2960 Application for a License to Operate a Residential Child Care Facility
  • Form 2986 Listing Permit Request

For information about what a complete application consists of, see Required Application Materials.

For residential child care licensing: If an application is received from a foster home that receives children only through the Interstate Compact on the Placement of Children (ICPC), the inspector forwards the application to the Child Protective Services division of the Department of Family and Protective Services for verification.

See also:

3223.1 If the Application is Incomplete or Contains Errors

3230 Withdrawal of an Application for a Permit

3322.3 Denial of an Application or Amendment for Failure to Comply with Public Notice and Hearing Rules

5260 Verification of Fee Payment

 

3223.1 If the Application is Incomplete or Contains Errors

September 2015

 

The inspector does not accept applications that contain errors or are incomplete. Depending on the extent of the errors or missing information, the inspector either:

  • makes the necessary changes after speaking to the applicant; or
  • returns the application and requests that the applicant make the changes and resubmit the application.

Providing Technical Assistance

The inspector provides technical assistance to the applicant each time the application must be returned. Technical assistance includes setting a time limit for when the application must be resubmitted.

See 5250 Fee Refund Guidelines.

40 TAC §745.301

Texas Human Resources Code §42.047

 

3223.11 Resolving Errors and Omissions

September 2015

 

Procedure

In reviewing the application for acceptance, the inspector attempts to contact the applicant regarding minor errors or omissions. The applicant may authorize the inspector by telephone to change or make additions to an incomplete application. The inspector dates and initials any changes.

If the inspector is unable to reach the applicant by phone or if the omissions require extensive work by the applicant, see 3225.1 Returning an Application for the First or Second Time.

 

3224 Accepting the Application

September 2015

 

The inspector accepts the application when:

  • the application is determined to be complete;
  • the pre-application interview has been completed if required; and
  • fee payments have been verified.

Procedure

The inspector sends a copy of the corrected application with CLASS Letter 2875 App Received and Accepted to the applicant stating that the application is complete and accepted.

40 TAC §§745.215; 745.243; 745.301

 

3225 Returning an Application

September 2015

 

The inspector returns an application if:

  • some of the required materials have not been submitted;
  • some of the materials are not filled out completely; or
  • the inspector cannot verify that any required fees have been paid. See 5260 Verification of Fee Payment.

 

3225.1 Returning an Application for the First or Second Time

September 2015

 

If the application is incomplete, the inspector notifies the applicant by mailing CLASS letter 2870 App Return (First or Second). The notification letter must explain what information is needed to complete it and a time frame by which to resubmit the corrected application materials.

Once a subsequent application is received, the inspector has 21 days from the second receipt date of an application for a license, certificate, registration, or listing and 10 days from the second receipt date of an application for a compliance certificate to:

  • review the revised application materials;
  • send written notice acknowledging the application is complete and accepted or that the application is incomplete with an explanation of what information is needed and a time frame to complete it; and
  • verify that the fees have been paid if verification was not done previously.

For an operating applicant, the inspector follows up to ensure that:

  • the application is resubmitted; or
  • care for children is discontinued.

See How to Return an Application, especially for information concerning e-applications or when an applicant has not been responsive to Licensing’s attempts to contact the applicant.

See also:

3223.1 If the Application is Incomplete or Contains Errors

CLASS Online Help: Record an Application Decision; View Fee Payments for a Facility.

 

3225.2 Handling Applications Returned for the Third Time in a Year

September 2015

 

If three applications are returned within a period of one year because they are incomplete or contain errors, an applicant may not reapply until one year from the date the last application was returned as incomplete. This applies to applications for a license, certificate, registration, and listing permits.

40 TAC §745.303

Procedure

When an application is returned for the third time as incomplete, the inspector:

  • sends CLASS Letter 2887 App Return (Final) to the applicant stating that HHSC rules prohibit applying for a license, certificate, registration, or listing permit for one year from the date a third application was returned as incomplete; and
  • includes in the notification the earliest date on which the individual may reapply for a license, certificate, registration, or listing permit.

See also:

3230 Withdrawal of an Application for a Permit

CLASS Online Help: Recording an Application Decision

 

3226 When to Delay a Decision on an Application

September 2015

 

Procedure

The inspector delays a decision on an application in the following situations:

  • The operation is being investigated because of a report alleging violations of statutes, administrative rules, minimum standards, or abuse or neglect. The inspector must not accept the application until the investigation is complete.

40 TAC §745.327

  • A background check match has been received, and the match is still being investigated for an applicant or non-client household member.
  • The applicant is seeking a permit for a day care home and is younger than 18 years of age (if a listing permit) or 21 years of age (if a registration or license), but will meet the age requirement within the time frame noted in 3221 Time Frame for Reviewing and Making a Decision on the Application.

When there is a delay in making a decision on an application, the inspector notifies the applicant via phone, email, or regular mail and documents the correspondence in CLASS chronology.

 

3226.1 Reasons to Delay a Decision Specific to Residential Child Care Applications

September 2015

 

The inspector determines whether the applicant:

  • has had a residential child care operation permit revoked in another state; or
  • is barred from operating a residential child care operation in another state.

This is accomplished by reviewing:

  • Form 2960 Application for a License to Operate a Residential Child Care Facility; or
  • Form 2982 Personal History Statement.
  • If the inspector’s review of the information from the other state is not complete, the inspector delays a decision on an application.

If the information provided by the applicant shows that the revocation or bar from operating in another state may have taken place for reasons similar to those for which Licensing would take adverse action, the inspector researches the out-of-state history.

The inspector documents the review in CLASS by selecting the checkbox for the Out-of-State RC Revocation or Bar indicator on the Application/Closure page in CLASS, and enters additional information in the CLASS chronology.

The inspector or supervisor takes one or more of the following actions:

  • If more information is needed, the inspector discusses the reasons for the action with the applicant.
  • The inspector contacts the authority in the state where the action took place to obtain additional information.
  • If adverse action is recommended, the inspector consults with the supervisor, and the supervisor consults with a Licensing attorney. The Licensing attorney may need to review the appropriate state’s regulatory structure to validate a negative compliance history.
  • If denial of the residential license is recommended, the inspector denies the person a permit according to procedures in 7600 Adverse Actions. The inspector documents the reason for denial in the Corrective and Adverse Action History page in CLASS as a Denial Due to Out-of-State History.
  • If the review of the out-of-state history exceeds the time frame required under 3220 Reviewing and Accepting the Application for a Permit, the inspector obtains approval from the supervisor and documents it in the CLASS chronology.

Texas Human Resources Code §42.046(e)

40 TAC §745.8605

When there is a delay in making a decision on an application, the inspector notifies the applicant via phone, email, or regular mail and documents the correspondence in CLASS chronology.

 

3230 Withdrawal of an Application for a Permit

 

 

3231 Withdrawal of an Application for an Operation that is Not Providing Care

June 2016

 

An applicant who is not providing care may withdraw his or her application if the operation:

  • has no plans to open;
  • has decided to apply for a different type of permit;
  • needs additional time to comply with law, administrative rules, or minimum standards (the applicant may reapply when ready to proceed); or
  • submitted a background check for a person who has an unsustained Central Registry finding that would be eligible for a risk evaluation if sustained, and the CBCU indicates that a risk evaluation would likely not be approved. See 3312 Conducting Background Checks.

Procedure

When a request to withdraw an application is received from an applicant who is not providing care, the inspector confirms the request in writing on CLASS Form 2802 Application Withdrawal Letter.

The application fee cannot be refunded, but the initial license fee is refunded. If the applicant reapplies within 30 days, a new application fee is not necessary.

See also:

5250 Fee Refund Guidelines

7600 Adverse Actions

CLASS Online Help: Recording an Application Decision; Close an Operation

40 TAC §745.349

 

3231.1 Basis to Deny a Permit for an Unsustained Central Registry Finding

September 2015

 

Unless the applicant withdraws the application, the inspector must deny the applicant a permit if:

  • a Central Registry search returns an unsustained finding that would be eligible for a risk evaluation if sustained; and
  • the CBCU indicates that a risk evaluation would likely not be approved.

See 10470 Obtaining a Risk Evaluation Prediction for Applicants for a Permit.

 

3232 Withdrawal of an Application for an Operation that is Providing Care

June 2016

 

The inspector may advise an applicant who is providing care to withdraw the application and cease operating if:

  • the time frame for acceptance of an application or the time frame for issuance cannot be met because the applicant does not meet the requirements for acceptance or issuance; and
  • there is not good cause to exceed the time frame.

See:

3221.1 Good Cause to Exceed the Time Frame

3411 Good Cause to Exceed the Time Frame

 

3232.1 Basis to Deny a Permit

June 2016

 

If the applicant does not withdraw the application and does not stop operating, the inspector must deny the applicant a permit based on the applicant’s failure to comply with minimum standards, administrative rules, or the licensing statute.

Procedure

If the inspector denies the applicant a permit, the inspector notifies the applicant that he or she must stop operating and may appeal the decision. The inspector conducts a follow-up inspection to ensure the operation is no longer providing care.

See:

4123 Follow-Up Inspections

7600 Adverse Actions

7730 Due Process Hearings

CLASS Online Help: Record an Application Decision and Close an Operation

26 TAC §§746.3401; 746.5101; 747.3201; 747.4015; 747.4901

 

3300 Process for Determining Whether to Issue or Deny a Permit

 

 

3310 Evaluating Before Issuing a Permit

September 2015

 

After accepting an application, the inspector determines:

  • compliance with the statutes, administrative rules, and minimum standards applicable to issuance; and
  • the risk to children.

Texas Human Resources Code §§42.048; 42.072; 42.153; 42.203

Procedure

Before determining whether to issue or deny the permit, the inspector completes the activities in the items listed below for all operation types.

