Child Care Licensing
Handbook Revision, September, 2015
This revision of the Licensing Policy and Procedures Handbook was published on September 01, 2015, to correspond with a CLASS application update. Summaries of new or revised items are provided below.
Reviewing an Abuse or Neglect Investigation
LPPH 6526 Release of Information for a Child Death
Application and Issuance (PATS 8257)
Sections 3200 through 3500, which document Application and Issuance, have been completely reorganized.
The sections listed below have been deleted because the content has been incorporated into the new sections 3200 through 3550.
Section 3600
Sections 2110 through 2114
Sections 7311 through 7313
Appendix 2000-3
The handbook is also being revised to:
• clarify the circumstances in which a permit must be denied due to unsustained abuse or neglect findings;
• include procedures for requesting a risk evaluation prediction from the Centralized Background Check Unit;
• implement recent legislation regarding military definitions and an exception to public hearing requirements;
• address other issues related to Application and Issuance; and
• include cross-references where they are needed.
The definitions of the following terms have been added or revised:
military member
military spouse
military veteran
risk evaluation prediction
Display of Revisions with Changes Highlighted (Word Document)
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3200 Processing the Application for a License Certificate, Compliance Certificate, Registration, or Listing Permit
3210 Orientation, Inquiry Meeting, or Pre-Application Interview
3211 When a Pre-Application Interview is Required
3212 Approved Locations for a Pre-Application Interview
3213 Topics Covered and Forms Provided During the Pre-Application Interview
3213.1 Governing Body and Licensing Responsibilities
3213.11 Additional Information for Child Day Care Governing Body Responsibilities
3213.12 Additional Information for Residential Child Care Governing Body Responsibilities
3213.2 Controlling Person Responsibilities
3213.3 Background Check Responsibilities
3213.4 Additional Information
3214 CLASS Documentation Requirements
3215 Handling Original Certificates of Completion
3220 Reviewing and Accepting the Application for a Permit
3221 Time Frame for Reviewing and Making a Decision on the Application
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
3223.1 If the Application Is Incomplete or Contains Errors
3223.11 Resolving Errors and Omissions
3224 Accepting the Application
3225 Returning an Application
3225.1 Returning an Application for the First or Second Time
3225.2 Handling Applications Returned for the Third Time in a Year>
3226 When to Delay a Decision on an Application
3226.1 Reasons to Delay a Decision Specific to Residential Child Care Applications
3230 Withdrawal of an Application for a Permit
3231 Withdrawal of an Application for an Operation That Is Not Providing Care
3231.1 Basis to Deny a Permit for an Unsustained Central Registry Finding
3232 Withdrawal and Resubmission of an Application for an Operation That Is Providing Care
3232.1 Criteria for Withdrawal and Immediate Resubmission
3232.2 When Withdrawal and Immediate Resubmission Is Not Permitted
3232.21 Basis to Deny a Permit
3232.3 How to Resubmit an Application Immediately
3300 Process for Determining Whether to Issue or Deny a Permit
3310 Evaluating Before Issuing a Permit
3311 Checking the Sex Offender Registry
3312 Conducting Background Checks
3312.1 Unsustained Central Registry Findings
3313 Inspecting the Operation (Except Listed Homes)
3313.1 Time Frames
3313.2 When to Announce an Application Inspection>
3313.3 Abbreviated Inspection
3313.4 Evaluating Compliance
3313.5 Processing Controlling Person Submissions (Except Certified Operations)
3313.6 Confirming Fire and Health Inspections (Except for Listed Homes)
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
3321.2 Child-Placing Agency Public Notice Requirements
3321.3 Public Notice Requirements for General Residential Operation Providing Human Trafficking Services
3321.4 When to Publish Notice
3321.5 Content Required in the Notice
3321.6 Holding the Public Hearing
3321.7 Licensing’s Role During the Hearing
3322 Report of Public Comment From the Community
3322.1 How to Submit the Report
3322.2 Contents of the Report
3322.3 Denial of a Permit or Amendment for Failure to Comply With Public Notice and Hearing Rules
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
3331.1 How to Evaluate Qualifications
3331.2 Issuing a Director’s Certificate
3331.3 When a Director Does Not Meet Qualifications
3400 Issuance of a Permit
3410 When to Issue a Permit
3411 Good Cause to Exceed the Time Frame
