Child Care Licensing
Handbook Revision, March 2014
This revision of the Licensing Policy and Procedures Handbook was published on March 3, 2014. A summary of the revised item is provided below.
New Exemptions From Regulation
Military Applicants and Remedial Action for Ineligible Controlling Person
The items below are revised to explain the type of information that is considered confidential and the circumstances under which confidential information may be released. Confidential information is information that is not intended for release to the public.
The revisions reflect changes made to the rules on confidentiality, as published in the Texas Administrative Code, Chapter 745, Subchapter K, Division 3, Confidentiality. The changes were passed during the 83rd Legislature.
Display of Revisions with Changes Highlighted
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8230 Confidential Information Not for Release to the Public
8231 [new item] Confidential Information That May Be Released In Certain Situations
8232 [new item] How to Determine if a Person is a Prospective Adoptive Parent
8300 Responding to Requests From Parents and Managing Conservators
8700 Responding to Requests From Disability Rights Texas Advocacy, Inc.
New Exemptions From Regulation (PATS 6663)
The items below are revised to add information on two new exemptions. Emergency shelters that serve minors are now exempt from regulation by Licensing, as are emergency shelters that serve the victims of human trafficking. Both exemptions were passed during the 83rd Legislative Session.
Other revisions include clarifying the difference between an operation that is not subject to regulation and an operation that is exempt from regulation, updating information on new exemption forms and on the form letters used to communicate with providers, and adding a section on illegal operations.
Display of Revisions with Changes Highlighted
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2300 [new] Determining Whether a Program Is Subject To or Exempt From Regulation
2310[new] Determining Whether A Program Is Subject To Regulation
2311 [new] Determining Whether a Program is Subject to Regulation During an Investigation of an Illegal Operation
2312[new] Determining Whether a Program is Subject to Regulation When Evaluating an Exemption Determination Form
2320 [previously 2310] Determining Whether a Program Home or Facility Is Exempt From Regulation
2321 [previously 2311] Criteria Used to Determine if a Program Is Exempt Determining the Exemption
2322 [previously 2312, 2312.1, 2312.2] Processing the Exemption
2322.1 [new] Additional Requirements for Processing Exemptions for Educational Programs
2322.11 [previously 2362] Actions Taken by the Accrediting Organization When an Educational Program or Operation Is Exempt
2322.12 [new] When to Inspect an Educational Program That Is Exempt
2322.2 [previously 2300] Facilities Program Is Exempt From Regulation
2322.21 [previously 2312.4, 2312.6] Program Is Not Exempt
2322.3 [previously 2312.5] A Program Disagrees That it Is Not Exempt
2323 [previously 2313] Documenting Exemption Decisions in CLASS
2324 [previously 2314] Documenting Supplements to an Exemption Decision
2325 [previously 2315] Closing an Exempt Operation Program in CLASS
2330 [previously 2320] When Exempt Programs Facilities and Homes Request Regulation
2340 [previously 2330, 2312.3] Exempt Programs Facilities That Operate in the Same Locations as Regulated Operations
2341 [previously 2372] When an Exempt Educational Program or Operation Must Obtain a Permit
2350 [previously 2340] Operations Not Regulated by DFPS Because They Are Regulated by Other Governmental Entities That Are Exempt from DFPS Regulation
2351 [previously 2341] A Facility on a Federal Installation
2352 [previously 2342] State-Operated Programs Not Regulated by Licensing
2352.1 [previously 2342.1] Correctional Facilities Not Regulated by Licensing
2352.2 [previously 2342.2] Treatment Facilities Not Regulated by Licensing
2352.3 [previously 2342.3, 2342.31] Youth Camps Licensed by DSHS Are Exempt From DFPS Licensing
2352.4 [previously 2342.32, 2342.33] Youth Camps Exempt From DSHS Licensing (Higher Education) Are Exempt From DFPS Licensing
2353 Municipal Programs
2360 [previously 2350] Programs of Limited Duration That Are Exempt From DFPS Regulation Licensure and Certification
2361 [previously 2351] Program With Parents on the Premises
2362 [previously 2352] Short-Term Program
2363 [previously 2353] Religious Program
2364 [previously 2354] Foreign Exchange or Sponsorship Program
2370 [previously 2360] Educational Programs That Are Exempt From Regulation and Certification by DFPS
2371 [previously 2361] Standard Educational Programs That Are Exempt From Regulation by DFPS
2372 [previously 2372.1] Additional Exemption Criteria for Educational Programs or Operations That Provide Residential Child Care
2380 [previously 2370] Miscellaneous Programs Exempt From DFPS Regulation Licensure and Certification
2390 [previously 2371] Other Operations Exempt by Law From DFPS Regulation Licensing
2391 [previously 2371.1] A Foster Home or Foster Group Home Regulated by a CPA Is Exempt by Law
2392 [previously 2371.2] Certain State-Operated Facilities Are Exempt by Law
2393 [previously 2371.4] Certain Annual Youth Camps Are Exempt by Law
2000-2: Determining Whether a Program or Operation Is Regulated by Licensing - Questions and Answers
2000-3: The Pre-Application Interview Conference Information
2000-4: Decision Guide: Is the Care Being Provided For Determining If Subject To Regulation?
