Handbook Revision, November 1, 2021
Removing Regulatory Policy from CCI Handbook – Sections 2000, 3000, 4000, 5000, 9000, and Appendices (PATS 13544)
In 2017, the Texas Legislature transferred child care regulation functions from DFPS to Texas Health and Human Services (HHS).
Child Care Investigations reviewed its handbook and determined that the following sections contain policy about regulatory functions that transferred to HHS. As a result, these policies (and all subsections within them) are being removed from the CCI Handbook.
- 2000 Handling Inquiries About the Licensing Process and Exemptions
- 3000 Application and Issuance
- 4000 Inspections
- 5000 Administrative Actions
- 9000 Licensed Administrators
The following appendices are related to the sections above and are also being removed:
- 2000 Handling Inquiries About the Licensing Process and Exemption
- 2000-1: Organizations Whose Members May Qualify for Exemption
- 3000 Application and Issuance
- 3000-2 Notifying the Operation
- 4000 Monitoring
- 4000-1: Field Guide for Documenting Inspections
- 5000 Administrative Actions
- 5000-1: Reviewing Waiver and Variance Requests
- 5000-1A: Guidance on Reviewing Day-Care Waiver or Variance Requests
- 5000-1A.1 Director Qualifications
- 5000-1A.2 GED or High School Diploma
- 5000-1A.3 Working Phone with a Listed Number
- 5000-1A.4 No Fence Around Playground/Yard
- 5000-1A.5 No Hand-Washing Sink in the Diaper-Changing Area
- 5000-1A.6 Shared Space
- 5000-1A.7 Indoor Equipment Soft Contained Play Equipment (SCPE)
- 5000-1A.8 Sprinkler Play
- 5000-1B: Guidance on Reviewing Residential Child-Care Waiver or Variance Requests
- 5000-1B.1 GED or High School Diploma
- 5000-1B.2 Extending a Child’s Stay
- 5000 1B.3 Medical Exam Within 30 Days
- 5000-1B.4 Foster Home Ratios
- 5000-1B.5 Children Younger Than Five Years in a Foster Group Home
- 5000-1B.6 Children of the Opposite Sex Sharing a Bedroom
- 7000-1: Factors to Consider for Enforcement Actions
- 9000: Instructions for the Administrative Technician in the Licensed Administrator Program
- 9000-1: Tabs in the Licensed Administrator Database
- 9000-2: Applications for Administrator’s Licenses
- 9000-3: Renewing Administrator’s Licenses
- 9000-4: Background Checks for Administrator’s Licenses
- 9000-5: Processing Fees
- 9000-6: End-of-Week Procedures
Removing Regulatory Policy from CCI Handbook – Section 7000 (PATS 13581)
In 2017, the Texas Legislature transferred child care regulation functions from DFPS to Texas Health and Human Services (HHS). As a result, Child Care Investigations reviewed its handbook and removed sections containing policy about regulatory functions that transferred to HHS.
See:
7000 Voluntary Actions and Enforcement Actions
7100 Overview of Voluntary Actions and Enforcement Actions
7110 Circumstances That May Call for Enforcement Action
7120 Notifying an Operation When Licensing Takes Enforcement Action
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7210 Immediate Danger in a State-Operated Facility
7300 Voluntary Actions of the Operation
7310 Withdrawal of an Application
7320 Temporary Relocation
7330 Voluntary Suspension
7331 Assessing and Granting a Request for Voluntary Suspension
7332 Documenting the Voluntary Suspension
7333 Denying the Voluntary Suspension
7334 Ending the Voluntary Suspension
7340 Voluntary Closure
7341 Documentation of an Operation That Has Closed
7342 Voluntary Closure During an Investigation
7343 Notification of Investigation Findings When an Operation Closes Voluntarily
7344 Licensing Response if the Operation Did Not Close
7350 Plan of Action
7351 Criteria for Recommending a Plan of Action
7352 Staffing and Initiating a Plan of Action
7352.1 If the Operation Agrees to Participate in a Plan of Action
7352.2 If the Operation Does Not Agree to Participate in a Plan of Action
7353 Meeting With an Operation To Review a Plan of Action
7353.1 When Licensing and Operation Agree on a Proposed Plan of Action
7353.2 When Licensing and Operation Cannot Agree on a Proposed Plan of Action
7354 Documenting the Plan of Action in CLASS
7355 Starting a Plan of Action
7356 Inspecting an Operation During a Plan of Action
7357 Ending a Plan of Action
7357.1 Staffing Before a Plan of Action Ends
7357.2 Plan of Action Timeframes and Ending a Plan of Action Early
7357.3 Ending a Plan of Action When Compliance Has Been Established and Maintained
7357.4 Modifying or Ending a Plan of Action When Compliance Has Not Been Established
7400 Corrective Action
7410 Criteria for Imposing Corrective Action
7411 Criteria for Imposing Evaluation
7412 Criteria for Imposing Probation
7420 Staffing a Corrective Action
7421 Documenting the Corrective Action and Creating the Corrective Action Letter in CLASS
7421.1 Considering the Conditions for a Corrective Action
7421.2 Documenting Supervisory Approval of a Corrective Action
7421.3 Creating the Corrective Action Letter