See:

2270 Residential Child Care Operations that Also Provide Child Day Care

3311 Checking the Sex Offender Registry

3312 Conducting Background Checks

3313 Inspecting the Operation (Except Listed Homes)

 

3311 Checking the Sex Offender Registry

September 2015

 

Procedure

The inspector checks the sex offender registry on the Department of Public Safety website that lists the addresses of sex offenders, compares it with the address of the operation, and then documents the findings in CLASS chronology.

See 6550 Investigations of Matches to the Database of Sex Offenders for procedures on processing a match. The inspector denies the application if a match requires it.

See also 7600 Adverse Actions.

 

3312 Conducting Background Checks

September 2015

 

Procedure

The inspector ensures all background checks for applicants and non-client household members have been completed before issuing a permit to operate:

  • a licensed child care home or center;
  • a registered home;
  • an independent foster family home;
  • an independent foster group home; or
  • an operation that has a sole proprietor as a governing body.

A permit may be issued in other cases without waiting for the results of the background searches if all other criteria for issuance are met.

40 TAC §745.631

See:

10250 Handling Unsustained Central Registry Findings

 

3312.1 Unsustained Central Registry Findings

September 2015

 

The inspector may request that the Centralized Background Check Unit conduct a risk evaluation prediction if:

  • an applicant or another individual has an unsustained Central Registry finding;
  • a Reason to Believe finding against that person would result in adverse action being taken against the operation; and
  • the finding:
    • is pending a due process hearing;
    • has not been released through an emergency release; and
    • would be eligible for a risk evaluation if sustained.

See 10470 Obtaining a Risk Evaluation Prediction for Applicants for a Permit

When to Deny

The inspector may deny a permit when there is an unsustained Central Registry finding on an applicant or another individual for whom a Reason to Believe finding would result in adverse action being taken against the operation.

The permit is denied if:

  • the Legal division has approved the denial of the permit; and
  • one of the following applies:
    • there is an emergency release of that finding;
    • the finding would bar the person if it were later sustained (see 10260 Handling Sustained Central Registry Findings); or
    • children are in care and the person has requested a due process hearing and the CBCU determines that a risk evaluation would not likely be approved if the finding were later sustained (see 10470 Obtaining a Risk Evaluation Prediction for Applicants for a Permit).

When to Issue

If the CBCU indicates that a risk evaluation would likely be approved, and if all other criteria for issuance are met, the inspector may issue the permit with conditions.

When to Delay the Decision

Licensing has good cause to exceed the time period for issuing a permit if the results of the background check indicate there is an active investigation for an applicant or another individual and a Reason to Believe finding might result in adverse action being taken against the operation.

See 3226 When to Delay a Decision on an Application.

If information about the Central Registry finding cannot be released to the applicant because the perpetrator is someone other than the applicant, the inspector can, without releasing any identifying information about the match, explain to the applicant that there is a problem with a background check and a permit cannot be issued until the background check is cleared.

 

3313 Inspecting the Operation (Except Listed Homes)

December 2015

 

After accepting the application for a license, certificate, compliance certificate, or registration, the inspector must conduct an inspection to determine whether the operation is in compliance with all applicable rules and minimum standards.

Procedure

The inspector:

  • cites any statutes, administrative rules, and minimum standards the operation has not complied with and establishes dates by which the operation must be in compliance;
  • follows up by inspection, mail, fax, or email to ensure that corrections of deficiencies have been made; and
  • ensures any investigation alleging violations of statutes, administrative rules, or minimum standards is complete.

If the operation is providing care without a permit at the time of the inspection, the inspector cites a violation of the law. The inspector completes the procedures in 4159 Handling Resistance or Refusal to Allow Inspection, if the caregiver refuses to:

  • admit staff or attempts to delay or obstruct inspection of the operation during hours that care is provided; or
  • allow inspection of an area of the operation that affects or could affect the children’s health, safety, or well-being.

Texas Human Resources Code §42.044

40 TAC §745.321

 

3313.1 Time Frames

September 2015

 

The inspection must occur within:

  • 21 days of accepting the application for a license, certificate, or registration; and
  • 10 days of accepting the application for a compliance certificate.

Supervisory approval is required to exceed these time frames. The inspector documents supervisory approval in a CLASS chronology.

40 TAC §745.321

 

3313.2 When to Announce an Application Inspection

September 2015

 

If the operation is not providing care, the inspection must be announced.

If the operation is providing care, the inspection may be announced or unannounced. The inspector may arrange an announced inspection when it is necessary for the applicant or caregiver to make alternate plans for the children during the evaluation.

 

3313.3 Abbreviated Inspection

September 2015

 

An abbreviated inspection may be conducted before issuance if the operation:

  • is changing ownership with no change in policy or procedures or in the operation’s staff who have contact with children; and
  • is not on corrective or adverse action.

See 3313.4 Evaluating Compliance.

Texas Human Resources Code §§42.044; 42.153; 42.203

40 TAC §745.321

 

3313.4 Evaluating Compliance

September 28, 2018

 

Procedure

While processing an application for a permit, the inspector develops a plan to evaluate an operation’s compliance with minimum standards.

The inspector uses the guidelines in the following chart. More than one guideline may apply.

Situation Plan for Evaluating Compliance
Operation is not providing care. Include all applicable statutes, rules, and standards not requiring the presence of children.
Operation is providing care. Include all applicable statutes, rules, and standards.
Operation changes type of operation or adds a different type of operation. Include all applicable statutes, rules, and standards related to the new operation type.

Licensed operation changes ownership (See 3833 Change of Ownership) and:

  • policies and procedures; or
  • staff who have direct contact with children (initial license required).
Include all applicable statutes, rules, and standards (including any rules or standards that have grandfather clauses).
Licensed operation changes ownership (see 3833 Change of Ownership), but:
  • does not change policies or procedures;
  • does not change staff who have direct contact with children;  and
  • is not on corrective or adverse action.
Evaluate the standards that confirm there is no change in policy or procedures or in staff who have direct contact with children. Also evaluate compliance with any rules or standards that have grandfather clauses.
Licensed operation that is not a child-placing agency (CPA) changes location. Include all standards related to the new operation’s location and building.
New owner applies after the operation has received notice of revocation. Include all applicable statutes, rules, and standards.
Renewal of the initial license is required, as noted in 3520 Renewing an Initial License. Evaluate compliance with all applicable statutes, rules, and standards, if the initial license was renewed because of a pattern of deficiency.
Evaluate compliance with limited standards, if the initial license was renewed because the operation was not operating. Assess the risk to children to determine whether an inspection is needed before issuance.

DCL may use the following forms when evaluating compliance:

Form 2936TSP Temporary Shelter Program

RCCL may also use the following forms for this purpose:

Form 2785 Child-Placing Agency

Form 2784 General Residential Operation and Residential Treatment Center

 

3313.5 Processing Controlling Person Submissions (Except Certified Operations)

September 2015

 

Procedure

The inspector ensures that all controlling person information that the operation submits is processed according to policies and procedures in 5400 Controlling Persons. An applicant for a compliance certificate does not need to submit controlling person information.

When a Permit Is Denied

The inspector denies a permit if a controlling person match requires it.

See:

5452 Eligibility to Receive a Permit After Finding a Match for an Applicant

5453 Eligibility to Serve As a Controlling Person After Finding a Match

 

3313.6 Confirming Fire, Sanitation and Gas Inspections (Except for Listed Homes and Child-Placing Agencies)

August 2019

 

Procedure

The inspector ensures that child care centers, school-age programs, before- and after-school programs, general residential operations, and independent foster homes have approved fire, sanitation and gas inspections, if the operation uses natural or liquid propane (LP) gas, except these inspections are not necessary if:

  • the operation is located in a public school building that is maintained by an independent school district; or
  • a sanitation inspection is not available from the local sanitation official (in which case, the inspector reviews documentation obtained by the operation from a county judge that explains why a sanitation inspection is not available).

If a temporary shelter child care facility, small employer-based child care facility, registered child care home, or licensed child care home receives a fire or sanitation inspection in the political subdivision where the operation is located and the applicant makes the report available to Licensing staff, Licensing staff:

  • reviews the documentation for any restrictions noted by the political subdivision; and
  • adds a condition to the permit to encompass any restrictions noted by the political subdivision.

Texas Human Resources Code §§42.0443; 42.153; 42.203

26 TAC §§744.2501; 744.3501; 744.3651; 746.3401; 746.5101; 746.5401; 747.3201; 747.4901; 748.3001; 748.3061; 748.3101; 750.1101

 

3320 Additional Activities to Complete for Applicants for a Licensed Residential Child Care Operation

 

 

3321 Public Notice and Hearing Requirements for Residential Licensing

 

 

3321.1 Entities Subject to the Requirement for Public Notice

September 2015

 

Entities subject to the requirement for public notice and hearing are:

  • applicants applying for a license to operate as a residential operation;
  • permit holders requesting to amend their license to increase capacity in a general residential operation or a residential treatment center that is located in a county with a population of less than 300,000; and
  • independent foster family or foster group homes licensed before January 1, 2007, requesting to amend its license to increase capacity must meet the public notice and hearing requirements if:
    • the home is in a county with a population of less than 300,000; and
    • the home is not the primary residence of the foster family.

See definition of primary residence in the Definitions of Terms.

Texas Human Resources Code §42.0461

40 TAC §§745.271; 745.273

26 TAC §749.2485

 

3321.2 Child-Placing Agency Public Notice Requirements

September 2015

 

When a Child-Placing Agency (CPA) Fails to Comply

The minimum standards for a CPA prohibit the agency from verifying a home that is not the primary residence of the foster family. However, if a waiver or variance is approved in order to verify a home that is not the foster family’s primary residence, the CPA must comply with public hearing requirements.

If a CPA was required to comply with public notice and hearing requirements but failed to do so, Licensing may invalidate the verification of the agency home that the CPA did not verify as required.

