Source: https://hhs.texas.gov/laws-regulations/handbooks/cclpph/5000-administrative-actions
Timestamp: 2020-08-13 20:10:07
Document Index: 53999491

Matched Legal Cases: ['§745', '§745', '§745', '§745', '§745', '§745', '§745', '§745', '§42', '§745', '§42', '§745', '§745', '§745', '§42', '§745', '§745', '§745', '§745', '§745', '§745', '§745']

Waivers and variances are tools to assist child care providers to comply with minimum standards within a specified period of time, without compromising the safety of children served by the operation.
26 TAC §§745.8301; 745.8313
26 TAC §§745.8311
Supervisors decide whether to grant or deny a waiver or variance. They consider the following when making a decision to grant a waiver or variance:
whether the requirement in the standard for which the operation is seeking a waiver or variance is also in statute;
the risk to children if the operation does not meet the standard;
the operation’s compliance history;
permit status, including whether the operation has an initial or full permit;
whether the operation is on probation or operating under a provider plan of action;
economic factors or other issues that affect an operation’s ability to comply; and
other variables identified by Child Care Regulation (CCR).
26 TAC §§745.8307; 745.8309
If CCR denies the operation’s request for a waiver or variance, the provider may request an administrative review of the decision.
26 TAC §745.8319
If the supervisor grants a waiver or variance, but the expiration date varies from the plan the provider submitted, the supervisor must contact the provider to discuss the alternative time limit or conditions.
5110 Submitting a Waiver or Variance Request
completes Form 2937 Child Care Licensing Waiver/Variance Request (or a letter containing all the same information); and
mails or emails the request and any supporting documentation to CCR.
The provider may also submit the request online through the provider’s Child Care Licensing Account and submit any supporting documentation to CCR separately.
26 TAC §745.8305
A separate request must be submitted for each operation type and standard number.
5120 Decision Guidelines for Granting Waivers or Variances
The inspector only grants a waiver or variance when it is appropriate and when doing so does not negatively impact child safety.
Is the requirement in the standard for which the operation is seeking a waiver or variance also in statute?
What is the operation’s overall compliance history?
26 TAC §745.8307
5130 Establishing and Monitoring Conditions for the Waiver or Variance
Staff must establish conditions for all approved waivers and variances. When establishing conditions, staff must also specify the month, day and year the waiver or variance expires.
Both staff and the operation must be able to easily observe and measure each condition. Additionally, conditions must:
not merely re-state the minimum standards, but rather must describe specific circumstances that the operation must address. Conditions are another way of achieving compliance with the minimum standard and reducing risk to children; and
be evaluated during each inspection and during each CCR investigation relevant to the minimum standard and the conditions.
any dates when CCR requires supporting documentation from the provider;
5131 Establishing Conditions
When establishing conditions, staff ensures that:
no waiver or variance is granted for more than three years; and
required documents, records or other observable activity are specified in the conditions so that evaluation of conditions can be recorded on the CCR inspection form or letter.
5132 Evaluating Conditions
When evaluating conditions, staff ensures that documentation is complete, specifically on CLASS Form 2936 in the documentation narrative or the compliance letter, that:
5170 Rescinding or Amending a Waiver or Variance
5140 Processing a Waiver or Variance Request
Within 15 days of receiving a waiver or variance request, the inspector:
makes a recommendation to the supervisor whether to grant or deny the request.
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 recommendation to grant the waiver or variance.
26 TAC §745.8309
5141 Recommending and Documenting the Waiver or Variance Decision
5141.1 Recommending and Documenting an Approval
To recommend the approval of a waiver or variance request on the Waiver/Variance Detail page in CLASS, the inspector:
selects Grant from the Recommendation drop-down menu, enters the Recommendation Date, and documents the rationale for approval in the Documentation narrative field in the Licensing Representative Recommendation section; and
enters the Effective Date, Expiration Date and conditions in the Waiver/Variance Specifics section.
