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Appendix 2000-2: Organizing Investigation Records

CCI December 2012

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

Licensing staff document work in the CLASS system, the hard copy record, and the IMPACT system (if applicable). Documentation must be objective, concise, and clear.

CLASS documentation is printed and filed as hard copy only when appropriate; for example, to file an open records request or file the documentation of hearings conducted through the State Office of Administrative Hearings (SOAH).

What to Enter in the Chronology Field in CLASS

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

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

Entries Made by Staff

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

  •  do not repeat the details that appear in a DFPS letter or form; and

  •  enter in the Entry Date field the date of the activity, not the date of the entry.

Most letters and forms completed by Licensing staff are documented in the CLASS system, but some are documented only in the hard copy record.

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

a.   Contacts and decisions made during the pre-application phase

b.   Contacts with and actions taken on illegal operations

c.   Significant telephone conversations and correspondence

d.   Exceptions to the licensing process

e.   Instructions from the supervisor, district director, or manager

f.    Court actions

g.   Court-related documents, such as correspondence requesting court action, petitions, and court orders

h.   Changes of location (listed and registered homes only)

i.    Remedial actions that are not automatically generated in CLASS

j.    Documentation and results of searches for controlling persons in the HHSC Adverse Action Record Sharing system (AARS); and

k.   Other actions related to a controlling person that are not automatically generated in CLASS.

Entries Made by CLASS

Based on information entered in CLASS by Licensing staff, CLASS automatically generates a chronology for the following:

a.   Application decisions

b.   Inspections and investigations made at an operation

c.   Waiver and variance requests and decisions

d.   Issuance of a permit

e.   Notification for an administrative review, responses to the notification, and the outcome

f.    Appeal requests, actions, and all decisions made through the appeal process

g.   Change of ownership

h.   Change of location (Exception: Chronologies for a change of location for a listed home or registered home are entered by Licensing staff).

i.    Finalization of letters

j.    Transferring a record

k.   Closing a record

l.    Controlling person decisions

If there is a need to file the chronology in the hard copy record, Licensing staff:

  •  print the chronology from CLASS; and

  •  file it on the left side of the hard copy record, with the most recent chronology entry on top.

Organizing the Hard Copy Record

Licensing staff include in the hard copy record the paperwork necessary to show that the licensing and regulatory process has been carried out according to statute, administrative rules, and the policies and procedures published in this handbook.

For a face sheet, staff may print a copy of the Operation Main page from CLASS or a copy of the Compliance History Report from CLASS and file it on top of the most recent chronology.

Examples of the paperwork filed in the record include:

a.   forms and correspondence related to licensing, certification, registration, or listing permits;

b.   correspondence from the applicant or permit holder; and

c.   correspondence from others involved in the regulatory process.

Licensing staff:

a.   organize the hard copy record so that it includes dividers that are tabbed and labeled by subject;

b.   organize the hard copy record chronologically, starting with the current monitoring period;

c.   file all documentation on the right side of the record, with the most recent documents on top within each tabbed section;

d.   ensure that documentation in the hard copy record is legible; and

e.   print and file CLASS documentation only when appropriate; for example, printing open records requests or the documentation of hearings conducted through the State Office of Administrative Hearings (SOAH).

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

Recommended Tabs for the Hard Copy Record

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

Tab 1: Application and Permit

The following paperwork is filed under this tab:

a.   A copy of the current permit

b.   The issuance letter

c.   The issuance summary report

d.   Amendment summary

e.   The operation’s floor plan

f.    Information related to public hearing requirements, when applicable

g.   Form 2910 Child Day Care Licensing Application or Form 2960 Application for a License to Operate a Residential Child Care Facility or Child-Placing Agency

h.   Form 2911 Governing Body/Director Designation (child day care)

i.    CLASS Form 2860E Director’s Certificate

j.    Form 2982 Personal History Statement

k.   Form 7257 Day Care Space Computation (or calculator tape showing the computation)

l.    Form 2948 Plan of Operation for Licensed Center Operations (or the documentation required when applying for residential licensing, as indicated on Form 2784 General Residential Operation and Residential Treatment Center - Documentation Required at Application, Form 2785 Child-Placing Agency — Documentation Required at Application, or Form 2786 Independent Foster Home — Documentation Required at Application)

Tab 2: Regulation

The following paperwork is filed under this tab:

a.   Form 2936-P2a Child Care Operation Inspection Form

b.   Compliance letters

c.   Administrative review letters

d.   Corrective action plans

e.   Correspondence on revocation, denial, or suspension of a permit

f.    Other regulatory correspondence

g.   Correspondence related to judicial actions

h.   Petitions

i.    Court orders

Tab 3: Non-Abuse and Neglect Investigations

The following paperwork is filed under this tab:

a.   Any documentation not found in the CLASS system

b.   Any paperwork with original signatures

c.   Cross references to the Regulation tab, as appropriate

Tab 4: Waiver/Variances

The following paperwork is filed under this tab:

a.   Form 2937 Child Care Waiver/Variance Request

b.   Correspondence related to waivers and variances

c.   Supporting documentation

Tab: 5: Miscellaneous Documentation

The following paperwork is filed under this tab:

a.   Correspondence related to the pre-application process

b.   Inspection reports from other agencies or organizations, if provided

c.   Form 2962 Verification of Insurance and proof of liability insurance or an exception to liability coverage and notification to the parent about the exception

d.   Miscellaneous correspondence

Tab 6: Confidential

The following paperwork is filed under this tab:

a.   Form 2971 Request for Background Check

b.   The results of criminal history and Central Registry checks

c.   Matches from either the Central Registry or criminal history checks and any subsequent documentation

Tab 7: Controlling Person

The following paperwork is filed under this tab:

  •  Form 2760 Controlling Person Form

  •  Other external documentation related to controlling persons

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