CPAs subject to public notice and hearing requirements are those that verified the home when:

  • the home is located in a county with a population of less than 300,000; and
  • the foster home is not the primary residence of the foster family.

See definition of primary residence in the Definitions of Terms.

When a CPA Complies But Public Response Was Negative

Licensing may invalidate the verification of an agency home required to comply with the public hearing requirements, if the results of a public hearing for an agency home that was verified show:

  • the community has insufficient resources to support the children that the home would serve;
  • the home would significantly increase the ratio in the local school district of students enrolled in a special education program to students enrolled in a regular education program, and the increase would adversely affect the children that the home would serve; or
  • the home would have a significant adverse impact on the community and would limit opportunities for social interaction for the children that the home would serve.

Texas Human Resources Code §42.0461

40 TAC §§745.275; 745.277

 

3321.3 Public Notice Requirements for General Residential Operation Providing Human Trafficking Services

September 2015

 

An applicant for a general residential operation who submits an application to provide human trafficking services is waived from all public hearing requirements.

Texas Human Resources Code §42.0462

 

3321.4 When to Publish Notice

September 2015

 

The applicant or permit holder subject to the requirements must publish notice after:

  • an application for a permit to operate is accepted; or
  • an inspector evaluates a request to amend the permit to increase capacity.

 

3321.5 Content Required in the Notice

September 2015

 

The notice must include:

  • the name and address of the applicant or permit holder;
  • the name and address of the child care operation, if already established, or the address where the applicant proposes to provide child care services;
  • the date, time, and location of the public hearing;
  • the name, address, and telephone number of the inspector to contact with comments;
  • a statement that a person may submit written comments to the inspector concerning the application or the request to amend the permit to increase capacity; and
  • a description of the population to be served, the services to be provided, and the licensed capacity requested.

 

3321.6 Holding the Public Hearing

September 2015

 

The applicant or permit holder subject to public notice and hearing requirements must hold a public hearing and perform as facilitator. The hearing must be held in a location in or easily accessible to the community where the services are or will be provided.

Scheduling the Hearing

The applicant or permit holder must schedule the hearing and open it for at least four hours during the normal business day (a day on the Monday through Friday workweek) or early evening hours.

If the purpose of the hearing is to … Then schedule the hearing:
apply for a License … no later than one month after the date the application is accepted.
amend the permit to increase capacity … after Licensing has evaluated the request for an amendment.

Providing Notification of the Hearing

At least 10 work days before the hearing the applicant or permit holder must:

  • notify the Licensing inspector of the time, date, and location of the hearing; and
  • provide a copy of the notice to the:
    • school district superintendent;
    • governing body of the community; and
    • local law enforcement agency.

At least 10 days before the date of the public hearing, the applicant or permit holder must publish the notice in a newspaper of general circulation in the community where the child care services are or will be provided.

The newspaper of general circulation must be directed to the entire population in its area of distribution. Special interest publications or newspapers serving only specific groups in its area of distribution do not meet the definition.

“Of general circulation” is defined as the community’s own newspaper, or if this is not available, a newspaper purporting to serve this community as well as others as stated on its masthead, or the daily newspaper of the nearest metropolitan area.

40 TAC §§745.201(2); 745.275

 

3321.7 Licensing’s Role During the Hearing

September 2015

 

The inspector must attend the public hearing in an official capacity for the purpose of receiving public comments when:

  • an applicant is applying for a license; or
  • a licensed operation requests to amend a permit to increase capacity.

Licensing attends as an observer. Questions about policy and procedures may be answered by the inspector; otherwise, the applicant or permit holder responds to questions.

Texas Human Resources Code §42.0461

40 TAC §745.275

 

3322 Report of Public Comment from the Community

 

 

3322.1 How to Submit the Report

September 2015

 

Within 10 work days of the hearing, the applicant or permit holder must submit to the inspector a verbatim record of the hearing and a complete comment summary report on Form 2997 Results of Public Hearing, furnished by Licensing.

 

3322.2 Contents of the Report

September 2015

 

The report must document that the school district superintendent, local law enforcement, and the governing body of the community were given an opportunity to comment on the application or the request to increase capacity.

The applicant or permit holder must include responses to any negative comments in the report. The applicant or permit holder may attach any documentation available to support his or her position to the report.

The report must document:

  • the amount of local resources available to support children proposed to be served. Resources that must be considered are:
    • physical and mental health services including, as appropriate to the population, emergency medical and dental care resources, services for routine medical and dental care, ancillary medical care services, emergency psychiatric care, and mental health care providers;
    • education services, including special education, vocational training, enriched learning programs, mentoring programs, and other educational resources, and
    • law enforcement and related services;
  • the impact of the proposed services on the ratio in the local school district of students enrolled in a special education program to students enrolled in a regular education program and the effect, if any, on the children proposed to be served including the:
    • estimated impact on the current ratio in the school district in relation to the average ratio statewide; and
    • ratio in terms of the probability of adverse impact on children in care; and
  • the impact of the proposed services on the community and the effect on opportunities for social interaction for the children proposed to be served, including:
    • social and youth groups;
    • spiritual and religious organizations; and
    • youth employment groups or agencies.

Texas Human Resources Code §42.0461

40 TAC §745.275

 

3322.3 Denial of a Permit or Amendment for Failure to Comply with Public Notice and Hearing Rules

September 2015

 

Licensing may deny a permit or an amendment to the permit to increase capacity for failure to comply with public notice and hearings rules under TAC §§745.273 and 745.275.

40 TAC §745.8651

Licensing may deny the permit or the amendment to increase capacity if Licensing determines that:

  • the community has insufficient resources to support the number of children proposed to be served;
  • issuance of the license or amendment of the permit would significantly increase the ratio in the local school district of students enrolled in a special education program to students enrolled in a regular education program and the increase would adversely affect the children proposed to be served; or
  • issuance of the license or amendment of the permit to increase the capacity would have a significant adverse impact on the community and would limit opportunities for social interaction for the children proposed to be served.
  • See also CLASS Online Help: Corrective and Adverse Action; Close an Operation.

Texas Human Resources Code §42.0461

40 TAC §§745.273; 745.275

 

3330 Additional Activities to Complete for a Licensed Child Day Care Operation

 

 

3331 Evaluating Director and Primary Caregiver Qualifications for Licensed Child Day Care Operations

September 28, 2018

 

When a director or primary caregiver is designated on Form 2911 Child Care Licensing Governing Body/Director Designation, or through the provider's online Child Care Licensing Account, the inspector evaluates the director’s qualifications to determine whether he or she meets the minimum standards.

The inspector ensures the director or primary caregiver does not serve such a role at another operation, including being:

  • the primary caregiver of a licensed child care home or a registered home;
  • the operator of a listed home; or
  • a director of another operation, unless the person is a designated a program director for before- or after-school programs or school-age programs under the same governing body.

26 TAC §§744.1001; 746.1001; 747.1101

 

3331.1 How to Evaluate Qualifications

November 2017

 

Procedure

To evaluate qualifications, the inspector obtains a completed Form 2982 Personal History Statement specifying the education and experience of the operation’s designated director and one of the following:

  1. An original and current CLASS Form 2860 Director’s Certificate; or
  2. An original college transcript or original training certificates which verify the educational requirements and the dates, names, addresses, and telephone numbers that support the required experience.

      For persons educated outside of the United States, the inspector obtains information from the operation to help the inspector interpret and evaluate the director’s educational qualifications.

26 TAC §§744.1015; 744.1017; 746.1015; 746.1017; 747.1107

For a program director who oversees more than one school-age program or before- or after-school program, the inspector evaluates:

  • whether the director meets minimum standard qualifications for a director according to the procedures outlined in this item; and
  • whether the compliance history of each operation that a program director oversees reflects that the operations are in good standing with Licensing.

Evaluating Director Qualifications for Licensed Child Care Homes Licensed Before September 1, 2003

When a person owns more than one licensed child care home, that person may only be the primary caregiver or director for one of them.

40 TAC §745.373

26 TAC §747.201

 

3331.2 Issuing a Director’s Certificate

June 2016

 

The inspector issues CLASS Form 2860 Director’s Certificate after determining that qualifications are met and a background check is complete. A certificate is only printed and mailed to a person who has never had a certificate or whose previous certificate is lost or expired. A certificate issued to a qualified director is recognized statewide until it expires and must be kept in the personnel file at the operation.

26 TAC §§744.1057; 746.1059

 

3331.3 When a Director Does Not Meet Qualifications

September 2015

 

If the director does not meet qualifications required by minimum standards, the inspector notifies the applicant or applicant’s governing body designee, the permit holder, or the governing body designee.

If a waiver or variance is requested, the inspector processes it according to 5100 Waivers and Variances and Appendix 5000-1A.1: Director Qualifications.

 

3400 Issuance of a Permit

 

 

3410 When to Issue a Permit

September 2015

 

The inspector must determine whether the applicant operation meets the applicable rules and statutes:

  • within 30 days after accepting an application for a compliance certificate; or
  • within two months (see the definition of date-to-date in Definitions of Terms) after accepting an application for a license, certificate, registration, or listing.

The inspector either:

  • signs and mails the license, certificate, compliance certificate, registration, or listing permit; or
  • mails a letter notifying the applicant of the intent to deny the permit.

See:

3310 Evaluating Before Issuing a Permit

5212 Requesting and Processing Application and Initial Fees

Texas Human Resources Code §§42.046; 42.153; 42.203

40 TAC §§745.321; 745.345

 

3411 Good Cause to Exceed the Time Frame

September 2015

 

Licensing may have good cause to exceed its time frame for processing an application when:

  • there are at least 15% more applications being processed than in the same quarter of the previous year;
  • the delay is caused by another public or private entity that must be relied on to process all or part of the applications received;
  • the operation is the subject of a pending investigation; or
  • other conditions exist that give good cause for exceeding the time frames.

