Licensing Policy and Procedures Handbook Revision September 2012
This revision of the Licensing Policy and Procedures Handbook was published on September 4, 2012. Summaries of new or revised items are provided below.
The Entry Date Field in the CLASS Chronology
Monitoring Controlling Persons During Inspections
Records on Controlling Persons
2000 Handling Inquiries About the Licensing Process and Exemptions
The items below are revised to delete language that refers to maternity homes as residential child care facilities. The revision is required by SB 1178, Section 13 (82nd Legislature). See:
1122 Licensing Statutes
1123.1 Chapters in the Texas Administrative Code Applicable to Licensing
1142 Types of Residential Child Care
2220 Permits Required for Residential Child Care
5221 Licensed Operations – Fee Chart
Definitions of Terms
Appendix 1000-2: Organizing Licensing Records
Appendix 2000-4: Decision Guide: Is the Care Being Provided Subject to Regulation?
Additional references to maternity homes will be deleted from policies on controlling persons when 3000 Application and Issuance, 4000 Inspections, and 7000 Actions and Remedies are revised.
Display of Revisions With Changes Highlighted (Word Document)
The Entry Date Field in the CLASS Chronology (PATS 5417)
The appendix below is revised to clarify that when manually entering a chronology in CLASS, the Entry Date field must reflect the date of the activity, not the date of the entry. See:
Appendix 1000-2: Organizing Licensing Records
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The items below are revised to implement policy related to controlling persons passed during the 82nd Legislative Session.
Display of Revisions with Changes Highlighted (Word Document)
See:
5400 Controlling Person
5410 Definitions of Terms Related to Controlling Persons
5411 Definition of Controlling Person
5411.1 Persons Who Are Ineligible to Be a Controlling Person
5412 Definition of a Match for Controlling Persons
5420 Determining the Eligibility of a Controlling Person
5421 Form 2760 Controlling Person Form
5421.1 When an Applicant or Operation Completes Form 2760 Controlling Person
5421.2 Evaluating Form 2760 Controlling Person for Completeness
5421.21 Refusal to Provide a Social Security Number
5422 Searching for a Controlling Person in the AARS System and Documenting the Results
5422.1 If a Controlling Person Is Listed in the AARS System
5423 Searching for and Adding a Controlling Person Record in CLASS
5423.1 Associating a Controlling Person With an Existing Record in CLASS
5423.2 Adding a New Record for a Controlling Person in CLASS
5424 Determining and Documenting the Eligibility of a Controlling Person
5424.1 Resolving Matches Found in the AARS System
5424.2 Eligibility to Receive a Permit or Be a Controlling Person After a Match Is Resolved
5424.3 Documenting the Eligibility of a Controlling Person by Updating the Status in CLASS
5424.31 Entering the Reason for Rejecting a Controlling Person
5424.32 Entering the Reason for Withdrawing a Controlling Person
5425 Notifying an Operation or Controlling Person About a Person's Eligibility as a Controlling Person
5425.1 Notifying a Controlling Person About Eligibility
5425.2 Notifying an Operation About an Ineligible Controlling Person
5425.21 Following Up With an Operation That Does Not Return the Operation Action Form
5430 Additional Duties of Inspectors in Relation to Controlling Persons
7000 Voluntary Actions and Remedial Actions
7110 Notifying an Operation When Licensing Takes Remedial Action
7120 Documenting Voluntary Actions and Remedial Actions in CLASS and IMPACT
7620 Criteria for Taking Adverse Action
7621 Circumstances That May Call for Adverse Action
7630 Taking Adverse Action
7631 Notice of Intent to Deny, Revoke, or Suspend
7631.1 Content of the Notification of Intent Letter
7631.2 Notifying an Operation About an Adverse Action When the Operation Has Been on Probation or Suspension
7631.3 Notifying an Operation About an Adverse Action When There Is Risk to the Health or Safety of Children
7631.4 The Operation’s Requirements for Notifying the Public About an Adverse Action
7631.5 Notifying an Operation About the Right to Request an Administrative Review
7631.6 Notifying an Operation About the Restrictions on Reapplying for a Permit
7631.7 Notifying an Operation About Restrictions on Controlling Persons
7631.8 Authorizing and Delivering a Notification Letter (CLASS Form 2880)
7631.9 When Immediate Intervention Is Warranted at an Operation
7632 The Process of Administrative Review for Adverse Action