5141.2 Recommending and Documenting a Denial
To recommend the denial of a waiver or variance request, the inspector takes the following actions in the Licensing Representative Recommendation section of the Waiver/Variance Detail page in CLASS:
selects Denied from the Recommendation drop-down menu;
enters the date of the decision in the Recommendation Date field; and
documents the rationale in the Documentation narrative field.
5141.3 Supervisor's Review of the Waiver or Variance Request
The supervisor must grant or deny the waiver/variance request within 15 days of receiving notice of the inspector’s recommendation.
The supervisor takes the following actions in the Supervisor Decision section of the Waiver/Variance Details page in CLASS:
enters the Decision Date;
documents the rationale for approval or denial in the Documentation narrative field;
selects Granted or Denied from the Waiver/Variance Status drop-down menu; and
selects a Reason only if denying the waiver or variance request (the supervisor does not select a Reason if granting the wavier or variance request).
5141.4 Duplicate Requests
If the request is a duplicate of an existing waiver or variance, the inspector recommends denying the request and follows the policy and procedure in 5141.2 Recommending and Documenting a Denial. Staff then selects “Duplicate Request” from the Reason drop-down menu in the Supervisor Decision section.
5142 Notifying Provider of Waiver or Variance Decision
Within five days of the supervisor’s decision, the inspector must send the provider notice of the decision using CLASS Form 2937 Decision on Waiver/Variance Letter.
If the decision is made to deny the waiver or variance, the inspector must include in the letter:
a certified mail number;
the reason for denial; and
the name of the supervisor the operation must send the administrative request to.
5143 Updating Administrative Review
After finalizing and sending the decision letter, the inspector completes both fields of the Notifications and Administrative Review section by following the policy and procedures in 7710 Administrative Reviews.
5160 Review of Conditions or Denied Request for a Waiver or Variance
5144 Documenting Outcomes for Waivers and Variances
The CCR inspector follows up with any expiring waiver or variance and completes the Result and Outcome Date fields in the Outcome section on the Waiver/Variance Detail page in CLASS.
No outcome is selected when a waiver (W) or variance (V) is denied.
If… Then, select one of the following Results:
The current waiver or variance is no longer needed…
Met standard before expiration;
New W/V request; or
CCR rescinds the waiver or variance… Rescinded.
The waiver or variance has expired…
W/V expired - standard met; or
W/V expired - standard not met.
The operation closes… Operation closed.
5150 Renewing a Waiver or Variance
If the provider is unable to come into compliance with the minimum standard by the expiration date, the operation may request to renew the waiver or variance by applying for a new waiver or variance prior to the expiration date.
When deciding whether to grant or deny a renewal, the inspector considers the following:
Was the operation in compliance with the conditions of the original waiver or variance?
What is the operation’s overall compliance history since the approval of the original waiver or variance request?
Has there been any change to the operation since the approval of the original waiver or variance request and how does it affect child safety?
5130 Setting and Monitoring Conditions for the Waiver or Variance
5160 Review of Conditions or Denied/Revoked Request for a Waiver or Variance
If a supervisor denies or revokes a request for a waiver or variance, the provider may request an administrative review following the policy and procedures in 7710 Administrative Reviews.
26 TAC, §§745.8315;745.8319
Child Care Regulation (CCR) staff may rescind or amend a waiver or variance that a CCR staff has been previously granted, based upon:
The inspector, supervisor or other management staff who determines that a waiver or variance should be rescinded or conditions amended must consult with the supervisor regarding a recommended course of action.
The supervisor writes a letter to the provider rescinding the waiver or variance or amending the conditions and sends a copy to the program administrator.
If a waiver or variance is rescinded, the letter must include the provider's right to an administrative review within 15 calendar days. The letter is sent by certified mail.
5140 Documenting Outcomes for Waivers and Variances
Human Resources Code §42.0521; 42.054; 42.056
5210 Types and Amounts of Fees
Initial license renewal fee
Amendment fee (for an increase in capacity)
26 TAC §745.501
The chart below lists the fees required for child care operations to obtain or maintain a permit, although some operations may be exempt from certain fees. See 5211 Exemption from Fees.
