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5000 Administrative Actions

5100 Waivers and Variances

LPPH September 2010

Policy

Waivers and variances are tools to assist child-care providers to comply with standards within a specified period of time, without compromising the safety of children served by the operation.

Evaluating Risk

A waiver or variance is not an entitlement. Staff must evaluate the risk to children before granting approval for a waiver or variance. A waiver or variance may not be granted if child safety would be negatively impacted. When granting a waiver or variance, conditions must be put into place to ensure that children are not at risk.

Determining the Appropriate Action

A waiver may be appropriate if the economic impact of compliance is great enough to make compliance impractical.

A variance may be appropriate if there is good and just cause for the applicant or operation to meet the purpose of the standard in a different way.

A waiver or variance may only be granted for a specified period of time, and expires on the date specified in CLASS that has been approved by the supervisor.

Obtaining Supervisory Approval

Supervisors grant or deny waivers or variances, and base decisions on:

  •  the risk to children;

  •  relevant compliance history;

  •  waivers or variances currently in effect;

  •  status (for example, whether on initial, evaluation, or probation);

  •  economic need and ability to comply; and

  •  other variables identified by Licensing.

If a supervisor chooses to delegate decision-making authority, the supervisor must set parameters by which the designee reviews and approves or denies waivers and variances.

Reviewing the Decision to Deny

If denied, the provider may request that the director of Licensing or designee review the decision.

See 5130 Review of Conditions or Denied Request for a Waiver or Variance.

Changing the Conditions or Dates

If the supervisor grants a waiver or variance, but the expiration date varies from the plan submitted by the provider, the supervisor must contact the provider to discuss the changes.

Operations Under the Same Governing Body

District directors or managers may develop policies for their staff to address waivers or variances for multiple operations under the same governing body.

For Child Day Care Only

A child day-care provider does not need to submit a waiver or variance request if the provider can come into compliance with the standard within 60 days. This does not mean a waiver or variance must be submitted if the violation exceeds 60 days; however, the operation will continue to be in violation until the correction is made or a waiver or variance is approved. Staff must consider the risk to the children and all variables listed in this item under Obtaining Supervisory Approval.

Texas Human Resources Code §§42.042(j); 42.048(c)

DFPS Rules, 40 TAC §§745.8301; 745.8305; 745.8307

Processing a Waiver or Variance

Procedure

A provider who applies for a waiver or variance:

  •  completes page 1 of Form 2937 Child-Care Waiver or Variance Request; and

  •  sends the request, a letter, and any supporting documentation to Licensing; or

  •  submits the request online through the public and provider Web site; and

  •  sends supporting documentation to Licensing, as needed.

Letters requesting a waiver or variance must include all of the information required on page 1 of Form 2937. A separate request must be submitted for each operation type and standard number.

Within 15 days of receipt of the completed waiver or variance form, the inspector:

  •  evaluates the request; and

  •  documents the request in CLASS and makes a recommendation to the supervisor whether to grant or deny the request. If the inspector recommends granting the request, the inspector documents conditions for supervisory review and approval. If the inspector recommends denial of the request but the supervisor disagrees, the inspector adds conditions to the waiver or variance.

The supervisor reviews the request and the inspector's recommendation and makes the final decision to grant or deny the request within 15 days of receiving the notification. The inspector then must do the following:

  •  if the decision is made to grant the waiver or variance, send the provider notice of the decision using page 2 of CLASS Form 2937, which must indicate the time limits and conditions; or

  •  if the decision is made to deny the waiver or variance, send the provider notification of the decision using CLASS Form 2937: Decision on Waiver/Variance letter by certified mail, and include the reason for denial; and

  •  if the request is denied, include a statement about the provider’s right to a review by the director of Licensing or designee within 15 days of receiving notice of the denial.

5110 Decision Guidelines for Granting Waivers or Variances

LPPH September 2010

Policy

The inspector only grants a waiver or variance when it is appropriate and when doing so does not negatively impact child safety. Operations with poor compliance history relevant to the request are not granted a waiver or variance. 

Procedure

When deciding whether to grant or deny a request, the inspector considers the following:

  •  Is the request reasonable?

  •  Can the operation comply with the standard without a waiver or variance?

  •  What are the risk variables at the operation?

