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3000 Application and Issuance

3100 Regulatory Process for Operations

3110 Requirements for Assessment of Risk

LPPH April 2010

Policy

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

LPPH October 2013

Policy

Licensing staff must enter all decisions and facility information related to the application and issuance process in the CLASS system.

3121 Initiating an Application in CLASS

LPPH 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 CCL investigation applies for a permit:

  •  staff must enter the Application Received Date on theIllegal 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

LPPH September 2012

Procedure

The application process includes all of the following:

a.   The pre-application interview or orientation class (not required for certificates, compliance certificates, or listings)

b.   The submission of the application materials

c.   The posting of public notice and compliance with hearing requirements for residential child care operations (if applicable)

d.   Review of the application for completeness

e.   Acceptance of the application as complete, or return of the application if it is incomplete

f.    A determination by Licensing of the applicant’s compliance with rules, including minimum standards and statutes

g.   The decision to issue or deny a permit

DFPS Rules, 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

LPPH 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.

DFPS Rules, 40 TAC§745.213

3211 When a Pre-Application Interview is Required

LPPH September 2015

Policy

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.

DFPS Rules, 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

LPPH September 2015

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

  •  at a DFPS 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 DFPS representatives, at any of the locations identified above; or

  •  as a telephone interview, if meeting in person is not possible.

DFPS Rules, 40 TAC §745.215

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

LPPH September 2015

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 non-expiring 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

DFPS Rules, 40 TAC §§745.37; 745.113

3213.1 Governing Body and Licensing Responsibilities

LPPH 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

LPPH September 2015

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 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 DFPS website within 10 days of designating the director;

  •  submit changes in the governing body or the director designation on Form 2760 Controlling Person or through the DFPS website within two days in accordance with controlling person requirements (see 3213.2 Controlling Person Responsibilities); and

  •  indicate on Form 2911 or through the DFPS website 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).

DFPS Rules, 40 TAC §§744.303; 744.1037; 746.303; 746.1039; 745.903

3213.12 Additional Information for Residential Child Care Governing Body Responsibilities

LPPH September 2015

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 Governing Body/Administrator or Executive Director Designation or through the DFPS website.

DFPS Rules, 40 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 or through the DFPS website.

See 3213.2 Controlling Person Responsibilities.

DFPS Rules, 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.

DFPS Rules, 40 TAC §§748.63; 748.231(f); 748.1203; 749.63; 749.331(f); 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.

DFPS Rules, 40 TAC §§748.501; 749.601; 750.301

3213.2 Controlling Person Responsibilities

LPPH September 2015

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 DFPS website or by using Form 2760 Controlling Person with the application; and

  •  within two days each time a person becomes or ceases to be a controlling person at the operation thereafter.

DFPS Rules, 40 TAC §§744.305(a)(6); 745.901; 745.903; 745.907; 746.305(a)(6); 747.303(a)(6); 748.103(a)(13); 749.103(18); 750.103(11)

See 5400 Controlling Person.

3213.3 Background Check Responsibilities

LPPH 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.

See Child Care Licensing Frequently Asked Questions regarding background checks.

Texas Family Code §264.8521

Human Resources Code §42.056

DFPS Rules, 40 TAC §§745.615; 745.625

3213.4 Additional Information

LPPH September 2015

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

3214 CLASS Documentation Requirements

LPPH 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

LPPH 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

LPPH September 2015

Policy

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

LPPH September 2015

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

DFPS Rules, 40 TAC §745.301

Military Member, Spouse, or Veteran

The inspector processes an application as soon as practicable for a military member, spouse, or veteran.

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

LPPH September 2015

Policy

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.

DFPS Rules, 40 TAC §745.327

3222 How to Determine Whether the Applicant Is Eligible to Apply

LPPH September 2015

Policy

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.

DFPS Rules, 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 DFPS files using CLASS or reviews other available records maintained in Licensing offices to verify information submitted in the application packet. The review of DFPS 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 DFPS 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 DFPS 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 DFPS 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 DFPS letterhead.

See: 1500 Conducting a Search in CLASS

3223 Evaluating an Application for Completeness

LPPH September 2015

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 Child Daycare Licensing Application

  •  Form 2919e Request for a Registration Permit

  •  Form 2960 Application for a License to Operate a Residential Child Care Facility or Child-Placing Agency

  •  Form 2986 Listing 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 CPS 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

LPPH September 2015

Policy

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.

DFPS Rules, 40 TAC §745.301

Texas Human Resources Code §42.047

3223.11 Resolving Errors and Omissions

LPPH 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

LPPH September 2015

Policy

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.