Licensed Child Care Operations (except CPAs)
Temporary Shelter/Small Employer Based
Application $35 $35 $35 $20 $35
Initial License $35 $50 N/A N/A N/A
Initial License Renewal $35 $50 N/A N/A N/A
Full License $35 + $1* capacity $100 N/A N/A N/A
Annual $35 + $1* capacity $100 $35 $20 N/A
Background Check $2/background check $2/background check $2/background check $2/background check $2/background check
Amendment (Capacity Increase) $1* capacity increase N/A N/A N/A N/A
Also see 5212 Fees for Multiple Licenses.
Human Resources Code §§42.153(c); 42.159(e); 42.203(c); 42.206(e)
26 TAC §§745.505; 745.507; 745.509; 745.521
Certified or state-run operations are exempt from all fees.
Certain Nonprofit Operations
A nonprofit operation regulated under Chapter 42 of the Human Resources Code must pay application fees but is exempt from paying permit and background check fees if the operation:
provides 24-hour care for children in the managing conservatorship of DFPS at any time during the 12-month period immediately preceding the anniversary date of the operation’s permit; or
provides 24-hour residential care and do not charge for the care provided.
Also see 3531.11 Fee Exemptions for Certain Residential Operations
Listed Family Homes that Provide Care to Related Children
A listed family home is exempt from all fees if all of the following conditions are met:
Care is not provided to related or unrelated children in the caregiver’s home.
See 3121.1 Documenting Fee Exemptions in CLASS
5212 Fees for Multiple Licenses
26 TAC §§745.511; 745.513
See 2200 Types of Child Care Permits and Multiple Operations.
5220 Sending Fee Invoices and Receiving Payments
Licensing sends an invoice to an applicant or operation for each fee the applicant or operation must pay. Licensing staff ensures the invoice is sent to the applicant or operation and resends the invoice to the operation, if necessary.
See 5230 Fee Invoices.
5221 Emailing or Mailing Invoices to the Applicant or Operation
Operation or Applicant Has Contact Email Address
If the applicant or operation has a contact email address in CLASS, CLASS sends a system-generated email to the applicant or operation that includes the invoice.
Operation or Applicant Does Not Have Contact Email Address
If the applicant or operation does not have a contact email address in CLASS, Licensing staff must print a copy of the invoice on the Invoice and Payment Summary page in CLASS and mail it to the applicant or operation. Licensing staff includes a return envelope addressed to:
26 TAC §745.515
5221.1 Resending a Fee Invoice
If an invoice is returned via email as undeliverable or the applicant or operation does not receive the invoice, Licensing staff resends the invoice to the corrected or new email or mailing address.
Licensing staff first verifies that the invoice was sent to the email or mailing address that is listed in CLASS. If staff concludes that the address is no longer valid, staff contacts the applicant or operation to obtain the correct email address or mailing address and updates the information on the operation’s Main page in CLASS. Staff then resends the invoice via email if the operation or applicant has a contact email address. Otherwise, staff resends the invoice via mail.
5222 How an Operation Submits Payment
Licensing does not collect fee payments directly.
An applicant or operation may submit a payment by:
Submitting the payment through the operation’s online Child Care Licensing Account; or
Mailing the payment, along with the invoice, to HHSC Accounts Receivable.
The invoice sent to the applicant or operation includes the:
type of fee due;
instructions for submitting payments; and
consequences for not paying the fee.
See 5220 Sending Fee Invoices and Receiving Payments
5222.1 Receiving a Payment at a Licensing Office
If an applicant or operation submits a mailed payment directly to a Licensing office, Licensing staff who received the payment takes the following steps:
Enters all payment details on the Payments Sent to ARTS tracking log located on the CCL SharePoint site; and
Sends the payment and related invoice to HHSC Accounts Receivable.