  •  What other waivers or variances are in effect or have been in effect at the operation?

  •  What is the operation's compliance history?

  •  When was the last inspection at the operation?

  •  Does an inspection need to be made before making the decision?

  •  How will the waiver or variance impact the children in care?

  •  Will granting this request negatively impact child safety?

  •  Is the length of time requested for the waiver or variance reasonable?

  •  Is a shorter time for the waiver or variance more appropriate?

See:

Appendix 5000-1A: Guidance on Reviewing Day-Care Waiver or Variance Requests

Appendix 5000-1B: Guidance on Reviewing Residential Child-Care Waiver or Variance Requests

5120 Setting and Monitoring Conditions for the Waiver or Variance

LPPH November 2009

Policy

Conditions must be set for all waivers and variances granted. Each condition established for waivers or variances must specify the month, day, and year the waiver or variance expires.

All conditions must be easily observable and measurable by staff and the caregiver:

      Conditions must not re-state the minimum standard rules, but rather must describe specific circumstances that the operation must address. Conditions are another way of achieving compliance with minimum standard rules and reducing risk to children.

      Conditions must be evaluated during each inspection and during each investigation relevant to the standard and the conditions.

Procedure

Conditions are not limited to, but may include:

  •  that the request applies to a specific child or caregiver;

  •  measures the provider must take to reduce risk and protect the children;

  •  steps the provider must take toward meeting the standard;

  •  any dates when Licensing requires supporting documentation from the provider;

  •  documentation or other observable items that must be available at the operation;

  •  other restrictions or requirements placed on the operation.

The Licensing representative ensures that:

  •  waiver or variance expiration dates are reasonable and based upon the risk to children; and

  •  no waiver or variance is granted for more than three years.

  •  required documents, records, or other observable activity are specified in the conditions so that evaluation of conditions can be recorded on the Licensing inspection form or letter; and

  •  documentation is complete, specifically on CLASS Form 2936 in the documentation narrative or the compliance letter, that:

  •  conditions of the waiver or variance were reviewed;

  •  whether conditions were met or not met;

  •  whether conditions changed; or

  •  unintended risk to children is observed as a result of the waiver or variance.

See also:

4152 Reviewing Restrictions and Conditions

5140 Rescinding or Amending a Waiver or Variance

5121 Documenting Outcomes for Waivers and Variances

LPPH June 2016

Procedure

Licensing staff completes the Outcome section on the Waiver/Variance Detail page in CLASS when a waiver or variance has expired or it is no longer needed.

5130 Review of Conditions or Denied Request for a Waiver or Variance

LPPH November 2009

Policy

If a request for a waiver or variance is denied, the provider may request an administrative review by the director of Licensing or designee.

DFPS Rules, 40 TAC, §745.8319

If a provider disagrees with the conditions or time limits established, he or she may contact the Licensing supervisor to discuss concerns.

DFPS Rules, 40 TAC, §745.8315

Procedure

When a waiver or variance is denied, the inspector informs the provider of the administrative review process: The provider:

  •  may request an administrative review of a denied request in writing within 15 days of the receipt of the denial letter;

  •  must send a letter to the director of Licensing or designee with additional information that supports the need for waiver or variance; and

  •  must include a copy of the denied waiver or variance and forward a copy of the letter requesting the review to the Licensing supervisor.

The supervisor provides a copy of the administrative review request to the assigned inspector

The director of Licensing or designee:

  •  considers the new information;

  •  notifies the requester of the decision; and

  •  sends a copy of the notification letter to the Licensing inspector and supervisor.

A provider who wants to amend conditions or time limits must call or write to the supervisor and request a meeting to discuss items of concern.

5140 Rescinding or Amending a Waiver or Variance

LPPH November 2009

Policy

A waiver or variance that has been previously granted may be rescinded or amended by the Licensing supervisor, a CCL director or manager, based upon:

  •  risk to children;

  •  changing conditions;

  •  conditions not met; or

  •  a combination of any of the criteria above.

Procedure

Protocol to Recommend an Action

An authorized person who determines that a waiver or variance should be rescinded or conditions amended must consult with the supervisor regarding a recommended course of action.