40 TAC §745.327

 

3412 Criteria for Issuing an Initial License

September 2015

 

Procedure

The inspector issues an initial license to an applicant operation upon determining that the operation is in compliance with statutes, administrative rules, and minimum standards, the operation has paid all required fees, and one of the following situations exists:

  • The operation is not currently providing care, but meets the appropriate minimum standards except those with which compliance cannot be determined in the absence of children.
  • The operation has relocated and has made changes in the type of child care services it provides. A child-placing agency that changes location is not required to submit an application for a new permit.
  • The operation has changed ownership, which has resulted in changes to policy and procedure or direct care staff (see 3833 Change in Ownership).
  • The operation is providing care and is not currently licensed.
  • The licensed operation has a permit and applies for an additional permit to offer a new type of child care. An initial permit is issued for the new type of child care.

Texas Human Resources Code §42.051

40 TAC §745.345

 

3413 Criteria for Issuing a Compliance Certificate, Registration, or Listing

September 2015

 

Procedure

The inspector issues a compliance certificate, registration, or listing when the operation:

  • has met statutes, administrative rules, and all appropriate minimum standards, as applicable; and
  • has paid all required fees.

 

3420 How to Prepare the Permit

 

 

3421 How to Prepare an Initial License

September 2015

 

The inspector issues the initial license with restrictions.

The effective date of the initial license is the date it is prepared and signed by the inspector. The initial permit is valid for six months.

Texas Human Resources Code §42.048(b)

Procedure

If the operation will be licensed with an initial license, the inspector informs the applicant by including the following statement in the written notices:

If all requirements are met during the initial licensing period, you will be issued a full permit. The initial license permit is valid for six months and may be renewed for an additional six months only.

Texas Human Resources Code §§42.046; 42.051; 42.048

40 TAC §745.241

 

3421.1 Child Day Care

September 2015

 

Procedure

Form 2910, Application for a License to Operate a Child Day Care Facility

The inspector records the following restrictions on Form 2910 Application to Operate a Child Day Care Facility:

  • capacity:
    • for licensed child care centers, the capacity for infants through age 17 months and capacity for children age 18 months and older;
    • for licensed child care homes, the total capacity;
  • exact hours, days and months of operation;
  • children’s ages; and
  • any conditions.

Statute provides for the issuance of a permit to care for children under age 14. If an operation also provides care for children ages 14 through 17, the inspector records this information on the application.

When the permit is issued, the inspector signs and dates Form 2910 and records applicable information in CLASS.

Form 2830, Child Day Care Permit

The inspector prepares the permit using CLASS Form 2830 Child Day Care Permit, and issues the permit with the following restrictions:

  • total capacity; and
  • age categories of children (infants, toddlers, pre-kindergarten, and school age)

Ages 5 through 17 are included as school age.

Form 2803, Child Care Issuance Letter

The inspector mails the permit to the permit holder with CLASS Form 2803 Child Care Issuance Letter, showing the specific conditions noted on Form 2910.

Texas Human Resources Code §42.048(b)

40 TAC §745.345

 

3421.2 Residential Child Care

September 2015

 

Procedure

Form 2907, Residential Child Care Permit

The inspector prepares the permit using CLASS Form 2907 Residential Child Care Permit, and issues the permit with the following restrictions:

  • capacity (except for a CPA);
  • gender and ages of children; and
  • types of services offered by the operation, as shown in 3421.21 Types of Services Included as Restrictions.

The child-placing agency’s license must include a statement on the first page of the license that indicates the number of branch offices. The name and address of each branch office is noted on page two of the permit.

Texas Human Resources Code §42.048

26 TAC §§748.63, 749.63; 749.303; 749.1101; 750.61

Form 2803 Child Care Issuance Letter

The inspector mails the permit to the permit holder with CLASS Form 2803 Child Care Issuance Letter, showing the specific conditions noted on Form 2960 Application for a License to Operate a Residential Child Care Facility, then records applicable information in CLASS.

 

3421.21 Types of Services Included as Restrictions

September 2015

 

Procedure

The inspector may document on the license that the operation may care for children up to 18 years of age.

26 TAC §§748.1931; 749.1103; 749.1105; 749.2651; 750.501

The inspector must select the applicable care type and services from the following sections on the Residential Care Main Operation page in CLASS:

  • Care Type
  • Child Care Services Provided (not optional)
  • Programmatic Services Provided
  • Treatment Services Provided
  • Child Placing Services (CPA only)

Only general residential operations (GROs) that offer emergency care services may provide respite child care services.

26 TAC §§748.75; 748.4261(b)

 

3422 How to Prepare a Compliance Certificate

September 2015

 

The inspector issues the compliance certificate with restrictions. The effective date of the permit is the date it is prepared and signed.

Texas Human Resources Code §§42.153, 42.203

40 TAC §745.321

Procedure

Form 2841, Small Employer-Based Child Care or Temporary Shelter Child Care Facility Application

The inspector records the following restrictions in CLASS and on Form 2841 Small Employer-Based Child Care or Temporary Shelter Child Care Facility Application:

  • exact hours, days, and months of operation; and
  • any conditions.

When the permit is issued the inspector signs and dates Form 2841 and records applicable information in CLASS.

Form 2845 SEBCC or Form 2846 TSP Certificate

The inspector prepares the permit using CLASS Form 2845 SEBCC Certificate, and issues the permit with the following restrictions:

  • the total capacity (no more than 12 for small-employer based operations and at least 7 for temporary shelter child care operations); and
  • all age categories of children (infants, toddlers, pre-kindergarten, and school age).

Form 2843, SEBCC Issuance Letter, or Form 2843a, TSP Issuance Letter

The inspector mails the permit to the permit holder with Form 2843 SEBCC Issuance or Form 2843a TSP Issuance Letter, showing the specific conditions noted on the application and in CLASS.

Texas Human Resources Code §§42.151; 42.201

 

3423 How to Prepare a Registration and Listing

December 2015

 

The effective date of the registration or listing permit is the date the permit is signed by the inspector.

The inspector issues a registration or listing in both English and Spanish if the most recent federal census shows that more than one-half of the population is of Hispanic origin or Spanish-speaking in:

  • a municipality; or
  • a commissioner’s precinct in a county.

See the U.S. Census website for more information.

Texas Human Resources Code §42.052

Procedure

For a registration, the inspector:

  • prepares the registration permit using CLASS Form 2834 Registered Child-Care Home Permit; and
  • mails the permit to the permit holder with CLASS Form 2834a Child Care Home Issuance Letter.

For a listing, the inspector:

  • prepares CLASS Form 2871 LH Issuance Letter; and
  • mails the issuance letter to the listed family home with the technical assistance document Checking the Sex Offender Registry to Keep Children Safe.

40 TAC §745.341

 

3424 Applying Additional Types of Conditions or Restrictions

September 2015

 

After obtaining supervisory approval, the inspector may set additional conditions or restrictions if circumstances warrant based on

  • risk to children, including an unsustained Central Registry finding; or
  • failure to comply with minimum standards.

The permit may be denied or revoked if conditions are not met.

 

3424.1 Results of Background Checks

September 2015

 

Procedure

The inspector may impose conditions because of information obtained through a Central Registry or criminal history check. However, conditions are not acceptable measures to limit the presence of a person who resides in an operation if he or she is:

  • a permit holder; or
  • a person who must not be present in an operation while children are in care.

See:

10240 Acting on Abuse and Neglect Findings in the DFPS Central Registry

10310 Acting on the Results of a Criminal History Check

 

3424.2 Deficiencies that Require Limits on Certain Activities

September 2015

 

Procedure

The inspector may impose conditions to limit certain activities such as providing infant care or providing transportation because of previous deficiency with applicable minimum standards.

Examples of Special Conditions

Condition: Children under six years old are restricted to the first floor.

Condition: The permit holder’s spouse must not transport children in care.

The inspector adds a more complete explanation to the issuance letter if needed.

 

3424.3 Fire and Sanitation Reports and Other Local Ordinances

September 2015

 

Procedure

The inspector is not responsible for enforcing local rules and ordinances unless those rules or ordinances relate to:

  • the operation receiving approved fire and health inspections; or
  • other requirements in the minimum standards relating to health and safety.

The inspector takes into consideration the following when setting the capacity on a permit:

  • an inspection report (fire or sanitation) prohibits the use of certain levels of the operation for all or for certain age groups or prohibits the use of certain space; or
  • a Certificate of Occupancy related to a fire, health, or building restriction sets a capacity lower than licensing standards would normally allow.

See 3313.6 Confirming Fire and Health Inspections (Except for Listed Homes)

 

3424.4 Special Services for Residential Operations

September 28, 2018

 

Procedure

If a type of service offered by an operation is not listed as a restriction on the permit and is a service included in the applicable minimum standards, the inspector adds it as a condition to the permit.

Special services include:

  • (Interstate Compact on the Placement of Children (ICPC)
  • Young Adult Care
  • International Adoptions
  • Physically Challenged
  • Human Trafficking
  • Office of Refugee Resettlement

If more than one type of programmatic service is offered in addition to therapeutic camp services at a general residential operation (GRO), add it as a condition to the permit to reflect the appropriate age range for that program.

A child-placing agency or independent foster home that requests to provide emergency services must have that service included as a condition on the permit.

40 TAC §745.4201

26 TAC §748.4403

 

3424.41 Emergency Services for Child-Placing Agencies and Independent Homes

September 2015

 

Procedure

A child-placing agency or independent foster home that requests to provide emergency services must have that service included as a condition on the permit.

The inspector also follows these procedures for a child-placing agency (CPA) or independent foster home that wants to accept a child for placement from law enforcement:

  • Before accepting a child from a law enforcement officer, the operation must ask the inspector for authorization by submitting Form 2961 Request to Accept Children from Law Enforcement.
  • After receiving the request, the inspector must:
    • review the operation’s compliance history to ensure the operation is not on corrective action or under any adverse action;
    • review the operation’s emergency admissions policy to determine if it is equipped to accept this type of emergency admission; and
    • add that condition to the permit if the inspector determines that the operation should be authorized to accept this type of emergency admission.

