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Child Care Investigations Handbook

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  • Section 4000

    4000 Inspections

    4100 Inspecting Child-Care Homes and Operations

    4110 The Authority to Monitor Child Care in Texas

    4120 Types of Inspections

    4121 Application Inspections

    4122 Attempted Inspections

    4123 Follow-Up Inspections

    4124 Initial Inspections

    4125 Investigation Inspections

    4126 Monitoring Inspections

    4127 Monitoring and Investigation Inspections

    4128 Other Types of Inspections

    4130 Minimum Requirements for Monitoring Inspections

    4131 Minimum Requirements for Licensed Operations

    4131.1 Residential Child Care: Monitoring Inspections for CPA Branch Offices

    4131.2 Residential Child Care: Team Inspections

    4131.3 Child Day Care: Annual Meeting With the Designated Director at a Licensed Child Care Center

    4131.4 Health and Safety Audits for Licensed Child Day Care Operations

    4132 Minimum Requirements for Registered Child-Care Homes

    4133 Operations That Are Not Regularly Inspected

    4140 Preparing for Inspections

    4141 Preparing for Application, Initial, and Monitoring Inspections

    4141.1 Monitoring Inspections During an Investigation

    4142 Preparing for Investigation Inspections

    4150 Conducting Inspections

    4150.1 Additional Requirements for All Inspections on Licensed Child-Care Centers

    4150.2 Additional Requirements for All Inspections on Registered Child-Care Homes

    4150.3 Additional Requirements for Monitoring Inspections on Residential Child-Care Facilities

    4150.4 Additional Requirements for Investigation Inspections

    4151 Operation Walk-Throughs

    4151.1 Exceptions for an Investigation Inspection

    4151.2 Exceptions for a Follow-Up Inspection

    4152 Reviewing Restrictions, Conditions, Waivers, and Variances

    4152.1 Documenting Deficiencies Related to Restrictions and Conditions

    4152.2 When an Operation Repeatedly Fails to Meet Restrictions or Conditions

    4152.3 Discussing Waivers and Variances

    4153 Reviewing the Records of an Operation

    4153.1 Selecting a Sample of Records For a Monitoring Inspection or Two-Year Period

    4153.11 Sampling Additional Records During a Follow-Up Inspection

    4153.2 Reviewing Background Check Records During Inspections

    4153.3 Reviewing Information on Controlling Persons

    4153.4 Reviewing Records at a Central Administrative Location

    4154 Technical Assistance

    4154.1 Providing Technical Assistance

    4154.2 Documenting Technical Assistance

    4155 When a Deficiency Can Be Corrected at Inspection

    4156 When an Inspection Is Attempted

    4157 Visiting an Operation to Conduct an Investigation Interview When the Operation Is Not the Subject of the Investigation