Notice by Supervisor of Rescission

The supervisor writes a letter to the provider rescinding the waiver or variance or amending the conditions and sends a copy to the director of Licensing or designee.

Statement of Provider’s Right to Review

If a waiver or variance is rescinded, the letter must include the provider's right to an administrative review by the director of Licensing or designee within 15 calendar days. The letter is sent by certified mail.

See also 5130 Review of Conditions or Denied Request for a Waiver or Variance.

5200 Fees

LPPH February 2013

Policy

CCL must charge fees for permits and for conducting background checks unless an operation is exempt from such fees. All revenue collected from fees with the exception of the $1 per background check fee is deposited in the state’s general revenue fund.

Human Resources Code §42.0521

5210 Types of Fees

LPPH February 2013

Policy

Fees may be charged as follows:

a.   Nonrefundable application fee for initial license

b.   Initial license fee

c.   Annual fee that is due before a license is issued and on the anniversary date of the license

d.   Amendment fee

e.   Nonrefundable application for registration fee and annual registration fee

f.    Nonrefundable application for listing fee and fee for listing

g.   Nonrefundable application fee for a compliance certificate

h.   Fees for criminal history and Central Registry background checks

Human Resources Code §§42.054; 42.056(c); 42.153(c); 42.159(e); 42.203(c); 42.206(e)

DFPS Rules, 40 TAC §745.501

If a permit allows for different capacities at different times of the day, the fee is based on the highest capacity. See 5220 Fee Schedules.

5211 Exemptions From Fees

LPPH February 2013

Licensed Operations

Policy

Certified or state-run operations are exempt from application fees, permit fees, and background check fees.

The following types of operations are exempt from paying permit and background check fees; however, they still must pay application fees:

  •   Licensed foster family homes and foster group homes

  •   Nonprofit operations regulated under Chapter 42 of the Human Resources Code that either:

  •   provide 24-hour care for children in the managing conservatorship of DFPS during the 12-month period immediately preceding the anniversary date of the operation’s permit; or

  •   provide 24-hour residential care and do not charge for the care provided.

Texas Human Resources Code §42.054(g)

DFPS Rules, 40 TAC §745.503

Listed Family Homes

Policy

Listed family homes are exempt from all fees if all of the following conditions are met:

a.   The caregiver provides care to children related to them.

b.   The care is provided in the child’s home.

c.   DFPS has received a Texas Workforce Commission Listed Home Fee Waiver Authorization certificate exempting the provider from paying fees.

A listed family home is not exempt from paying fees if the home meets the above requirements but also provides care to a related or unrelated child in the caregiver’s home.

Texas Human Resources Code §42.054(g)

DFPS Rules, 40 TAC §745.503

Procedure

Licensing staff exempt a listed family home from paying fees after DFPS has received a Texas Workforce Commission (TWC) Listed Home Fee Waiver Authorization certificate exempting the provider from paying fees. The Texas Workforce Commission is responsible for determining whether a listed family home is exempt from fees; therefore, Licensing staff do not need to take any other steps to determine whether the home is exempt from paying fees.

To indicate that a listed home is exempt from paying fees in CLASS, Licensing staff:

1.   Check the TWC Subsidy box under Operation Type and enter the TWC Applied Date on the Registered and Listed Homes Main Operation page.

2.   Select Yes from the Exempt From Operations Fee drop-down box on the Registered and Listed Homes Main Operation page.

3.   Complete a Chronology (type Fees), indicating receipt of the TWC approval form and that the operation is exempt from fees.

If the status of the listed home changes and is no longer exempt from paying fees, then the listed home’s next annual fee is not due until the anniversary of the issuance date the following year.

5212 Requesting and Processing Application and Initial Fees

LPPH February 2013

Policy

Before the acceptance of an application for a permit (that is, during the pre-application period), the applicant must pay:

  •   an application fee, unless the applicant is exempt from paying an application fee; and

  •   the initial license fee, unless the applicant does not receive an initial license or is exempt from paying an initial license fee. See 5211 Exemption From Fees.

If the application is withdrawn or the permit is not issued, the application fee is not refunded. However, the fee for an initial license can be refunded. See 5250 Fee Refund Guidelines.

No new application fee is required if an application is submitted within one month after withdrawal. If the initial license fee was refunded, it must be paid again.