40 TAC §§745.4201-745.4205

26 TAC §§749.1181-749.1189; 750.501(3)

 

3424.5 Temporary Conditions

September 2015

 

A temporary condition may be set for deficiencies with minimum standard rules that do not pose a risk to children if compliance will be achieved within three months.

 

3425 Amend the Permit When Necessary

September 2015

 

Procedure

Adding conditions may require amending a current permit. See 3810 Circumstances That May Require Amending the Permit.

 

3430 Recommending Denial of a Permit

September 2015

 

Procedure

The inspector does not issue a permit if the operation:

  • does not comply with administrative rules, minimum standards, or the law; or
  • the applicant knowingly and willfully provides false information during the application process.

Texas Human Resources Code §§42.052; 42.072; 42.163; 42.210

40 TAC §745.8605(1)

If recommending denial, the inspector submits the documentation to the supervisor.

If the supervisor and district director or manager concurs with the recommendation, the inspector consults with a Licensing attorney before denying the permit.

See 7600 Adverse Actions.

 

3500 Steps to Take After Issuing the Initial License

 

 

3510 Evaluating During the Initial License Period

July 2018

 

The initial license period allows an operation to demonstrate understanding of minimum standards and ensure a safe environment for children with minimal monitoring by Licensing.

The inspector provides technical assistance during this time to help the provider develop the knowledge needed to maintain compliance.

If an operation’s deficiencies result in the inspector making a determination that the operation poses a risk to the health and safety of children, Licensing denies the full license.

Texas Human Resources Code §§42.047; 42.048; 42.072

TAC §§745.343; 745.347; 745.8605; 745.8607

See also:

3511 Conducting Inspections During the Initial License Period

3520 Renewing an Initial License

3531 Time Frame for Issuing a Full License

4154 Technical Assistance

7600 Adverse Actions

 

3511 Conducting Inspections During the Initial License Period

September 2015

 

In order to determine whether law, administrative rules, and minimum standards are met on a continuing basis, the inspector conducts inspections while children are in care.

 

3511.1 Frequency of Inspections

September 2015

 

The inspector conducts at least three unannounced inspections while children are in care to determine whether law, administrative rules, and minimum standards are met on a continuing basis.

The inspector obtains supervisory approval before making an announced inspection.

40 TAC §745.351

Procedure

The inspector inspects the operation within two months after issuance of the initial license, if it is operating. The final (usually third) inspection must be made at least 14 days before expiration of the permit.

The inspector reevaluates compliance with all applicable law, administrative rules, and minimum standards during the initial period, and does the following:

  • plans and conducts the inspections according to the information in 4140 Preparing for Inspections and 4150 Conducting Inspections;
  • discusses the results of the inspection and any deficiencies with the person in charge at the conclusion of each inspection as required by 4170 Conducting the Exit Conference; and
  • sends a copy of the CLASS Form 2936 Child Care Facility Inspection to the permit holder and those as required by Appendix 3000-2: Notifying the Operation.

Inspecting Child-Placing Agency (CPA) Branch Offices During the Initial License Period

Procedure

If a CPA opens a branch office during the initial license period, the inspector conducts a monitoring inspection at the branch office and evaluates all minimum standards within two months after the branch office opens.

Additional monitoring inspections are conducted at the same interval as those conducted for the CPA’s main office.

 

3520 Renewing an Initial License

September 2015

 

An initial license is valid for six months from the date it is issued and may be renewed for one additional six-month period with supervisory approval.

Texas Human Resources Code §42.051(b)

40 TAC §745.347

Procedure

The inspector renews an initial license when an operation:

  • does not provide care for unrelated children during the initial period or begins operation so late in this period that continuing compliance cannot be determined; or
  • fails to establish continuing compliance with minimum standards and additional time is needed to establish a pattern of compliance.

 

3521 How to Renew an Initial License

July 2018

 

Procedure

The inspector discusses the recommended decision to renew the initial license with the permit holder. The inspector informs the operation that a new application must be submitted and a fee for the new initial license must be paid.

The governing body may submit a new application or may re-sign and re-date the original. If the permit holder agrees, the inspector proceeds with acceptance of the new application and renewal of the initial license.

The second initial permit may be entered into the CLASS any time up to the first day after the first initial permit expires. For example, if the initial permit expires August 31, the second initial permit must be entered in CLASS no later than September 1.

The inspector develops a plan of action for the operation to achieve compliance during the second initial period, as appropriate. If the permit holder does not agree, the inspector informs the permit holder that a denial of the full license will result and the operation must close.

40 TAC §§745.347; 745.349; 745.353

See also:

7350 Plan of Action

7600 Adverse Actions

7620 Criteria for Taking Adverse Action

 

3530 Full License

 

 

3531 Time Frame for Issuing a Full License

July 2018

 

The inspector signs and mails the full license and issuance letter (which are both generated in CLASS) within six months after the date the initial license is issued or renewed.

The full license must be issued no later than the first day after the initial permit expires. For example, if the initial permit expires August 31, the full license must be entered in CLASS no later than September 1.

The effective (issuance) date of the permit is the date that the inspector signs the permit. The full permit supersedes the initial license.

 

3531.1 Criteria for Issuing a Full License

July 2018

 

The inspector issues the full license when:

  • the initial license has been in effect for at least three months;
  • the operation has satisfied initial licensing requirements by maintaining compliance on a continuing basis;
  • three inspections have been made while children are in care, unless supervisory approval has been secured to make fewer inspections;
  • payment of the full license fee has been verified; and
  • the Licensing record is updated to reflect the basis for issuance.

40 TAC §745.351

If an investigation is in progress at the end of the initial period, the inspector delays the decision to issue the full license until the investigation is complete, or recommends denial. The initial license continues in effect and does not expire until a decision to issue or deny is made. The inspector documents the reason for the delay in CLASS.

 

3532 Full License for an Operation that Changes Ownership or Location

July 2018

 

Procedure

If a licensed or certified operation (other than a child-placing agency or an operation with a compliance certificate) changes its ownership or location, the permit is automatically revoked. However, an operation that was licensed at the time it changed ownership or location qualifies for a full license without going through the initial license period if the operation does not change:

  • policy and procedure, including the type of child care services offered; and
  • the staff who have direct contact with the children.

A child-placing agency that changes location is not required to submit an application for a new permit.

Exception for an Operation Not in Compliance

The inspector may issue an initial license in lieu of a full license to a previously licensed operation that:

  • changed ownership or location; and
  • has not demonstrated full compliance with statute, rule, and minimum standards.

Texas Human Resources Code §§42.048; 42.051

40 TAC §§745.321; 745.345

See also:

3313.4 Evaluating Compliance

3832 Change of an Operation’s Location

3833 Change of Ownership

 

3540 Decision Not to Recommend Issuance

July 2018

 

The inspector obtains supervisory approval if recommending that the initial license be allowed to expire without issuing a full license. See 3230 Withdrawal of an Application for a Permit.

Texas Human Resources Code §42.051(b)

40 TAC §745.347

 

3550 Denying a Full License

July 2018

 

Procedure

If the recommendation is to deny issuance of a full license, the inspector sends documentation to the supervisor before the end of the initial period so that the intent to deny letter can be signed within the six months.

See:

7600 Adverse Actions

7620 Criteria for Taking Adverse Action

 

3700 Denial of an Application for a Permit and Reapplying After Denial or Revocation

 

 

3710 Denial Because of Failure to Comply With Minimum Standard Rules, Administrative Rules, or Law

April 2010

 

An application for a permit may be denied because the operation has failed to comply with minimum standard rules, administrative rules, or the law.

Procedure

The inspector denies the application according to procedure in 7600 Adverse Actions.

Texas Human Resources Code §42.072

 

3711 Denial Because of Background Information

September 2015

 

Central Registry, criminal history, or sustained controlling person background check results that involve an applicant, controlling person, or a non-client residing at the operation may require staff to deny a permit.

See:

3231.1 Basis to Deny a Permit for an Unsustained Central Registry Finding

3312 Conducting Background Checks

10250 Handling Unsustained Central Registry Findings

10260 Handling Sustained Central Registry Findings

10760 When to Deny or Revoke a Permit Based on Criminal History or Child Abuse or Neglect History

 

3712 Deficiency for Which Correction Will Exceed Application Time Frame

April 2010

 

Deficiency may be found during the on-site inspection that cannot be corrected during the application time period. This is not applicable to listed home permits.

 

3713 Compliance History Indicates Inability to Meet Minimum Standard Rules

April 2010

 

The applicant may have a history of deficiencies under previous permits that result in a determination that the applicant will not be able to provide care for children that complies with minimum standard rules.

 

3714 Failure to Meet the Requirements of Public Notice or Hearing Laws

April 2010

 

For residential licensing, the failure occurs when an applicant does not meet the requirements of public notice or hearing laws, including submitting the results of the public hearing.

Texas Human Resources Code §§42.072; 42.0461

 

3720 Application for a License, Certificate, Registration, or Listing is Received and a Past Denial or Revocation Exists

September 28, 2018

 

A person whose license, certificate, registration, or listing is denied or revoked is not eligible to apply for one of those permits before the fifth anniversary of the date on which the denial or revocation by HHSC or court order took effect, whichever is later.

Texas Human Resources Code §42.072

 

3721 Criteria for Acceptance of an Application

June 2016

 

Procedure

The inspector accepts a complete application from an operation that is not providing care if:

  • at least five years have passed since a previous denial or revocation took effect; and
  • the applicant is qualified to apply. See 3223 Evaluating an Application for Completeness.