3412 Criteria for Issuing an Initial License
3413 Criteria for Issuing a Compliance Certificate, Registration, or Listing
3420 How to Prepare the Permit
3421 How to Prepare an Initial License
3421.1 Child Day Care
3421.2 Residential Child Care
3421.21 Types of Services Included as Restrictions
3422 How to Prepare a Compliance Certificate
3423 How to Prepare a Registration and Listing
3424 Applying Additional Types of Conditions or Restrictions
3424.1 Results of Background Checks
3424.2 Deficiencies That Require Limits on Certain Activities
3424.3 Fire and Sanitation Reports and Other Local Ordinances
3424.4 Special Services for Residential Operations
3424.41 Emergency Services for Child-Placing Agencies and Independent Homes
3424.5 Temporary Conditions
3425 Amend the Permit When Necessary
3430 Recommending Denial of a Permit
3500 Steps to Take After Issuing the Initial License
3510 Evaluating During the Initial License Period
3511 Conducting Inspections During the Initial License Period
3511.1 Frequency of Inspections
3520 Renewing an Initial License
3521 How to Renew an Initial License
3530 Non-Expiring License
3531 Time Frame for Issuing a Non-Expiring License
3531.1 Criteria for Issuing a Non-Expiring License
3532 Non-Expiring License for an Operation That Changes Ownership or Location
3540 Decision Not to Recommend Issuance
3550 Denying a Non-Expiring License
3711 Denial Because of Background Information
3810 Circumstances That May Require Amending the Permit
_______________________________________
3920 Change of an Operation’s Location
_______________________________________
5333 Handling Unsustained Central Registry Findings
5334 Handling Sustained Central Registry Findings
_______________________________________
5355.3 Other Actions Related to Criminal Matches
5377 Obtaining a Risk Evaluation Prediction
_______________________________________
7310 Withdrawal of an Application
_______________________________________
In the Definitions of Terms section, see the definitions of:
military member
military spouse
military veteran
risk evaluation prediction
The items below are deleted.
2110 Conducting the Pre-Application Interview for a Childcare Permit
2111 Topics Covered During the Pre-Application Interview for a Child Care Permit
2111.1 Additional Topics Covered for Independent Foster Home Applicants
2112 Approved Locations for a Pre-Application Interview for a Child Care Permit
2113 Providing the Application for a Child Care Permit
2114 Forms and Additional Information - Pre-Application Interview for a Child Care Permit
_______________________________________
3200 Processing the Application for a License Certificate, Compliance Certificate, Registration, or Listing Permit
3210 Time Limit for Issuance of a Permit
3211 Time Frame for Issuance or Denial
3212 Good Cause to Exceed the Time Frame
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 an Application for a Permit
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
3244 Applicant Who Is a Military Spouse, Service Member, or Veteran
3250 Withdrawal of an Application for a Permit
3251 Withdrawal of an Application for an Operation That Is Not Providing Care
3252 Withdrawal and Resubmission of an Application for an Operation That Is Providing Care
3252.1 Criteria for Withdrawal and Immediate Resubmission
3252.2 When Withdrawal and Immediate Resubmission Is Not Permitted
3252.21 Basis to Deny an Application
3252.3 How and When to Resubmit
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
3314.11 Child Day Care Governing Body Responsibilities
3314.12 Residential Child Care Governing Body Responsibilities
3314.2 Controlling Person Responsibilities
3314.3 CLASS Documentation Requirements
3315 Evaluating Director Qualifications for Licensed Child Day Care Operations
3315.1 Evaluating Director Qualifications for Licensed Child Day Care Centers, Before or After-School Programs, and School-Age Programs
3315.11 When to Evaluate Qualifications
3315.12 How to Evaluate Qualifications
3315.13 Imposing Conditions When Operations Are on Corrective Action
3315.14 Restrictions on Roles of Directors
3315.15 Handling Documents Pertaining to Qualifications
3315.16 Consequence of Failure to Submit Forms
3315.2 Evaluating Director Qualifications for Licensed Child Day Care Homes
3315.21 Roles of Directors and Primary Caregivers
3315.22 Issuing a Director's Certificate
>3315.23 When a Director Does Not Meet Qualifications
3315.24 When to Evaluate Qualifications
3315.25 How to Evaluate Qualifications
3315.26 Handling Documents Pertaining to Qualifications
3315.27 Consequence of Failure to Submit Forms
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 Submissions - Applicants for a License or Certificate