Texas Human Resources Code §42.054

DFPS Rules, 40 TAC §§745.503; 745.509; 745.519

Procedure

During the pre-application period, Licensing staff:

a.   explains the process and requirements for paying fees during the pre-application period;

b.   provides one of the following Child Care Fee Schedules and a fee envelope, depending on the type of operation:

1.   Form 3008 Listed Family Home Fee Schedule

2.   Form 3009 Registered Child Care Home Fee Schedule

3.   Form 3010 Licensed Child Care Fee Schedule

4.   Form 3011 Residential Child Care Licensed Fee Schedule

c.   instructs the applicant to mail a cashier’s check, corporate check, money order, or certified check for the application fee and initial fee if a fee is required, in the fee envelope with the completed fee form to DFPS Accounts Payable; and

d.   instructs the applicant to mail all other application materials to Licensing staff.

Texas Human Resources Code §42.054

DFPS Rules, 40 TAC §745.517

Before accepting an application,

Licensing staff:

  •   verifies in CLASS under the Fees tab that the fee was paid, if a fee is required; and

  •   documents the date the payment was received and the Document Locator Number (DLN) in a Chronology (type Fees).

See:

2100 Providing Information About Licensing Processes

2110 Conducting the Pre-Application Interview for a Child Care Permit and sub-items

3220 Reviewing and Accepting the Application for a Permit

5211 Exemptions From Fees

5220 Fee Schedules

5260 Verification of Fee Payment

5213 Requesting and Processing the First Annual Fee for Licensed Operations

LPPH February 2013

Policy

Before Licensing issues a non-expiring license (that is, during the initial period), the operation must pay the first annual fee, unless the applicant is exempt from paying an annual fee.

If the operation fails to pay the fee before the initial license expires, the Licensing inspector denies issuance of the non-expiring permit.

See:

5211 Exemptions From Fees

7600 Adverse Actions

Texas Human Resources Code §42.054

DFPS Rules, 40 TAC §745.509

Procedure

After making one or more inspections of the operation during the initial period and having determined that requirements are or will be met for issuance of the non-expiring license, Licensing staff:

a.   give the permit holder the appropriate Child Care Fee Schedule (Form 3010 Licensed Child Care Fee Schedule or Form 3011 Residential Child Care Licensed Fee Schedule) and Form 2822, Notice of First Annual Fee;

b.   instruct the permit holder to mail the form and a cashier’s check, corporate check, money order, or certified check for the annual fee, if a fee is required, before the initial license expires, to DFPS Accounts Payable; and

c.   advise operations to pay the fee at least 30 days before the initial license expires.

Before issuing the non-expiring license, Licensing staff:

  •   verify in CLASS under the Fees tab that the operation has submitted the first annual fee before the end of the initial period, if the operation is required to pay a fee; and

  •   document the date the payment was received and the Document Locator Number (DLN) in a Chronology (type Fees).

If Licensing staff cannot verify that the operation has paid the fee before the initial license expires, he or she denies issuance of the non-expiring permit.

See:

5260 Verification of Fee Payment

7633 Notice of Decision to Deny, Revoke, or Suspend an Application or Permit

DFPS Rules, 40 TAC §§745.517 and 745.509

5214 Nonpayment of Annual Fees

LPPH December 2011

Policy

If the annual permit fee is not paid by the due date, the permit is automatically suspended.

If the annual permit fee is not paid within six months after the due date, the permit is automatically revoked.

See:

5211 Exemption from Fees

7810 Automatic Suspensions

7820 Automatic Revocations

Texas Human Resources Code §42.054(f)

5220 Fee Schedules and Consequences When Fees Are Not Paid

5221 Licensed Operations – Fee Chart

LPPH September 2016

The chart below lists the fees that are required for a child care operation to obtain or maintain an initial or non-expiring license. Child care operations include day care operations, residential operations, and child-placing agencies (CPAs).

Some licensed operations may be exempt from certain fees. See 5211 Exemptions From Fees.