7632.1 Adverse Action Is Overturned at an Administrative Review
7632.2 Adverse Action Is Upheld at an Administrative Review or No Administrative Review Is Requested
7633 Notice of Decision to Revoke, Deny, or Suspend an Application or Permit
7633.3 Notifying an Applicant Who Is Denied or Revoked About the Restrictions on Reapplying
7633.4 Notifying an Operation About a Controlling Person’s Right to Request a Hearing
7635 Sending an Operation Final Notice of Suspension, Revocation, or Denial
7635.1 Statements Required in the Notice of Final Adverse Action (CLASS Form 2895)
7635.2 Additional Actions Taken by Licensing Staff When Adverse Action Is Final
7700 Legal Actions When an Operation Disagrees With the Actions of an Inspector
7712 Roles for Conducting an Administrative Review
7730 Due Process Hearings
7732 When an Administrative Law Judge Issues a Final Decision on an Appeal
7770 Administrative Review and Due Process Hearing for a Designated Controlling Person
7771 Choosing the Persons to Designate as Controlling
7771.1 Notifying Persons About the Intent to Designate
7772 Process of Providing an Administrative Review for the Designated Controlling Person
7772.1 Adverse Action Is Overturned, Stopped, or Results in a Settlement
7772.2 No Administrative Review Requested by a Controlling Person
7772.3 Decision to Designate a Controlling Person Is Overturned
7772.4 Decision to Designate a Controlling Person Is Upheld
7772.5 Notifying Persons About Licensing’s Decision to Designate a Controlling Person
7772.51 Content of CLASS Form 2763 (Controlling Person Administrative Review Decision Letter)
7772.52 Instructions for Requesting a Due Process Hearing to Appeal the Designation of Controlling Person
7772.53 Consequences of a Controlling Person Not Responding to a Letter About the Right to Appeal (CLASS Form 2763)
7772.54 Enclosures When Instructing a Person About the Right to Appeal a Designation as Controlling (CLASS Form 2763)
7772.55 Delivering the Letter Notifying a Person About the Right to Appeal a Designation as Controlling (CLASS Form 2763)
7773 Providing an Due Process Hearing for a Designated Controlling Person
7773.1 Controlling Person Did Not Request a Due Process Hearing
7773.2 When a Controlling Person Requests a Due Process Hearing to Appeal the Designation
7773.21 A Designation of Controlling Is Upheld at a Due Process Hearing
7773.22 A Revocation Is Upheld at a Due Process Hearing but the Designation of Controlling Person Is Overturned
7773.23 A Revocation and Designation Are Both Overturned at a Due Process Hearing
7773.3 Final Notice to Sustain the Designation of Controlling Person
7773.31 The Contents of the Letter to Notify a Controlling Person About a Sustained Designation (CLASS Form 2764)
7773.32 Delivering the Letter Notifying a Controlling Person About a Sustained Designation (CLASS Form 2764)
7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS
7774 Documenting in the AARS When the Denial or Revocation of a Permit Is Final or the Role of Controlling Person Is Sustained
7774.1 Entering Details About an Operation in the HHSC Record Sharing System
7774.2 Entering Information for the Controlling Persons
Appendix 2000-3: The Pre-Application Interview Conference
Cross-references to the items above were updated in:
2114 Forms and Additional Information – Pre-Application Interview for a Child Care Permit
3243.3 Handling Applications Returned for the Third Time in a Year
3253.2 Circumstances That Require Denial of the Application
3313 Accepting the Application
3321.16 Processing Controlling Person Checks
3342.2 How to Renew a License
3343.4 Denying an Application or Delaying a Decision
3521 Requisite for Acceptance of Application
3733 Reimbursement for Publishing the Notice of Revocation
3742 Reimbursement for Publishing the Notice of Revocation
3816 Administrative Review and Appeal
4152.1 When an Operation Repeatedly Fails to Meet Restrictions or Conditions
4313 When an Operation Continues to Be Deficient
4500 Evaluating Risk to Children
4511 Enforcement Action Options
5213 Requesting and Processing the First Annual Fee
6470 Handling Obstruction of an Investigation
7338 If the Operation Does Not Reopen or Voluntarily Close at the End of a Voluntary Suspension
7344 Licensing Response if the Operation Did Not Close
7435.1 The Applicant’s Right to a Review of Restrictions or Conditions on a Permit
7551 SOAH Hearing
Monitoring Controlling Persons During Inspections
The items below are revised to add policies and procedures for monitoring controlling persons during inspections.