 

3722 Requirement That the Operation Be Closed Pending Issuance

April 2010

 

Procedure

The inspector does not:

  • accept an application from an operation that is providing care; and
  • issue the permit if the operation begins providing care before issuance.

 

3723 Reimbursement for Publishing the Notice of Revocation

September 28, 2018

 

Procedure

If an application is submitted more than five years after the revocation of a permit, the applicant must submit verification that the cost of reimbursing HHSC for publishing the notice of revocation has been paid. See 7633 Notice of Decision to Deny, Revoke, or Suspend an Application or Permit.

40 TAC §745.407

 

3724 Compliance History Indicates Inability to Meet Minimum Standard Rules

June 2016

 

Procedure

The applicant may have a history of deficiencies under previous permits that results in a determination that the applicant will not be able to provide care for children that complies with minimum standard rules.

 

3800 Handling Changes in an Operation, Type of Permit, Location, and Ownership

 

 

3810 Circumstances That May Require Amending the Permit

July 2018

 

Changes Affecting Restrictions or Conditions

The permit may need to be amended because of changes requested by the operation that affect restrictions or conditions on the permit, including:

  • an increase or decrease to the operation’s infant capacity, if the operation is a licensed child care center;
  • an increase or decrease to the operation’s total capacity;
  • an increase or decrease in outdoor or indoor space to accommodate children;
  • a change in the age range of children in care;
  • a reduction in the number of toilets or sinks;

26 TAC §§744.301; 746.301; 747.301; 748.153

  • a change in the type of service, for residential operations;
  • a change from a before or after-school program to a school-age program (or the reverse);
  • the opening or closing of, or a change in the location of, a branch office for child-placing agencies; or
  • a change of location by a listed family home, registered child care home, or child-placing agency.

Changes Required to Be Reported To Licensing

Administrative rules and minimum standards for all types of operations (except listed homes and operations that have compliance certificates) require an operation’s governing body to notify Licensing before making any change that would violate the restrictions or conditions on the permit.

26 TAC §§744.301; 746.301; 747.301; 748.1203; 749.1101; 750.153; 750.1009

If a child-placing agency is going to move, the permit holder must notify Licensing of the move no later than 15 days before the move.

40 TAC §745.435

Changes that are Not Reported

The permit may need to be amended because of changes made by the permit holder that are not reported and that affect either the restrictions or conditions on the permit, or both.

The inspector must address the change as soon as he or she learns of it and determine if the failure to report the change was a violation of minimum standards.

Changes Imposed by Licensing

The permit may need to be amended because of changes imposed by Licensing to remedy a failure to comply with the licensing statute, administrative rules, or minimum standards.

If the permit holder does not agree to a change that the inspector is imposing as a remedy, the inspector handles the amendment as an adverse action. A permit holder has a right to an administrative review and appeal when Licensing staff plan an adverse amendment after issuance that changes restrictions or conditions to a permit.

See:

7600 Adverse Actions

7700 Legal Actions When an Operation Disagrees with the Actions of an Inspector.

Changes Imposed by Governmental Entities Other than Licensing

If Licensing learns of local ordinances or regulations that would affect the restrictions or conditions on the permit, Licensing staff amend the permit in order to comply with those ordinances or regulations.

 

3811 When and How to Evaluate a Change that Poses Risk to Children

July 2018

 

The inspector must evaluate the change and may deny the request if it would pose a risk to children. The operation must wait until the changes are approved by Licensing before making the change in the operation. The inspector must evaluate the following changes before approving them:

  • an increase or decrease to the operation’s infant capacity, if the operation is a licensed child care center;
  • an increase or decrease to the operation’s total capacity;
  • an increase or decrease in outdoor or indoor space to accommodate children;
  • a change in the age range of children in care;
  • a reduction in the number of toilets or sinks; and
  • a change in the type of service, for residential operations.

If the operation is on an evaluation or probation plan, or has been notified of adverse action, the inspector must deny the request for a change if the change would increase the risk to children.

Procedure

Evaluating Physical Changes to the Operation

A physical change includes:

  • additions or reductions to indoor space to be used by children in care;
  • addition of a swimming pool or other permanent  body of water on the premises;
  • the increase or decrease in outdoor space (for child care centers, school-age programs, and before or after-school programs); or
  • a child-placing agency that moves to a new location.

Conducting an Inspection

If a physical change has been made to the operation, the inspector conducts an inspection within 30 days after receiving the information from the operation. The inspector evaluates all standards related to the child-placing agency’s location and building.

Obtaining Fire and Health Inspections

The inspector ensures that a licensed operation obtains approved fire and health inspections as required when adding space to increase capacity.

This does not apply to licensed child care homes.

Evaluating a Request to Increase Capacity

If the operation has requested an increase in capacity, the inspector evaluates the request by reviewing floor plans or conducting an inspection to verify that the operation has adequate space, toilets, and sinks to accommodate the increase.

Public Hearing Requirements for Residential Operations

For residential child care operations that are subject to public notice and hearing requirements, the notice must be published after the request to increase capacity has been evaluated by Licensing (see 3321 Public Notice and Hearing Requirements for Residential Licensing and its sub-items).

Evaluating Other Requests

For all other requests, the inspector reviews the operation’s compliance history and may also review the operation’s policies. The inspector may also conduct an inspection to determine if the requested changes are appropriate.

If changes to the permit are approved, the inspector makes those changes according to 3823 How to Amend the Permit in CLASS.

 

3812 When a Listed Family Home, Registered Child Care Home, or Child-Placing Agency Changes Location

July 2018

 

Child-Placing Agency

If a child-placing agency (CPA) is going to move, the permit holder must notify Licensing of the move no later than 15 days before the move. The inspector sends Form 2969 CPA Change of Address letter to the permit holder. The permit holder completes page two of the form and returns it to Licensing. The inspector processes the move as an amendment to the license and inspects the new location before issuing the amended permit.

There is no additional fee for a change in location for a CPA.

If a CPA moves without giving Licensing timely notification of the move, the license may be revoked.

40 TAC §745.435

Listed Family Home or Registered Child Care Home

If a listed family home or registered child care home changes location, the permit holder must notify Licensing as early as possible before the move, but no later than 15 days after the move.

The inspector provides CLASS Form 2811 Change of Address Request, and the permit holder must complete the form showing the new address.

For a listed family home, the inspector amends the listing permit to reflect the new address. For a registered child care home, the inspector conducts an inspection and evaluates for compliance with the standards affected by a change in location. If there is compliance with minimum standards, the inspector amends the registration permit to reflect the new address.

The issuance date on the listing or registration permit is not changed and the listing or registration remains in effect.

There is no additional fee for a change in location for the listed or registered operation. If a listed or registered operation moves without notifying Licensing within 15 days of the move, the listing or registration permit may be revoked.

40 TAC §§745.431; 745.433

 

3820 How to Evaluate and Process Amendments to a Permit

 

 

3821 How to Address Plans for Change

July 2018

 

Procedure

Determine whether the change will necessitate amending the permit. When information about a plan for changing the operation is received, the inspector completes the following tasks:

  1. Determine whether the changes could violate statute, administrative rules, or minimum standards.
  2. Discuss the change with the permit holder or designee to ensure agreement with the changes to the permit.
  3. If compliance is established, document the changes in CLASS, which may include processing the amendment by preparing a new permit.

 

3822 Documenting Changes for Child Day Care Operations When Amending the Permit is Not Required

July 2018

 

Procedure

Licensed or Certified Child Day Care Operations

If amending the permit is not required but the restrictions recorded on Form 2910 Application for a License to Operate a Child Day Care Facility have changed, the inspector documents the changes in the operation’s record in CLASS and notes the changes made in CLASS Chronology.

Registered Child Care Homes

If amending the permit is not required, but the restrictions recorded in CLASS have changed, the inspector documents the changes in the operation’s record in CLASS.

Restrictions that do not require an amendment of the permit include changes to the operation’s capacity, the ages of the children, and the hours, days, and months of operation.

Licensing staff document any conditions or restrictions that need to be noted on the permit in the Description box of the Conditions for Permit, Registration or Certification section of the operation’s Issuance page in CLASS.

 

3823 How to Amend the Permit in CLASS

July 2018

 

Procedure

If amending the permit is necessary, the inspector enters information in CLASS as follows:

  1. If the operation is a listed family home, registered child care home, or a child-placing agency (including a branch office), and changes are made to the operation’s address, the inspector documents and validates the new address on the operation’s Main page in CLASS.
  2. If the operation is a child-placing agency or a general residential operation and the operation made changes to the services the operation provides, the inspector documents the changes in services on the operation’s Main page.
  3. If the operation made changes to the capacity or the gender and ages served, the inspector documents the changes in the Restrictions section on the Issuance page.
  4. If the inspector places any other conditions on the permit, he or she documents the changes and the effective date in the Conditions for Permit, Registration, or Certificate section on the Issuance page.
  5. For all changes, the inspector documents an effective date and a summary of the reason for the amended permit in the Full Issuance Amendments section on the Issuance page.
  6. The inspector creates and prints a copy of the amended permit and applicable issuance letter and mails or delivers the copy to the operation. 

Adverse Amendments

If the permit holder does not agree to the changes, the inspector handles the amendment as an adverse action.

The inspector sends the necessary documentation with the amendment recommendation to the Licensing supervisor for approval.

The inspector mails the permit with a certified letter prepared according to 7600 Adverse Actions.

 

3830 Changes that Require an Application for a New Permit

July 2018

 

The governing body or owner of an operation must apply for a new permit and submit the appropriate fees for a change in:

  • permit type;
  • location for operations other than listed family homes, registered child care homes, temporary shelter programs, small employer-based child care operations, and child-placing agencies; and
  • ownership (see 3833 Change of Ownership).