Type and Amount

When to Notify Operation

When Fee Payment Is Due

Consequence If an Operation Fails to Meet Time Frames

Application: $35

Inquiry, pre-application, or application

Application acceptance date

Return application as incomplete

Initial license for a child care operation (other than a child-placing agency): $35

Inquiry, pre-application, or application

Application acceptance date

Return application as incomplete

Initial license for a child-placing agency: $50

Inquiry, pre-application, or application

Application acceptance date

Return application as incomplete

Initial renewal for a child care operation (other than a child-placing agency): $35

When the operation is informed that a non-expiring license cannot be issued

Before renewal

Do not renew initial license

Initial renewal for a child-placing agency: $50

When the operation is informed that a non-expiring license cannot be issued

Before renewal

Do not renew initial license

First annual fee for a child care operation (other than a child-placing agency): $35 + $1 per licensed capacity

Initial

Before issuance of a non-expiring license

Denial, if the fee is not paid by the issuance date

First annual fee for a child-placing agency: $100

Initial

Before issuance of a non-expiring license

Denial, if fee is not paid by the issuance date

Annual fee for a child care operation (other than a child-placing agency): $35 + $1 per licensed capacity

Two months before the anniversary date of the license (state office notifies)

Anniversary date of a non-expiring license

Automatic suspension, if the fee is not paid by the anniversary date

Automatic revocation, if the fee is not paid within six months after the automatic suspension begins

Annual fee for a child-placing agency: $100

Two months before the anniversary date of the license (state office notifies)

Anniversary date of the non-expiring license

Automatic suspension, if the fee is not paid by the anniversary date

Automatic revocation, if the fee is not paid within 6 months after the automatic suspension begins

Change of ownership or location (not applicable for a CPA that only changes location): $35 for application

AND

For a child care facility: $35 for initial (only if being issued)

For a child-placing agency (not applicable for a CPA that only changes location) issued)

OR

For a child care facility: $35 + $1 per licensed annual capacity

For a child-placing agency (other than a change of location): $100

When notified of the change

Application acceptance date and before issuance

Denial, if the fee is not paid by the issuance date

Amendment fee for a child care operation: $1 per licensed capacity increase

Amendment request

Before the amendment is issued

No increase in capacity

Background check per person: $2

Not applicable

At the time the background check request is submitted or on a monthly or quarterly basis.

Possible suspension or revocation of the permit

Texas Human Resources Code §§42.054; 42.056(c)

DFPS Rules, 40 TAC §§745.509; 745.517

5222 Registered Homes - Fee Chart

LPPH September 2016

The chart below lists the fees required for a registered child care home.

Fee Type, Amount

When to Notify an Operation

When Fee Payment Is Due

Consequence if Operation Fails to Meet Time Frames

Initial application, Registration request: $35

Inquiry, preregistration

Acceptance date of the registration request

Return registration request as incomplete

Annual registration: $35

2 months before the anniversary date of the registration (state office notifies)

Anniversary date of the registration

Automatic suspension, if the fee is not paid by the anniversary date

Automatic revocation, if the fee is not paid within 6 months after the automatic suspension begins

Background check per person: $2

Not applicable

At the time the background check request is submitted or on a monthly or quarterly basis

Possible suspension or revocation of the permit

Texas Human Resources Code §§42.054; 42.056(c)

DFPS Rules, 40 TAC §§745.507; 745.517

5223 Listing - Fee Chart

LPPH September 2016

The following chart contains fees required for listed family homes. Some listed family homes may be exempt from the fees listed. See 5211 Exemptions From Fees.

Type and Amount
of Fee

When to
Notify Operation

When Fee Payment Is Due

Consequence if Operation Fails to Meet Time Frames

Initial Application/request Listing Fee: $20

Upon listing

Listing request acceptance date

Return listing request as incomplete

Annual Listing Fee: $20

Two months before anniversary date of listing (state office notifies)

Anniversary date of listing

Automatic suspension if fee not paid by anniversary date

Automatic revocation if fee not paid within six months after automatic suspension begins

Background check per person: $2

Not applicable

At the time the background check request is submitted or on a monthly or quarterly basis.

Possible suspension or revocation of the listing for failure to submit the fee. 

Texas Human Resources Code §§42.054; 42.056(c)

DFPS Rules, 40 TAC §§745.505; 745.517

5224 Administrator’s License - Fee Chart

LPPH May 2012

The following chart contains application, examination, and renewal fees required for an administrator’s license. An administrator’s license may not be renewed unless the required training documentation is submitted with the fee.