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See:
4141 Preparing for All Inspections Except Investigation Inspections
4150 Conducting Inspections
4153.3 Reviewing Controlling Person Information During Monitoring Inspections
4153.4 Reviewing Records at a Central Administrative Location
4161.2 Document Inspection Results on CLASS Form 2936
4164 Procedures When the Operation's Controlling Person List Could Not Be Verified During the Inspection
4165 Completing a Supplemental Inspection Form
4165.1 Contacting the Permit Holder
4170 Conducting the Exit Conference
4171 Discussing the Results of an Inspection
4171.1 Discussing Pending Results
4171.2 Addressing an Operation’s Concerns About Inspection Findings
Cross-references to revised items above were updated in:
4160 Documenting the Results of an Inspection
4163 Final Determination of Findings Left Pending During an Inspection
4171 Discussing the Results of an Inspection
6450 Conducting Investigations With and Without an On-Site Inspection
Records on Controlling Persons
The appendix below is revised to add information on records related to the regulation of controlling persons. See:
Appendix 1000-2: Organizing Licensing Records
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2000 Handling Inquiries About the Licensing Process and Exemptions
Section 2000 is revised to add temporary shelter child programs as a type of operation regulated by Licensing.
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Section 3000 is revised to include the policy and procedures related to processing information about controlling persons during the application process. Some changes clarify existing policy, delete duplicative policy, or enhance the organization of the section. Policy is updated to state that only an abuse/neglect investigation involving the applicant may delay the issuance of a permit.
Display of Revisions with Changes Highlighted (Word Document)
See:
2200 Types of Child Care Permits and Multiple Operations
2210 Permits Required for Child Day Care
2350 Programs of Limited Duration That Are Exempt From Licensure and Certification
2351 Program With Parents on the Premises
2352 Short-Term Program
2353 Religious Program
2354 Foreign Exchange or Sponsorship Program
3130 The Application Process
3200 Processing the Application for a License, Certificate, Compliance Certificate, Registration, or Listing
3210 Time Limit for Issuance of a Permit
3211 Time Frame for Issuance or Denial
3220 Contents of a Complete Application
3230 Steps for Issuance or Denial
3240 Reviewing and Accepting the Application for a Permit
3241 How to Determine Whether the Applicant Is Eligible to Apply
3242 How to Evaluate the Application
3243 Checking the Application for Errors and Omissions
3243.1 If the Application Is Incomplete or Contains Errors
3243.2 Resolving Errors and Omissions
3243.3 Handling Applications Returned for the Third Time in a Year
3253 Failure to Withdraw an Application for an Operation That Is Providing Care
3253.1 Noncompliance and Required Actions
3253.2 Circumstances That Require Denial of the Application
3300 Process for Issuance of an Initial License, Non-Expiring License, or Certificate
3310 License Application
3311 Application for a Licensed Child Day Care Operation
3312 Application for a License to Operate a Residential Child Care Operation
3313 When Not to Accept an Application
3313.1 Application Materials Are Incomplete
3313.2 Fees Not Paid
3313.3 Plan of Operation Not in Compliance With Minimum Standards
3313.4 Applicant Under Investigation
3313.5 Applicant Prohibited From Obtaining a Permit
3313.6 Applicant Previously Denied a Permit
3313.7 Permit Revoked in Another State
3314 Explaining Governing Body Responsibilities — License or Certificate
3314.1 Governing Body and Licensing Responsibilities
3314.2 Child Day Care Governing Body Responsibilities
3314.3 Controlling Person Responsibilities
3314.4 Residential Child Care Governing Body Responsibilities
3314.5 CLASS Documentation Requirements
3316 License Requirements
3316.1 Initial License
3316.2 Non-Expiring License
3316.21 When to Issue a License
3316.22 How Operations Qualify for a Non-Expiring License