40 TAC §§745.429; 745.435; 745.437

26 TAC §§ 744.301; 746.301; 747.301; 748.153; 749.153

 

3831 Change to Type of Permit

July 2018

 

A governing body’s request to change permit type may include:

  1. a licensed operation becoming a registered or listed operation or an operation with a compliance certificate;
  2. an independent foster home becoming a general residential operation;
  3. a registered operation home becoming a licensed or listed operation;
  4. a listed operation becoming a registered or licensed operation;
  5. an operation with a compliance certificate becoming a licensed operation; or
  6. a licensed operation transitioning into another licensed type of operation that is governed under a different chapter of minimum standards.

 

3831.1 Establishing Compliance with Minimum Standards

July 2018

 

The operation must establish compliance with the minimum standards applicable to the new type before a new permit is issued.

See 3310 Evaluating Before Issuing a Permit, to determine whether to issue an initial or full permit to a licensed operation.

See 3313 Inspecting the Operation (Except Listed Homes), to determine which administrative rules or minimum standards must be evaluated for compliance before issuance.

 

3832 Change of an Operation’s Location

July 2018

 

If a licensed or certified operation (other than a child-placing agency) changes its location, the permit is automatically revoked. However, an operation that was licensed at the time it changed location qualifies for a full license without going through the initial license period. This applies only if the operation does not change:

  • policy and procedure, including the type of child care services offered; and
  • the staff who have direct contact with the children.

Procedure

The permit holder must notify Licensing as early as possible before the move and reapply for a new permit in order to operate at the new location. If the permit holder did not notify Licensing of the change in location, but Licensing staff learns that a licensed or certified operation (other than a child-placing agency) has changed or will change location, the inspector sends CLASS Form Vol Suspension/Relocation/Clsr Letter 2865e, 2825 to the permit holder confirming the move. Along with the form Licensing staff must include new application materials (or instructions on where to find a copy of the application materials online) if they had not been provided previously.

Licensed operations must pay new application and license fees. Certified operations and operations with compliance certificates must pay new application fees.

Texas Human Resources Code §42.048

26 TAC §§743.7; 750.1009(1)

40 TAC §§745.429; 745.435

See 3532 Full License for an Operation that Changes Ownership or Location.

 

3833 Change of Ownership

July 2018

 

If a change in ownership occurs in an operation, the permit is revoked.

A change in ownership includes any of the following:

  1. The owner stated on the permit no longer owns the operation.
  2. The governing body stated on the permit no longer has the ultimate authority and responsibility for the operation.
  3. There is a change in the legal organizational structure of the operation.
  4. If the permit holder is a type of business entity, and that business entity is sold.

Exception

If the permit holder is a type of business entity, and that business entity is sold, a change in ownership of an operation does not include the acquisition of a corporate permit holder’s publicly traded stock if all of the following conditions exist:

  1. The corporate permit holder listed on the application and on the permit will continue to exist as the same corporate entity and to own and operate the operation.
  2. There will be no change in the operation’s policy or procedure because of the transaction.
  3. There will be no change in the staff who have contact with children in care because of the transaction.
  4. Any change in the day-to-day operations that might occur after the sale is in the ordinary course of business and not as a result of the stock transaction.

Texas Human Resources Code §42.048

40 TAC §745.437

Procedure

The permit holder must notify Licensing as early as possible before the change in ownership, and the new owner must apply for a new permit. If the permit holder did not notify Licensing of the change in ownership, but Licensing staff learn that an operation has changed or will change ownership, the inspector sends CLASS Form Vol Suspension/Relocation/Clsr Letter 2865e, 2825, to the permit holder or the new owner, as appropriate, confirming the change. The inspector also provides application materials to the new owner or instructions on where to find a copy of the application materials online.

Operations must pay new application and license fees, as applicable.

40 TAC §745.439

26 TAC §§744.303; 746.303; 748.153; 749.153; 750.123(1)

 

3834 Steps to Process an Application

July 2018

 

Procedure

For licensed operations, see 3313.4 Evaluating Compliance to determine whether an initial or full license permit is needed.

The application is processed according to the procedures in 3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing Permit.

 

3834.1 When a Permit is Added or Replaced

July 2018

 

Policy

A new permit will supersede the old unless the operation is adding an additional permit.

 

3834.2 Public Notice and Hearing Requirements

July 2018

 

For residential child care, applicants may be subject to public notice and hearing requirements. See 3321 Public Notice and Hearing Requirements for Residential Licensing.

Texas Human Resources Code §42.0461

 

3834.3 Documentation in CLASS

July 2018

 

Procedure

In the CLASS, a new operation number will be given for a new application.

To retain the history of the operation, the inspector enters the operation number in the Issuance History field on the new operation’s Main page in CLASS.

See also 2200 Types of Child Care and Multiple Operations.

 

3840 When Operations are Ineligible for Grandfather Provisions if Location or Ownership Changes

 

 

3841 Child Day Care

July 2018

 

If a child day care operation that was issued a permit before September 1, 2003, changes location or ownership, the operation can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 746 and 747,unless the inspector and inspector’s supervisor has determined that a change in ownership has not nullified the grandfather provisions.

Texas Human Resources Code §42.048(e)

 

3842 Residential Child Care

July 2018

 

If a residential child care operation that was issued a permit before January 1, 2007, changes location or ownership, the operation can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 748, 749, and 750, unless the inspector and inspector’s supervisor have determined that a change in ownership has not nullified the grandfather provisions.

Texas Human Resources Code §42.048(e)

 

3900 Permit Renewal

 

 

3910 Overview of Permit Renewals

 

 

3911 Operations Subject to Permit Renewal

July 2018

 

A full license, certificate, and registration will expire if it is not renewed.

Permit renewal requirements do not apply to listed family homes, temporary shelter programs, and small employer-based child care operations.

40 TAC §745.471

Human Resources Code §§42.048, 42.050, 42.052

 

3912 When an Operation’s Permit Renewal is Due

July 2018

 

An operation that is subject to permit renewal must renew its permit on the second anniversary of the issuance of the full permit and every two years thereafter.

For operations that received a permit before December 1, 2017, the renewal schedule is as follows:

If an operation received its full permit before 12/01/17 and… The operation’s first renewal is due on… Subsequent renewals are due…
the full permit was issued in an even numbered year the full permit’s anniversary date in 2018 every two years thereafter
the full permit was issued in an odd numbered year the full permit’s anniversary date in 2019 every two years thereafter

40 TAC §745.473

 

3913 Definitions of Renewal Period and Late Renewal Period

July 2018

 

The “renewal period” is the period beginning 60 days before the full permit’s anniversary date and ending on the anniversary date, which occurs in the year the operation must renew its permit. An operation may not submit a renewal application before the renewal period begins.

The “late renewal period” is the 30-day period after the renewal period ends. A renewal application submitted during the late renewal period is considered a late renewal application. An operation must submit a renewal application by the end of the late renewal period to avoid expiration of its permit.

40 TAC §745.473

 

3920 Permit Renewal Application Process

 

 

3921 Notifying the Operation and Sending the Permit Renewal Application

July 2018

 

At the beginning of an operation’s renewal period, Licensing notifies the operation that the operation’s permit renewal is coming due.

Procedure

Operation Has Contact Email Address

If the operation’s contact email address is listed in CLASS, CLASS sends a system-generated email to the operation that includes the notification and instructions for submitting a renewal application online. CLASS sends a copy of this notice to the inspector.

Operation Does Not Have Contact Email Address

For operations that do not have a contact email address listed in CLASS, Licensing staff must generate a copy of the notification letter and pre-populated renewal application on the Permit Renewal page in CLASS and mail to the operation by the beginning of the operation’s renewal period.

 

3922 How an Operation Submits a Permit Renewal Application

July 2018

 

Procedure

An operation may submit a permit renewal application online through the provider's online Child Care Licensing Account or mail a paper renewal application.

If an operation received a system-generated email with instructions for completing the permit renewal application online, but prefers to submit a paper application, the Licensing inspector:

  • selects the Provider Requests Paper check box on the Permit Renewal page in CLASS;
  • generates the notification letter and pre-populated renewal application on the Permit Renewal page; and
  • prints and mails the letter and renewal application to the operation.

 

3923 Time Frames for Reviewing a Permit Renewal Application

July 2018

 

The Licensing inspector has 15 days from the date Licensing receives the renewal application to:

  1. review the renewal application for completeness;
  2. verify the operation has paid all fees and administrative penalties in the past two years; and
  3. either renew the operation’s permit or reject the renewal application.

40 Texas Administrative Code §§745.475; 745.477

 

3924 Reviewing the Permit Renewal Application

August 2019

 

A completed renewal application includes:

  • verification that the following information about the operation is current and accurate;
  • basic information, including mailing address, business phone, email address, hours and days of operation, and services provided;
  • a list of controlling persons;
  • a list of the governing body’s members (not applicable for registered child care homes;
  • documentation of whether the operation continues to need any existing waivers and variances;
  • verification that the operation is complying with background check requirements, including that the validation of the operation's Employee List is not overdue; and
  • verification that the operation does not have any overdue fee or administrative penalty payments.

26 Texas Administrative Code §§745.475; 745.477; 745.651

 

3924.1 Reviewing a Paper Permit Renewal Application

August 2019

 

Procedure

In CLASS, the Licensing inspector:

  1. indicates “paper submission” under the Current Permit Renewal section on the Permit Renewal page;
  2. enters the date the application was received on the Permit Renewal Application Details page; and
  3. reviews each section of the application.

The inspector then completes the tasks below on the Permit Renewal Application Details page.

 

Operation Details

The inspector indicates whether the operation made any updates to the operation’s information. If the operation made any updates, the inspector also updates the operation’s information in the applicable page in CLASS.

 

Controlling Person Details

The inspector indicates whether the operation added any controlling persons or ended any controlling person’s association with the operation. If the operation added controlling persons, the inspector indicates whether the operation submitted the addition on Form 2760, Controlling Person – Child Care Licensing, or through the provider’s online account. The inspector follows the policies in 5400 Controlling Person to end-date or add a controlling person to CLASS.