    4158 Avoiding Duplication of Child Day-Care Inspections by State Agencies

    4159 Handling Resistance or Refusal to Allow Inspection

    4160 Documenting the Results of an Inspection

    4161 Completing CLASS Form 2936 Child-Care Facility Inspection

    4161.1 Creating a Draft CLASS Form 2936

    4161.2 Documenting Inspection Results on CLASS Form 2936

    4161.21 Documentation of the Findings Evaluated From the Inspection

    4161.22 Limits to Documenting Names of Children

    4161.23 Limits to Documenting Names of Operation Employees

    4161.24 Technical Assistance for High Risk Violations

    4161.3 Leaving an Operation Temporarily to Document Inspection Results

    4161.4 Documenting an Inspection Continued on the Following Day

    4162 Finalizing Form 2936 and Synchronizing CLASSMate With CLASS

    4163 Final Determination of Findings Left Pending During an Inspection

    4164 Procedures When the Operation’s List of Controlling Persons Cannot Be Verified During the Inspection

    4165 Completing a Supplemental Inspection Form

    4165.1 Contacting the Permit Holder

    4166 Documenting a Health and Safety Audit in CLASS

    4170 Conducting the Exit Conference

    4171 Discussing the Results of an Inspection

    4171.1 Discussing Pending Results

    4171.2 Addressing an Operation's Concerns About Inspection Findings

    4172 Signing and Providing a Copy of Form 2936 Child Care Facility Inspection

    4173 Posting the Day Care Inspection Form or Assessment Form

    4200 Citing Deficiencies With an Assessment

    4300 Conducting a Follow-Up With an Operation

    4310 How to Conduct a Follow-Up With an Operation

    4311 Following Up With an Inspection

    4311.1 Documenting Follow-Up Inspections

    4312 Following Up Without an Inspection

    4312.1 Documenting Follow-Ups When an Inspection Is Not Required

    4313 When an Operation Continues to Be Deficient

    4320 Exceptions to Time Frames for Completing a Follow-Up With an Operation

    4321 Granting Staff Additional Time to Complete a Follow-Up With an Operation

    4322 Granting an Operation Additional Time to Comply With a Requirement Cited as a Deficiency

    4330 Sending a Warning Letter and Following Up With an Inspection

    4400 Additional Regulatory Activities for Certain Types of Operations

    4410 Monitoring Certified (State-Operated) Child-Care Operations

    4420 Monitoring Child-Placing Agencies

    4421 Monitoring CPAs That Conduct International Adoptions

    4422 Certifying the Licensing Status of a Child-Placing Agency for International Adoptions

    4430 Random-Sampling Inspections of CPA Foster Homes

    4431 Using Random-Sampling Inspections to Regulate a Child-Placing Agency

    4431.1 Citing Deficiencies Based on Random-Sampling Inspection Results

    4432 Selecting CPA Foster Homes for Random-Sampling Inspections

    4432.1 Pre-Screening CPA Foster Homes Selected for Random-Sampling Inspections

    4432.2 When a Foster Home Is Screened Out

    4433 Preparing for a Random-Sampling Inspection

    4433.1 Requesting CPA Foster Home Records in Preparation for a Random-Sampling Inspection

    4433.11 If Requested Records Are Not Received Within Five Days

    4433.2 Reviewing CPA Foster Home Records in Preparation for a Random-Sampling Inspection

    4433.3 Completing the Foster Home Screening Review Guide

    4434 Scheduling Random-Sampling Inspections

    4434.1 Scheduling Announced Inspections

    4434.2 Scheduling Unannounced Inspections

    4435 Conducting Random-Sampling Inspections at CPA Foster Homes

    4435.1 Immediate Hazards

    4435.2 When Abuse or Neglect Is Reported or Observed

    4435.3 Attempted Random-Sampling Inspections

    4435.31 Attempted Announced Inspections

    4435.32 Attempted Unannounced Inspections

    4436 Documenting and Sharing the Results of Random-Sampling Inspections

    4437 Retaining Records of Random-Sampling Inspections

    4440 Enforcement Team Conferences

    4441 Enforcement Team Conferences for Child-Placing Agencies and General Residential Operations

    4441.1 Completing the Enforcement Team Pre-Conference Synopsis for a CPA or GRO

    4441.2 Conducting the Enforcement Team Conference for a CPA or GRO

    4441.3 Activities After Conducting the Enforcement Team Conference for a CPA or GRO

    4500 Evaluating Risk to Children

    4510 The CLASS Risk Review and Enforcement Recommendations

    4511 Enforcement Action Options

    4512 Acting on Enforcement Recommendations

    4512.1 Actions Requiring Supervisory Approval

    4512.2 Supervisor Responsibilities

    4700 Reviewing Operation Policies

    4800 Risk Analysis

    4810 Requesting a Risk Analysis

    4820 Risk Analysis Review Period

    4830 Risk Analyst Responsibilities

    4840 Licensing Staff Responsibilities After Receiving a Completed Risk Analysis

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