3320 Activities Before Issuance of a License or Certificate
3321 Evaluating Before Issuing an Initial or Non-Expiring License or Certificate
3321.1 Tasks Performed by the Inspector
3321.11 Checking the Sex Offender Registry
3321.12 Completing Public Notice and Hearing Requirements
3321.13 Verifying Insurance Coverage
3321.14 Inspecting the Operation
3321.15 Performing Background Checks
3321.16 Processing Controlling Person Checks
3321.17 Ensuring That the Applicant Has Attended a Pre-Application Interview
3321.18 Applying Conditions or Restrictions
3321.19 Obtaining Approval and Documenting
3323 Liability Insurance
3323.1 Coverage Required of Permit Holders
3323.11 Basis for Suspension or Revocation
3323.12 Exceptions to Insurance Requirements
3324 Conducting Inspections During the Application Phase for a License or Certificate
3324.41 Forms and Checklists
3330 Issuance of a License or Certificate
3331 Preparing the Initial License
3331.1 Child Day Care
3331.2 Residential Child Care
3331.21 Types of Services Included as Restrictions
3342.1 Renewing the Initial License
3400 Process for Issuance of a Compliance Certificate
3410 Compliance Certificate Application
3411 Application for a Compliance Certificate to Operate a Small Employer-Based Child Care Operation
3412 Application for a Compliance Certificate to Operate a Temporary Shelter Child Care Operation
3413 When Not to Accept an Application
3420 Activities Before Issuance of a Compliance Certificate
3421 Tasks Performed by the Inspector
3421.1 Checking the Sex Offender Registry
3421.2 Confirming Fire and Health Inspections
3421.3 Inspecting the Operation
3421.4 Conducting Background Checks
3421.5 Obtaining Approval and Documenting
3422 Conducting Inspections During the Application Phase for a Compliance Certificate
3422.1 Time Frame
3422.2 When to Announce an Inspection
3422.3 Abbreviated Inspection
3430 Issuance of a Compliance Certificate
3431 Preparing the Compliance Certificate
3432 Small Employer-Based Child Care Operation
3433 Temporary Shelter Child Care Operation
3434 Setting Special Conditions on the Compliance Certificate
3434.1 Types of Conditions
3434.11 Results of Background Checks
3434.2 Amend the Permit When Necessary
3435 Denying an Application or Delaying a Decision
3500 Process for Issuance of a Registration Permit
3512 When to Accept the Application
3512.1 Content of a Completed Application
3512.2 Required Orientation or Pre-Application Interview
3512.3 Accepting the Application
3513 Incomplete Applications
3514 When Not to Accept an Application
3530 Evaluating for Issuance of a Registration Permit
3531 Checking the Sex Offender Registry
3532 Inspecting the Operation
3533 Conducting Background Checks
3534 Processing Controlling Person Checks
3535 Obtaining Approvals and Documenting
3536 Requisite for Issuance
3600 Process for Issuance of a Listing Permit
3610 Listing Application
3611 Contents of Application
3612 Time Frame for Licensing’s Response
3613 When Not to Accept an Application
3615 Orientation Not Required
3620 Evaluating for Issuance of a Listing Permit
3621 Checking the Sex Offender Registry
3622 Conducting Background Checks
3623 Processing Controlling Person Checks
3624 Obtaining Approvals and Documenting
3800 Handling Changes in an Operation
3810 Changes Affecting a License, Certificate, or Registration Permit
3812 When Prior Notification of Change Is Required of Governing Bodies
3820 Handling Changes to a License, Certificate, or Registration Permit
3822 Documenting Changes in CLASS and the Child Day Care Licensing Application
3900 Handling Changes in the Type of Permit, Location and Ownership
3911 Establishing Compliance with Minimum Standard Rules
3912 Types of Changes
3920 Change of an Operation’s Location
3922 Relocation of a Licensed or Certified Operation or an Operation with a Compliance Certificate
3930 Change of Ownership
3931 Confirmation of Change and Reapplication for Permit
3933 Steps to Process an Application
Appendix 3000-2: Notifying the Operation
A link to revised items was updated in:
5430 Acting on a Designated or Sustained Controlling Person or a Person Denied Because of Residential History in Another State