Type and Amount
of Fee

When to
Notify Operation

When Fee Is Due

Consequence if Operation Fails to Meet Time Frames

Application: $100

Inquiry, preapplication, or application

Application acceptance date

Return application as incomplete

Examination: $50

Inquiry, preapplication, or application

Before examination

Do not schedule for test

Replacement: $5

When requesting a replacement or copies

Before issuance

Do not issue

Renewal: $50

Renewal if within 90 days late: $75

Renewal if more than 90 days but less than 2 years late: $100

Application for renewal

Before issuance

Do not issue renewal

Texas Human Resources Code §43.006

DFPS Rules, 40 TAC §§745.8931; 745.8933(6); 745.9003; 745.9005

See also:

9430 Renewal Fees for an Administrator's License

5225 Operations With a Compliance Certificate – Fee Chart

LPPH February 2013

The following chart contains fees required for small employer-based child care operations and temporary shelter child care operations, when the fees are due, and the consequences for failure to pay on time:

Type and Amount
of Fee

When Fee Is Due

Consequences for Failure to Pay
Fee on Time

Application/ Compliance Certificate fee: $35

Before application is accepted

Return application as incomplete

Background check fee: $2 per person

At the time of request for a background check or on a monthly or quarterly basis

May suspend or revoke permit

Texas Human Resources Code §42.054

DFPS Rules, 40 TAC §745.521

5230 Fees for Multiple Licenses

LPPH February 2013

Policy

If an applicant or permit holder wants separate licenses for different types of operations at the same location, a fee must be paid for each license.

If a day care license allows for different capacities at different times of the day, the fee is based on the highest capacity of each license.

DFPS Rules, 40 TAC §§745.511; 745.513

See also 2200 Types of Child Care Permits and Multiple Operations.

5240 Fees for Amended Licenses

LPPH February 2013

Procedure

Licensing staff processes a fee for an amended license as follows:

  •   If a permit holder requests an amendment to increase the operation’s capacity, the inspector informs the permit holder that he or she must pay a fee for each child added to the capacity before the amended license can be issued.

  •   After determining what the new capacity will be, the Licensing staff gives the permit holder the appropriate Child Care Fee Schedule and a fee envelope, and instructs the permit holder to send a cashier’s check, corporate check, money order, or certified check and completed form for required fee to DFPS Accounting.

Before issuing the amended license, Licensing staff:

a.   ensures standards relevant to the amendment are met;

b.   verifies in CLASS under the Fees tab that the fee has been paid; and

c.   documents the date the payment was received and the Document Locator Number (DLN) for the payment in a Chronology (type Fees).

The fee is not prorated. If a license is amended to reduce capacity, the permit holder does not receive a refund. The reduction is reflected in the next annual fee payment.

DFPS Rules, 40 TAC §§745.509(12); 745.517

5250 Fee Refund Guidelines

LPPH February 2013

Policy

No refund is made if a permit is revoked or relinquished.

Fees that have been paid may be refunded only under certain conditions. Those conditions are outlined in the following refund chart:

Texas Human Resources Code §42.054

Refund Chart

Type of Fee

Conditions for Refund

Application fee when issuance was late

Fee is refunded after appeal

Initial application fee

Nonrefundable fee

Initial license fee

Refunded if the application is withdrawn, or the license is not issued

First license fee

Refunded if the initial license expires with no license being issued

Registration fee: initial (application) and annual

Nonrefundable

Listing Fee: initial (application) and annual

Nonrefundable

Background check fee

Nonrefundable

Amendment to license fee

Refunded if the amendment is not issued

All fees

Refunded if the fee is overpaid

All annual fees

Nonrefundable

DFPS Rules, 40 TAC §745.519

Procedure

Within 30 calendar days of determining the refund is due, Licensing staff completes Form 4116 State of Texas Purchase Voucher, to process a refund.

5260 Verification of Fee Payment

LPPH February 2013

Procedure

An interface between CLASS and the DFPS accounting system provides CLASS with fee information.

To verify that a fee has been paid, Licensing staff;

  •   click on the Fees tab to open the Payment Information Summary page; and

  •   review information on the page to determine whether the fee payment is documented with the correct fee amount.