3321.17 Ensuring That the Applicant Has Attended a Pre-Application Interview
3321.18 Applying Conditions or Restrictions
3321.19 Obtaining Approval and Documenting
3321.2 Recommending Denial of Application
3322 Residential Child Care Applicants and Permit Holders Subject to Requirement for Public Notice and Hearing
3322.1 Public Notice and Hearing Requirements for Residential Licensing
3322.11 When to Publish Notice
3322.12 Content Required in the Notice
3322.13 Holding the Public Hearing
3322.14 Licensing's Role During the Hearing
3322.2 Report of Public Comment From the Community
3322.21 How to Submit the Report
3322.22 Contents of the Report
3322.3 Denial of an Application or Amendment for Failure to Comply With Public Notice and Hearing Rules
3322.4 Public Notice and Hearing Requirements for a Child-Placing Agency Verifying an Agency Home
3323 Liability Insurance
3323.1 Coverage Required of Permit Holders
3323.11 Basis for Suspension or Revocation
3323.12 Exceptions to Insurance Requirements
3323.2 Evaluating Compliance With Liability Insurance Coverage Requirements
3323.3 Exceptions to Liability Insurance Coverage
3323.31 When Insurance Cannot Be Obtained
3323.32 Legitimate Reasons for Exceptions to Suspension or Revocation
3323.33 Requirements of the Permit Holder
3323.34 Documentation and Notification Required by Licensing
3324 Conducting Inspections During the Application Phase for a License or Certificate
3324.1 Time Frame
3324.2 When to Announce an Inspection
3324.3 Abbreviated Inspection
3324.4 Evaluating Compliance
3324.41 Forms and Checklists
3324.42 Guidelines for Evaluation
3324.43 Initiating the Inspection
3324.44 Handling Deficiencies
3324.45 Handling Obstruction
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
3332 Setting Special Conditions on the License or Certificate
3332.1 When Temporary Conditions Are Appropriate
3332.2 When Law Enforcement Contacts a Child-Placing Agency for Placement of a Child
3332.3 Types of Conditions
3332.31 Fire and Sanitation Reports and Other Local Ordinances
3332.32 Results of Background Checks
3332.33 Deficiencies Require Limits on Specific Activities
3332.34 Include a Service
3332.35 Emergency Services
3332.36 Amend the Permit When Necessary
3340 Evaluating During the Initial License Period
3341 Conducting Inspections During Initial License Period
3341.1 Purpose
3341.2 Frequency
3341.3 Time Frame for Final Inspection
3341.4 First Inspection
3342 Renewing an Initial License
3342.1 Renewing the Initial License
3342.2 How to Renew a License
3343 Time Limit for Issuance of a Non-Expiring License
3343.1 Criteria for Issuance
3343.2 Establishing Continued Compliance
3343.3 Decision Not to Recommend Issuance
3343.4 Denying an Application or Delaying a Decision
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
3510 Registration Permit Application
3511 Time Frame
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
3520 Orientation for Registered Child-Care Homes
3521 Requisite for Acceptance of Application
3522 Time Frame
3523 Persons Registered Before July 1990 or Licensed Before September 2003
3524 Handling Original Certificates of Completion
3525 Consequence of Failure to Attend
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 Submissions - Applicants for a Registration
3535 Obtaining Approvals and Documenting
3536 Requisite for Issuance
3540 Conducting Inspections During the Application Phase for a Registration Permit
3541 Time Frame
3542 Announcement of Visit
3543 Evaluating Compliance
3544 Planning Contacts and Explaining Criteria for Evaluation
3545 Addressing Deficiencies and Other Findings
3550 Preparing the Registration Permit
3551 Setting Special Conditions on the Registration Permit
3551.1 When Special Conditions May Be Set
3551.2 Amending or Reissuing a Permit
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
3614 Reimbursement for Cost of Publication of Revocation
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 Submissions - Applicants for a Listing
3624 Obtaining Approvals and Documenting
3630 Preparing the Listing Permit
_______________________________________
7311 Withdrawal of an Application Before the Operation Opens
7312 Resubmitting after the Withdrawal of an Application
7313 Documentation of Voluntary Withdrawal of an Application
_______________________________________
Appendix 2000-3
Enforcement Team Conferences (PATS 8277)
Section 4000 Inspections has been revised to remove many of the enforcement team conference procedures, which are replaced by references to the synopses and manuals that contain those procedures. These materials are posted on the Licensing intranet web pages.