7422 Meeting With an Operation About a Corrective Action
7422.1 Required Participants When Meeting With an Operation About a Corrective Action
7422.2 Topics Covered When Meeting With an Operation About a Corrective Action
7422.3 Finalizing the Corrective Action Letter
7422.4 Documenting the Corrective Action Plan Meeting
7423 Requesting or Waiving the Right to an Administrative Review of a Corrective Action
7424 Starting a Corrective Action
7425 Inspecting an Operation During a Corrective Action
7426 Conducting Surveillance During Corrective Action
7427 Staffings During Corrective Action
7428 Corrective Action Timeframes
7429 Ending Corrective Action
7429.1 Ending a Corrective Action When Compliance Has Been Established
7429.2 Modifying or Ending a Corrective Action When Compliance Has Not Been Established
7500 Administrative Penalties
7510 Legal Basis to Impose Administrative Penalties
7511 Imposing an Administrative Penalty Before Taking a Corrective Action
7512 Imposing an Administrative Penalty After Taking a Corrective Action
7520 Assessing the Need for an Administrative Penalty
7521 A Single High Risk Violation
7522 Repeated High Risk Violations
7522.1 Repeated Violations of Background Check Requirements
7530 Recommending the Administrative Penalty
7531 When to Recommend the Administrative Penalty
7531.1 When the Violation is Corrected at the Time of the Inspection
7531.2 When the Violation is Not Corrected During the Inspection
7532 How to Document the Recommendation to Impose the Administrative Penalty
7532.1 Determining the Maximum Daily Penalty Amount
7532.11 Determining the Operation’s Capacity
7532.12 Determining the Number of Days to Impose an Administrative Penalty
7532.13 Submitting the Recommendation to the Supervisor
7533 Supervisor and Legal Review of the Recommendation to Impose an Administrative Penalty
7533.1 Supervisor Agrees With the Recommendation
7533.2 Legal Agrees With the Recommendation
7533.3 Supervisor or Legal Disagree With the Recommendation
7534 Sending Notification of the Recommendation to Impose an Administrative Penalty
7535 Reviewing the Status of Administrative Reviews for Minimum Standard or Rule Violations Identified in the Administrative Penalty
7535.1 Actions to Take if Any, But Not All, Violation Identified in the Administrative Penalty is Overturned During the Administrative Review
7535.2 Actions to Take if All Violations Identified in the Administrative Penalty are Overturned During the Administrative Review
7540 Issuing the Order to Pay an Administrative Penalty
7541 When to Send the Order to Pay the Administrative Penalty
7542 Processing the Order to Pay the Administrative Penalty
7550 Due Process Rights for Administrative Penalties
7551 Determining Whether a Request for a Due Process Hearing Meets the Due Date
7552 Processing the Outcome of a Due Process Hearing for an Administrative Penalty
7552.1 Due Process Hearing Upholds the Decision to Impose the Administrative Penalty
7552.2 Due Process Hearing Overturns the Decision to Impose the Administrative Penalty
7553 The Right to Request a Judicial Review of an Administrative Penalty
7553.1 If the Right to a Judicial Review is Waived
7553.2 If a Judicial Review is Requested
7553.21 Documenting the Outcome of the Judicial Review
7560 Payment and Nonpayment of Administrative Penalties
7561 When Administrative Penalties Remain Unpaid
7561.1 Nonpayment Due to Insufficient Funds
7561.2 Nonpayment of Administrative Penalties for Reasons Other than Insufficient Funds
7561.3 Closing an Unpaid Administrative Penalty
7600 Adverse Actions
7610 Defining Adverse Action
7620 Criteria for Taking Adverse Action
7621 Circumstances That May Call for Adverse Action
7622 Criteria for Imposing an Adverse Amendment
7623 Criteria for Imposing an Involuntary Suspension
7624 Criteria for Imposing a Revocation
7630 Taking Adverse Action
7631 Notice of Intent to Deny, Revoke, or Suspend
7631.1 When Immediate Intervention Is Warranted at an Operation
7631.2 Creating the Notification of Intent Letter
7631.21 Requirements if the Action Taken is Denial
7631.22 Requirements When the Operation Has Been on Corrective Action or Suspension
7631.23 Requirements if the Action Taken is Revocation or Suspension and There is Risk to the Health or Safety of Children
7631.24 Notifying an Operation About the Requirements For Informing the Public About an Adverse Action
7631.25 Notifying an Operation About the Right to Request an Administrative Review
7631.26 Notifying an Operation About the Restrictions on Reapplying for a Permit
7631.27 Notifying an Operation About Restrictions on Controlling Persons
7631.3 Authorizing and Delivering the Intent to Impose Adverse Action Letter
7631.31 When The Operation Is Required to Close Immediately
7632 Administrative Review for Adverse Action
7632.1 Adverse Action Is Overturned at an Administrative Review