If the Fee Is Not on the Operation’s Payment Information Summary Page in CLASS

If the fee information is not on the operation’s Payment Information Summary page in CLASS, Licensing staff completes the following tasks in the order listed below until payment is verified and documented in the operation’s record in CLASS.

Step 1: Complete Payment Verification Search

Licensing staff complete a search for a payment through the Verify Payments link in CLASS (located in CLASS Tools).

If the payment is identified and confirmed through the search, Licensing staff:

a.   attach the payment to the operation by checking the Select box and saving the page;

b.   confirm that the payment has been attached to the operation by reviewing the operation’s Payment Information Summary page in CLASS; and

c.   document the information in a Chronology (type Fees).

If the payment is not confirmed after completing the search, Licensing staff complete Step 2, below.

Step 2: Obtain Receipt and Complete Subsequent Payment Verification Search

If the payment is not confirmed through the search outlined in Step 1, Licensing staff:

  •   obtain proof of payment (canceled check, copy of money order, or documentation from banking institution) furnished by the permit holder or applicant; and

  •   conduct another search for the payment through the Verify Payments link in CLASS (located in CLASS Tools), narrowing the scope of the search by the date on the receipt.

If the payment is identified and confirmed, Licensing staff:

a.   attach the payment to the operation by checking the appropriate Select box and saving the page;

b.   go to the operation’s Payment Information Summary page to confirm that the payment has been attached in CLASS;

c.   document the information in a Chronology (type Fees); and

d.   file proof of payment in the hard copy record.

If the payment is not identified after obtaining a receipt and completing a second search, the inspector completes Step 3, below.

Step 3: Payment Not Verified After Two Searches

If the payment is not identified after completing the tasks outlined in Step 2, Licensing staff:

  •   enter a Chronology (type Fees) detailing the payment information;

  •   file proof of payment in the hard copy record; and

  •   consider the fee paid.

5261 How to Verify and Follow-Up on an Insufficient Fund Payment (NSF)

LPPH February 2013

Procedure

If Accounts Payable rejects a fee payment because of non-sufficient funds (NSF) or other reasons, Licensing staff must:

a.   follow-up with the operation;

b.   ensure the payment is re-submitted; and

c.   verify the payment in CLASS once Accounts Payable processes the payment.

Licensing staff complete the following tasks in the order listed below to reconcile a NSF payment.

Step 1: Licensing Staff Receive Notification of an NSF Payment

State office Licensing staff send the following information to the appropriate Licensing staff whenever Accounts Payable notifies state office of a NSF payment:

a.   A scanned copy of the NSF check

b.   A copy of the notification Accounts Payable sent to the provider

c.   Instructions to follow-up with the operation

Step 2: Licensing Staff Notify an Operation of an NSF Payment

Within five days of receiving notification from state office, Licensing staff follows up with the operation by notifying the operation of all of the following:

a.   The check received from the operation for the fee payment was returned for non-sufficient funds.

b.   The fee payment must be submitted by a specific date set by Licensing staff.

c.   The operation should pay the outstanding fee in the form of a money order or cashier’s check.

d.   The action that Licensing may take if the fee is not paid.

Licensing staff documents a Chronology (type Fees) in CLASS and includes all of the following information:

a.   The Document Locator Number (DLN) of the fee that was returned as NSF

b.   The date that the operation was notified of the NSF payment

c.   The person that Licensing staff informed of the NSF payment

d.   The date by which Licensing staff instructed the operation to resubmit the payment

Licensing staff files a copy of the rejected payment notice in the operation’s external file.

Step 3: Licensing Staff Verify Payment

Once an operation resubmits a payment, Accounts Payable re-enters the payment information into the accounting system and the payment verification is automatically sent to CLASS with a new Document Locator Number (DLM). 

Licensing staff must verify that the payment is documented in CLASS under the Fee tab before issuing or renewing an initial or non-expiring permit. Staff may request a copy of the cashier’s check that was submitted if the payment is not showing in CLASS, but it still needs to be resolved in CLASS before issuance or renewal.