DFPS Rules, 40 TAC §§745.215; 745.243; 745.301

3225 Returning an Application

LPPH September 2015

Procedure

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

LPPH 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 timeframe 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

LPPH September 2015

Policy

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.

DFPS Rules, 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 DFPS 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

LPPH 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.

DFPS Rules, 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

LPPH 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 2960p Application for a License to Operate a Residential Child Care Facility or Child-Placing Agency; or

  •  Form 2982p 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)

DFPS Rules, 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

LPPH June 2016

Policy

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

DFPS Rules, 40 TAC §745.349

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

LPPH September 2015

Policy

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 5377 Obtaining a Risk Evaluation Prediction.

3232 Withdrawal of an Application for an Operation That Is Providing Care

LPPH June 2016

Policy

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

LPPH June 2016

Policy

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

DFPS Rules, 40 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

LPPH September 2015

Policy

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

LPPH 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

LPPH 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.

DFPS Rules, 40 TAC §745.631

See:

5333 Handling Unsustained Central Registry Findings

5344 Criminal History Check Results and Permit Issuance

3312.1 Unsustained Central Registry Findings

LPPH 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 5377 Obtaining a Risk Evaluation Prediction

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 5335 Notifying the Operation of 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 5377 Obtaining a Risk Evaluation Prediction).

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)

LPPH December 2015

Policy

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

DFPS Rules, 40 TAC §745.321

3313.1 Time Frames

LPPH September 2015

Policy

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.

DFPS Rules, 40 TAC §745.321

3313.2 When to Announce an Application Inspection

LPPH September 2015

Policy

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

LPPH September 2015

Policy

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

DFPS Rules, 40 TAC §745.321

3313.4 Evaluating Compliance

LPPH September 2015

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 3930 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 3930 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 2936CCH Child Care Home

Form 2936LCCC Child Care Licensed Center

Form 2936p2a Child Care Facility Inspection

Form 2936p2b Child Care Operation Inspection

Form 2936sap-bap School-Age and Before or After School Program

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

Form 2786 Independent Foster Home

3313.5 Processing Controlling Person Submissions (Except Certified Operations)

LPPH 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 and Health Inspections (Except for Listed Homes)

LPPH December 2015

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 and health inspections.

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 health 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

DFPS Rules, 40 TAC §§744.2501; 744.3501; 746.3401; 746.5101; 747.3201; 747.4901; 748.3001; 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

LPPH September 2015

Policy

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

DFPS Rules, 40 TAC §§745.271; 745.273; 749.2485

3321.2 Child-Placing Agency Public Notice Requirements

LPPH September 2015

Policy

When a CPA Fails to Comply

The minimum standards for a child-placing agency 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 child-placing agency must comply with public hearing requirements.

If a child-placing agency 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 child-placing agency did not verify as required.

Child-placing agencies 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

DFPS Rules, 40 TAC §§745.275; 745.277

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

LPPH September 2015

Policy

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

LPPH September 2015

Policy

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

LPPH September 2015

Policy

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

LPPH September 2015

Policy

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.

DFPS Rules, 40 TAC §§745.201(2); 745.275

3321.7 Licensing’s Role During the Hearing

LPPH September 2015

Policy

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 DFPS policy and procedures may be answered by the inspector; otherwise, the applicant or permit holder responds to questions.

Texas Human Resources Code §42.0461

DFPS Rules, 40 TAC §745.275

3322 Report of Public Comment From the Community

3322.1 How to Submit the Report

LPPH September 2015

Policy

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 DFPS Form 2997p Results of Public Hearing, furnished by Licensing.

3322.2 Contents of the Report

LPPH September 2015

Policy

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

DFPS Rules, 40 TAC §745.275

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

LPPH September 2015

Policy

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.

DFPS Rules, 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

DFPS Rules, 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

LPPH November 2017

Policy

When a director or primary caregiver is designated on Form 2911 Governing Body/Director Designation, or through the DFPS website, 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.

DFPS Rules, 40 TAC §§744.1001; 746.1001; 747.1101

3331.1 How to Evaluate Qualifications

LPPH 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.

DFPS Rules, 40 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

Policy

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.

DFPS Rules, 40 TAC §§745.373; 747.201

3331.2 Issuing a Director’s Certificate

LPPH June 2016

Policy

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.

DFPS Rules, 40 TAC §§744.1057; 746.1059

3331.3 When a Director Does Not Meet Qualifications

LPPH September 2015

Policy

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.

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