7632.2 Adverse Action Is Upheld at an Administrative Review or No Administrative Review Is Requested
7633 Notice of Decision to Deny, Revoke, or Suspend an Application or Permit
7633.1 Creating the Decision to Impose Adverse Action Letter
7633.11 Requirements if There is Immediate Risk to Children
7633.12 Right to Appeal
7633.13 Notifying an Applicant Who Is Denied or Revoked About the Restrictions on Reapplying
7633.14 Notifying an Operation About a Controlling Person’s Right to Request a Hearing
7633.15 Failure to Close the Operation
7633.16 Posting Requirements
7633.2 Notifying DFPS and Other State Agencies
7633.3 Updating the Operation’s Status in CLASS
7634 Inspecting During the Suspension, Revocation, or Denial Process
7635 Sending an Operation Final Notice of Suspension, Revocation, or Denial
7635.1 Statements Required in the Notice of Final Adverse Action (CLASS Form 2895)
7635.2 Additional Actions Taken by Licensing Staff When Adverse Action Is Final
7636 Follow-Up to Suspension, Revocation, or Denial
7637 Emergency Suspension and Closure
7637.1 Completing the Order for Emergency Suspension and Closure
7637.2 Writing the Letter for Emergency Suspension and Closure
7637.3 Delivering the Order and Letter for Emergency Suspension and Closure
7637.4 Complete an Affidavit
7637.5 Implementation of Revocation
7637.6 The Operation’s Notification Requirements
7637.7 Update Operating Status
7638 Follow-Up to Emergency Suspension and Closure
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7722 Release Hearings for Persons Investigated by Other DFPS Divisions
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7723.1 Additional Information for Permit Holders
7723.2 Additional Information for Illegal Operations
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7730 Due Process Hearings
7731 Regulation During Appeal Process
7732 When an Administrative Law Judge Issues a Final Decision on an Appeal
7733 Suit Filed
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7750 Civil and Criminal Penalties
7760 Settlement of Legal Case
7770 Administrative Review and Due Process Hearing for a Designated Controlling Person
7771 Choosing the Persons to Designate as Controlling
7771.1 Notifying Persons About the Intent to Designate
7772 Process of Providing an Administrative Review of the Designation as a Controlling Person
7772.1 Adverse Action Is Overturned, Stopped, or Results in a Settlement
7772.2 No Administrative Review Requested by a Controlling Person
7772.3 Decision to Designate a Controlling Person Is Overturned
7772.4 Decision to Designate a Controlling Person Is Upheld
7772.5 Notifying Persons About Licensing’s Decision to Designate a Controlling Person
7772.51 Content of CLASS Form 2763 (Controlling Person Administrative Review Decision Letter)
7772.52 Instructions for Requesting a Due Process Hearing to Appeal the Designation of Controlling Person
7772.53 Consequences of a Controlling Person Not Responding to a Letter About the Right to Appeal (CLASS Form 2763)
7772.54 Enclosures When Instructing a Person About the Right to Appeal a Designation as Controlling (CLASS Form 2763)
7772.55 Delivering the Letter Notifying a Person About the Right to Appeal a Designation as Controlling (CLASS Form 2763)
7773 Providing an Due Process Hearing for a Designated Controlling Person
7773.1 Controlling Person Did Not Request a Due Process Hearing
7773.2 When a Controlling Person Requests a Due Process Hearing to Appeal the Designation
7773.21 A Designation of Controlling Is Upheld at a Due Process Hearing
7773.22 A Revocation Is Upheld at a Due Process Hearing but the Designation of Controlling Person Is Overturned
7773.23 A Revocation and Designation Are Both Overturned at a Due Process Hearing
7773.3 Final Notice to Sustain the Designation of Controlling Person
7773.31 The Contents of the Letter to Notify a Controlling Person About a Sustained Designation (CLASS Form 2764)
7773.32 Delivering the Letter Notifying a Controlling Person About a Sustained Designation (CLASS Form 2764)
7773.4 Reviewing the Status of a Sustained Controlling Person in CLASS
7774 Documenting in the AARS When the Denial or Revocation of a Permit Is Final or the Role of Controlling Person Is Sustained
7774.1 Entering Details About an Operation in the HHSC Record Sharing System
7774.2 Entering Information for the Controlling Persons
7800 Automatic Actions
7810 Automatic Suspensions
7811 When to Process an Automatic Suspension
7812 How to Process an Automatic Suspension
7813 Conducting Follow Up to Automatic Suspension
7813.1 The Operation or Home is Caring for Children
7813.2 If the Operation or Home has Stopped Providing Care or is No Longer Operating
7814 Ending an Automatic Suspension
7820 Automatic Revocations
7821 Conducting Follow-Up to an Automatic Revocation
7821.1 The Operation or Home is Caring for Children
7822 Closing an Operation After an Automatic Revocation