The following item is deleted:
2371.3 A Family Home (Registered or Listed) Is Exempt by Law
Photo and Video Policy (PATS 6742)
The items below are revised to update policy related to photos and video. New policy:
• accommodates the use of smart phones by replacing the term digital cameras with state-issued equipment;
• clarifies the use of photos and video for investigations and as a regulatory tool; and
• includes revised directions for documenting and storing photos and video.
Display of Revisions with Changes Highlighted
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1400 Digital Cameras and State-Issued Equipment, Photographs, and Video
1410 Use of Digital Cameras Owned by DFPS State-Issued Equipment
1420 [previously 1411] Appropriate Use of a Camera Using Photographs and Video as a Regulatory Tool
1421 [new item] Using Audio as a Regulatory Tool
1422 Photos and Video of Children
1422.1 Witness Required for Sensitive Photographs
1423 [previously 1421] Photographs of a Facility, House, Room, or Yard Outdoor Area
1424 [previously 1412] Inappropriate Use of a Camera Photos or Video
1425 [previously 1420] Taking Photographs That Present Better Evidence
1426 [previously 1424] Overcoming an Operation’s Resistance to Being Photographed
1430 Documenting and Storing Digital Photographs, Video, and Audio From Inspections or Non-Abuse or Neglect Investigations
1431 Documenting Photographs and Video from Inspections or Non-Abuse or Neglect Investigations
1432 Storing Photographs and Video From Inspections or Non-Abuse or Neglect Investigations
1433 Documenting and Storing Printed Photographs Received From an Outside Source
1440 Digital Photographs and Video for Abuse or Neglect Investigations
1441 CD Storage of Digital Photographs and Video for Abuse or Neglect Investigations
1442 Documenting Photographs and Video From Abuse or Neglect Investigations
1443 IMPACT Storage of Digital Photographs From Abuse or Neglect Investigations
1444 Documenting and Storing Printed Photographs Received From an Outside Source
4150 Conducting Inspections
4170 Conducting the Exit Conference
The items below are revised to reflect the changes passed during the 83rd Legislative Session. The changes also reflect related revisions made to the DFPS rules. The revised rules will take effect in March 2014.
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5300 Central Registry and Criminal History Checks
5312 Persons For Whom Name-Based Background Checks Are Required
5313 Persons For Whom Fingerprint-Based Background Checks Are Required
5314 For Whom Background Checks Are Not Required
5315 When Background Checks Are Required
5318 Allowing Direct Access Before a Background Check Is Complete
5336.11 Role of the Child-Placing Agency
5351 Determining Appropriate Actions Based on Criminal History
5355.32 Denying Verification or Approval of a Foster or Adoptive Home Due to Conviction of a Drug-Related Felony
5372 When a Risk Evaluation Is Not Required
5375.2 Time Frames for Requesting and Completing Risk Evaluations
5381 Documenting Background Check Information
5382 [new item]Handling Court Orders That Allow Presence When a Person Is Barred
5383 Defining Presence at an Operation
Definitions of Terms:
frequently
initial background check
renewal background check
name-based background checks
fingerprint-based background checks
staff shortage
Out-of-State Abuse and Neglect History Check
professional
Military Applicants and Remedial Action for Ineligible Controlling Person (PATS 6657)
The items below are revised to add policy related to the expedited process for military applicants, special considerations for military applicants, documentation required to establish military status, and remedial action taken against license if ineligible to be a controlling person.