If the operation does not resubmit the payment by the set deadline, Licensing staff complete the following steps for non-payment of fees:

a.   Follows procedures to return application as incomplete if the application fee is not paid timely (see 5220 Fee Schedules and Consequences When Fees Are Not Paid)

b.   Follows procedures for auto-suspension or auto-revocation if the annual fee is not paid timely (see 7800 Automatic Actions)

c.   Follows procedures for actions taken when fees other than the application fee or annual fee are not paid (see 5220 Fee Schedules and Consequences When Fees Are Not Paid).

Licensing staff documents a Chronology (type Fees) and includes:

  •   the Document Locator Number (DLM) of the new fee payment, if the payment was resubmitted; or

  •   the action taken, if the payment was not resubmitted by the deadline.

Step 4: Licensing Staff Notify State Office Staff

Within 15 days of being notified of the NSF payment, Licensing staff notifies Licensing state office via email of the follow-up results, including whether the fee was paid or what action was taken if operation failed to resubmit the payment by the deadline.

5270 Fee Notice Is Returned

5271 Licensed and Registered Operations

LPPH February 2013

Procedure

If the post office returns an annual fee notice marked undeliverable at this address, address unknown, or otherwise indicates that the operation did not receive the notice, the inspector completes an inspection at the operation to determine whether it is operating.

5271.1 Inspector Determines Operation Is Operating During the Inspection

LPPH February 2013

Procedure

If someone is present at the operation and the inspector determines that the operation is operating during the inspection, the inspector documents the inspection as a Follow-up inspection (see 4300 Conducting a Follow-Up With an Operation).

Before leaving the operation, the inspector:

a.   confirms the operation’s contact information and mailing address and updates the information in CLASS, if necessary;

b.   provides the operation with the annual fee notice that was returned to DFPS;

c.   instructs the operation that the fee must be paid within five days; and

d.   documents in the Narrative text box on CLASS Form 2936 that the fee notice was provided to the operation

Following the completed inspection, Licensing staff:

  •   file a copy of the returned notice in the hard copy record; and

  •   follow steps to ensure payment is received within 10 days after the inspection (see 5260 Verification of Fee Payment).

5271.2 Inspector Determines Operation Is Not Operating During Inspection

LPPH February 2013

Procedure

If someone is present at the operation and the inspector verifies the operation’s intent to no longer operate, the inspector:

  •   documents the inspection as a Follow-Up inspection(see 4300 Conducting a Follow-Up With an Operation); and

  •   includes a statement that the operation is not operating in the Narrative text box on CLASS Form 2936 Child Care Facility Inspection form.

After a completed follow-up inspection, Licensing staff:

a.   file the returned notice in the hard copy record;

b.   close the license or registration in CLASS as a voluntary closure (see 7340 Voluntary Closure) within 10 days after the inspection; and

c.   inform the Child and Adult Care Food and Nutrition Program staff of the Department of Agriculture, if applicable, within 10 days after the inspection.

5271.3 No One Is Present at the Operation During Inspection

LPPH February 2013

Procedure

If no one is present at the operation and it can be determined that the operation is no longer operating and caring for children, the inspector completes all of the following tasks within 10 days after the inspection:

a.   Documents the inspection as a Follow-up inspection

b.   Documents the determination in a Chronology (type Monitoring)

c.   Closes the license or registration in CLASS as a voluntary closure (see 7340 Voluntary Closure)

d.   Informs the Child and Adult Care Food and Nutrition Program staff of the Department of Agriculture, if applicable.

If no one is present at the operation and it cannot be determined whether the operation is operating and continuing to care for children, then within 10 days the inspector:

a.   documents the inspection as an Attempted inspection;

b.   documents the observations made during the inspection in the Narrative text box on CLASS Form 2936 Child Care Facility Inspection form; and

c.   consults with the supervisor to determine the next course of action. 

The inspector files the notice in the hard copy record after it is returned.

5272 Listed Family Homes

LPPH February 2013

Procedure

If the post office returns an annual fee notice marked undeliverable at this address, address unknown, or otherwise indicates that the operation did not receive the notice, within10 days, Licensing staff:

a.   file the returned notice in the hard copy record;

b.   document the contact information in the Chronology within 10 days after the inspection; and

c.   close the listing in CLASS as a voluntary closure within 10 days after the inspection (see 7340 Voluntary Closure).

 

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