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4421 4420.1 Monitoring CPAs That Conduct International Adoptions
4422 4420.2 Certifying the Licensing Status of a Child-Placing Agency for International Adoptions
4421 Enforcement Team Conferences for Child-Placing Agencies
4421.1 Frequency and Scheduling Enforcement Team Conferences for a CPA
4421.11 Individual Branch Reviews
4421.12 Closed Branch Offices
4421.2 Requirements of an Enforcement Team Conference for a CPA
4421.3 Conference Participants and Duties for the CPA Enforcement Team Conference
4421.31 Responsibilities of the Monitoring Supervisor for the CPA’s Main Office
4421.32 Responsibilities of the CPA Main Office Inspector
4421.33 Responsibilities of the Monitoring Supervisor and Inspector of a CPA Branch Office
4421.34 Responsibilities of an Investigation Supervisor
_______________________________________
4440 Enforcement Team Conferences Monitoring General Residential Operations
4441 Enforcement Team Conferences for Child-Placing Agencies, General Residential Operations, and Licensed to Provide Residential Treatment Centers Services
4441.1 Frequency of Enforcement Team Conferences for an a CPA, GRO, or RTC
4441.2 Requirements of an Documenting Enforcement Team Conferences for an a CPA, GRO, or RTC
4441.3 Conference Participants and Duties for the RTC Enforcement Team Conference
4441.31 Responsibilities of the Monitoring Supervisor
4441.32 Responsibilities of the Inspector
4441.33 Responsibilities of an Investigation Supervisor
Reviewing an Abuse or Neglect Investigation (PATS 8303)
The policy below is revised to clarify that a supervisor must review and approve an investigation that is submitted by the investigator within 15 days of the initial submission.
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6820 Reviewing an Abuse or Neglect Investigation
6840 Resubmitting an Abuse or Neglect Investigation After Rejection
Determining the Findings (PATS 8342)
The item below is added to provide policy on assigning a severity code to allegations that have a disposition of Reason to Believe. Subsequent items are renumbered without changes.
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6622.4 Assigning the Severity to a Reason to Believe Disposition
6622.5 6622.4 Roles of Persons Involved in the Investigation
6622.6 6622.5 If a Child in Care Has Abused Another Child
In the Definitions of Terms section, see the definitions of:
serious injury (revised)
critical injury (new)
near fatal injury (new)
LPPH 6526 Release of Information for a Child Death (PATS 8427)
The items below revise procedures related to the release of child fatality and near-fatality information to the public. This policy revision implements S.B. 949, 84th Legislature, Regular Session, 2015.
Display of Revisions with Changes Highlighted (Word Document)
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6526. Release of Information When a Child Dies for a Child Death or Near Fatality at a Residential Care Operation
6526.1. Completing the SB1050a Report to Release Information About a Child’s Death
6526.2. Completing Form 2058b When the Finding for a Child’s Death Is Reason to Believe
6526.3 Completing Form 2058c When the Finding for a Child's Near Fatality Is Reason to Believe