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3200 Processing the Application for a License Certificate, Compliance Certificate, Registration, or Listing Permit
3240 Reviewing and Accepting the Application for a Permit
3244 [new item] Applicant Who Is a Military Spouse, Service Member, or Veteran
9200 Application for an Administrator’s License
9210 Checking for Completeness in an Reviewing an Application Packet for an Administrator’s License
9211 Additional Documentation Requirements for Expedited Licensure
9211.1 [new item] Additional Documentation Required If the Applicant is a Military Spouse Requesting Expedited Licensure
9211.2 [new item] Additional Documentation Required If the Applicant is a Military Service Member or Veteran Requesting Expedited Licensure or Special Considerations
9211.3 [new item] Expedited Licensure If the Applicant is a Military Spouse, Service Member, or Veteran
9212 [new item] Applicants Who Have an Administrator’s License from Another State
9213 [new item] Special Considerations for Applicants Who Are a Military Spouse, Service Member, or Veteran
9213.1 [new item] Special Considerations for Military Spouses
9213.2 [new item] Special Considerations for Military Service Members or Veterans
9250 [new item] Issuance of a Provisional Child-Care Administrator’s License
9251 [new item] Time Limit for A Provisional Child-Care Administrator’s License
9400 [new item] Issuing a Child-Care Administrator’s License
9500 9400 [no changes to policy] Renewing an Administrator’s License
9510 9410 [no changes to policy] Training Requirements for an Administrator’s License
9520 9420 [no changes to policy] Inactive Status for an Administrator’s License
9530 9430 [no changes to policy] Renewal Fees for an Administrator’s License
9540 9440 [no changes to policy] Background Checks for an Administrator’s License
9550 9450 [no changes to policy] Lapsed Administrator’s Licenses
9600 9500 [no changes to policy] Emeritus Status for an Administrator’s License
9700 9600 [policy is revised] Remedial Action on an Administrator’s License
9710 9610 [no changes to policy] Types of Actions on an Administrator’s License
9720 9620 [policy is revised] Choosing a Remedial Action for an Administrator’s License
9730 9630 [no changes to policy] Tracking Due Process for an Administrator’s License
9800 9700 [no changes to policy] Storing and Purging Closed Records for an Administrator’s License
9900 9800 [no changes to policy] Reports and Directories for the Licensed Administrator Program
9910 9810 [no changes to policy] Reports to Management Reporting and Statistics
9920 9820 [no changes to policy] THECB Annual Report of Exam Results
9930 9830 [no changes to policy] Licensed Administrator Directories
Definitions of Terms:
master record
military service member
military spouse
military veteran
minimum standards
Cross-references to items that were moved during this revision were updated in:
3410 Compliance Certificate Application
3922 Relocation of a Licensed or Certified Operation or an Operation With a Compliance Certificate
3933 Steps to Process an Application
9420 Inactive Status for an Administrator’s License
5224 Administrator’s License – Fee Chart
9230 Conducting a Background Check on an Applicant for an Administrator’s License
9240 Approving or Denying an Administrator’s Application
9410 Training Requirements for an Administrator’s License
9440 Background Checks for an Administrator’s License
Appendix 9000-1: Tabs in the Licensed Administrator Database
Administrative Penalties (PATS 6687)
The items below are revised to reflect changes to administrative penalties resulting from SB 427 of the 83rd Legislative Session. Policy specifies:
• when Licensing must impose a corrective action before imposing an administrative penalty; and
• when Licensing may impose an administrative penalty against an operation before imposing a corrective action.
Display of Revisions with Changes Highlighted
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7500 Administrative Penalties
7510 Evaluating the Need for Administrative Penalties
7511 Violations for Which Administrative Penalties May Be Assessed
7513 Decision Guide for Imposing Administrative Penalties
7541 Notification of the Administrative Penalty