 

Governing Body Details (Not Applicable to Registered Child Care Homes)

The inspector indicates whether the operation has any vacant positions in the governing body or has made any changes to the governing body. If the operation made changes to the governing body, the inspector indicates whether the operation submitted the changes on Form 2911, Child Care Licensing Governing Body/Director Designation, or Form 2819, Residential Child Care Licensing Governing Body/Administrator or Executive Director Designation, or through the operation’s online account. The inspector follows the policies in 3213.1 Governing Body and Licensing Responsibilities and makes the appropriate updates in CLASS.

 

Waiver/Variance Details

The inspector indicates whether the operation no longer needs a waiver or variance or needs to submit a new request for an expired waiver or variance. If the operation needs to submit a new request for an expired waiver or variance, the inspector indicates whether the operation submitted the request on Form 2937, Child Care Licensing Waiver/Variance Request, or through the operation’s online account. The inspector follows the policies in 5100 Waivers and Variances to process the request.

The inspector must verify that the operation took action on each expired waiver or variance request.

 

Background Check Details

The inspector indicates whether the operation certified that the operation has:

  • submitted background checks on all persons as required by 26 TAC Chapter 745, Subchapter F; and
  • validated the Employee List in accordance with rules.

 

Fees Details

The Licensing inspector indicates whether all fees and administrative penalties for the past two years are paid. The inspector follows the policy in 3924.3 Verifying Fee and Administrative Penalty Payments.

26 TAC §745.475; 745.651

 

3924.2 Reviewing a Permit Renewal Application Submitted Online

July 2018

 

Procedure

The Licensing inspector indicates whether all fees and administrative penalties for the past two years are paid on the Permit Renewal Application Detail page in CLASS. The Licensing inspector follows the policy in 3924.3 Verifying Fee and Administrative Penalty Payments.

 

3924.3 Verifying Fee and Administrative Penalty Payments

July 2018

 

Procedure

The Licensing inspector verifies that the operation does not have any overdue fee or administrative penalty payments. The inspector verifies that fees and administrative penalties have been paid by reviewing payments on the:

  • Payment Information Summary page; and
  • Administrative Penalty Details page.

The inspector may need to contact the operation to verify fee payments or search for unlinked payments on the Verify Payments page in CLASS.

The inspector then indicates if any fees or administrative penalties are overdue on the Permit Renewal Application Details page in CLASS. An administrative penalty is not overdue until 30 days past:

  • the date the order was sent; or
  • the date the court upheld the penalty.

If one or more fees or administrative penalties are overdue, the inspector adds each fee or penalty separately. For each fee or penalty that is overdue, the inspector documents:

  1. the type of fee or penalty that is overdue (annual, background check, or administrative penalty);
  2. the amount that is overdue;
  3. the year the fee was due for annual fees; and
  4. the administrative penalty tracking number for the penalties.

If the inspector is able to verify a payment after adding the fee or penalty to the Permit Renewal Application Details page, the inspector may delete the row.

 

3924.4 Working with the Operation to Complete the Renewal Application

July 2018

 

Procedure

Before rejecting the renewal application, the Licensing inspector must assist the operation in completing the renewal application if:

  1. the inspector has any questions about the operation’s responses on the renewal application;
  2. the provider has not fully completed the paper renewal application; or
  3. the inspector needs to verify fee payments.

 

3925 Accepting a Completed Renewal Application

July 2018

 

Procedure

The Licensing inspector accepts the renewal application and renews the permit when the renewal application is complete. When submitted online, the renewal application is complete when no fees or penalties are overdue. For a paper renewal application, it is complete when no fees or penalties are overdue and the operation has completed all fields in the application and submitted all accompanying forms, whether in paper format or online.

The inspector renews the operation’s permit by sending the operation CLASS Form Permit Renewal Issuance Notification, which the operation must then post next to its permit.

40 Texas Administrative Code §745.479

 

3926 Rejecting a Renewal Application

July 2018

 

If the permit renewal application is incomplete or the operation has overdue fees or administrative penalty payments, the licensing inspector rejects the renewal application when:

  • the provider does not respond to phone calls or emails regarding the renewal application; and
  • a supervisor or program administrator has approved the decision to reject the renewal application.

Procedure

The Permit Renewal Application Details page displays system-generated reasons for rejecting the renewal application. The Licensing inspector may also document rejection reasons or provide further explanation in the Rejection Reasons narrative box on the Permit Renewal Application Details page.

The Licensing inspector rejects the permit renewal application by selecting Proceed to Reject on the Permit Renewal Application Details page.

 

3926.1 Notifying the Operation of Rejecting the Permit Renewal Application During the Renewal Period

July 2018

 

Procedure

If the operation submitted the renewal application during the renewal period, the Licensing inspector sends the CLASS Form Permit Renewal Application Rejection Notification to the operation. The notification includes a list of reasons why the permit renewal application was rejected and contains instructions and deadlines for resubmitting the permit renewal application.

Operation Has Contact Email Address

If the operation has a contact email address in CLASS and has not indicated a preference for a paper renewal application, CLASS will automatically generate and send the notification to the operation.

Operation Does Not Have Contact Email Address

If the operation does not have a contact email address in CLASS or has indicated a preference for a paper renewal application, the inspector prints and mails the rejection letter (which includes a new renewal application) to the operation.

 

3926.2 Notifying the Operation of Rejecting the Permit Renewal Application During the Late Renewal Period

July 2018

 

Procedure

If the operation submitted the renewal application during the late renewal period, the Licensing inspector sends the CLASS Form Final Permit Renewal Application Rejection Notification (which includes a new renewal application) to the operation. The notification includes a list of reasons why Licensing rejected the permit renewal application, and:

  • instructions and deadlines for resubmitting the permit renewal application, if the operation is eligible to submit another renewal application; or
  • a statement that the operation is not eligible to submit another renewal application.

Operation Has Contact Email Address

If the operation has a contact email address in CLASS and has not indicated a preference for a paper renewal application, CLASS will automatically generate and send the notification to the operation.

Operation Does Not Have Contact Email Address

If the operation does not have a contact email address in CLASS or has indicated a preference for a paper renewal application, the inspector prints and mails the rejection letter to the operation.

 

3930 Expiration of a Permit

July 2018

 

There are three ways a permit can expire:

  1. The operation does not submit a permit renewal application by the end of the late renewal period.
  2. Licensing rejects a permit renewal application that the operation submitted during the renewal period, and the operation does not submit another renewal application by the end of the late renewal period.
  3. Licensing rejects a permit renewal application that the operation submitted during the late renewal period, and the operation does not submit a complete renewal application within 15 days after the date of rejection.

40 TAC §745.481

Procedure

The CLASS will identify any operation that meets one of the conditions for expiration of the permit.

Within five days of receiving the To-Do notification that an operation meets the conditions for expiration, the inspector must either work with the operation to accept the renewal application or expire the permit.

To expire the permit of an operation that meets one of the conditions for expiration, the Licensing inspector must:

  1. obtain supervisory approval to expire the permit;
  2. document the reason for the expiration, the name of the supervisor who approved the expiration, and the date of the approval in the Comments narrative box in the Expire Permit section on the Permit Renewal page;
  3. select Proceed to Expire Permit;
  4. print and sends the CLASS Form Permit Expiration Notification to the operation via certified mail; and
  5. set the Operating Status to “No” on the operation’s main page in CLASS and enter the date the permit was expired as the Effective Date.

A supervisor may provide approval for the inspector to exceed the five-day time frame. Natural disasters or other issues beyond the operation’s control that may have interrupted mail services or otherwise prevented the operation’s ability to meet the deadline should be considered before expiring the operation’s permit.

The inspector documents the supervisor’s approval to exceed the five-day time frame in a Chronology (type Renewal). Documentation must include the supervisor’s full name and date of approval.

 

3931 Closing the Operation Due to Expiration of the Permit

July 2018

 

Procedure

Within 15 days of expiring the permit and sending the CLASS Form Permit Expiration Letter, the Licensing inspector conducts an inspection to verify the operation no longer cares for children. If the operation is caring for children, the inspector generates a new illegal operation investigation to ensure the operation closes or becomes permitted. The inspector or staff assigned to the operation then closes the operation in CLASS and follows the procedures in 6560 Investigations of Illegal Operations.

After conducting an inspection, the inspector takes the following actions on the Application/Closure page in CLASS:

  • generates the CLASS Form 2865e, 2825 Vol Suspension/Relocation/Clsr Letter, selects the appropriate statement about expiration of a permit, and mails notification to the operation;
  • enters the current date in the Closure Date field; and
  • selects Permit Expired as the reason for the closure.

 

3932 When Operations are Ineligible for Grandfather Provisions if Ownership Changes

 

 

3932.1 Child Day Care

April 2010

 

If a child day care operation that was issued a permit before September 1, 2003, changes ownership, the operation must comply with all current minimum standard rules and can no longer operate under any of the grandfather provisions in Texas Administrative Code (TAC) Chapters 746 and 747.

Texas Human Resources Code §42.048(e)

 

3932.2 Residential Child Care

April 2010

 

If a residential child care operation that was issued a permit before January 1, 2007, changes ownership, the operation must comply with all current minimum standard rules and can no longer operate under any of the grandfather provisions in Chapters 748, 749, and 750 of the Texas Administrative Code.

Texas Human Resources Code §42.048(e)

 

3933 Steps to Process an Application

September 2012

 

 

Procedure

For licensed operations, see 3313.4 Evaluating Compliance to determine whether an initial or non-expiring license permit is needed.

The application is processed according to the procedures in 3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing.

As with any new application, a new operation number will be issued.

See also:

6200 Assessing and Processing Intake Reports

CLASS Online Help:

Close an Operation

Receive a Day Care License Application