If no invoice was included with the payment, staff prints the invoice from the operation’s Invoice & Payment Summary page in CLASS and sends the payment and invoice to HHSC Accounts Receivable. If Licensing staff is unable to locate the invoice on the operation’s Invoice & Payment Summary page, staff sends the payment to HHSC Accounts Receivable with the operation name, operation number, and as much other identifying information as possible.
Licensing staff informs the applicant or operation how to submit future payments.
5222.11 Reconciling a Payment Received by a Licensing Office
By the fifth day of each month, a designated Licensing staff in each district must reconcile the payments entered on the Payments Sent to ARTS tracking log by completing a CLASS review and updating the log.
5230 Fee Invoices
A unique invoice number is assigned to each fee the operation must pay. The invoice and all payment events related to the invoice are displayed on the Invoice & Payment Summary page in CLASS. Depending on the fee type, an invoice may be automatically generated by CLASS or generated by Licensing staff as further described in this section.
5231 Application Fee Invoice
The applicant must pay an application fee before Licensing staff can accept an application for a permit, unless the applicant is exempt from paying the application fee.
If the application is withdrawn or the permit is not issued, the application fee is not refunded. If the applicant reapplies within 30 days after withdrawing the applicant’s original application, the applicant does not have to pay a new application fee.
CLASS automatically generates an Application Fee Invoice when:
An applicant submits an e-Application; or
Licensing enters the application in CLASS and saves the operation’s Main page for the first time.
Texas Human Resources Code §§42.054; 42.153(c); 42.159(e)
26 TAC §§745.401; 745.503; 745.505; 745.507; 745.509; 745.519; 745.521
5270 Fee Refund Guidelines
5232 Initial Permit Fee Invoice
Before Licensing issues an initial license to an applicant for a license, the applicant must pay the initial license fee, unless the applicant is exempt from paying permit fees.
If the operation withdraws the application after paying the initial license fee and an initial license is not issued, the initial license fee may be refunded.
Licensing staff creates and sends the Initial Permit Fee Invoice to the applicant after:
notifying the applicant of the results of the application inspection via CLASS Form 2936; and
determining the applicant has met the criteria to receive an initial license.
Licensing staff create and send the Initial Permit Fee Invoice by taking the following steps on the Invoice & Payment Summary page in CLASS:
select Add Fee Invoice button;
select Initial Permit Fee Invoice from the Add Fee Invoice drop-down menu;
select Yes to confirm the action; and
send the invoice to the applicant.
26 TAC §§745.503; 745.509; 745.519
5233 Initial Permit Renewal Fee Invoice
The operation must pay an initial license renewal fee if Licensing staff determine that the initial license must be renewed, unless the operation is exempt from paying permit fees.
Licensing staff create and send the Initial Permit Renewal Fee Invoice upon determining that the initial license must be renewed.
Licensing staff create and send the Initial Permit Renewal Fee Invoice by taking the following steps on the Invoice & Payment Summary page in CLASS:
send the invoice to the operation.
5234 Full Permit Fee Invoice
Before Licensing issues a full license, the operation must pay the fee for the full license, unless the operation is exempt from paying permit fees.
If the operation fails to pay the fee before the initial or renewed initial license expires, Licensing staff denies issuance of the full license.
Licensing staff create and send the Full Permit Fee Invoice after:
conducting all required inspections during the initial period; and
determining that the operation meets, or will meet, requirements for issuance of the full license.
Before issuing the full permit to the operation, Licensing staff create and send the Full Permit Fee Invoice by taking the following steps on the Invoice & Payment Summary page in CLASS:
select Full Permit Fee Invoice from the Add Fee Invoice drop-down menu;
If the operation has an initial or renewed initial license, the operation must pay for the full license before the initial or renewed initial license expires.
An operation must pay an annual fee by the anniversary date of the full permit issuance, unless the operation is exempt from paying the annual fee.
CLASS automatically generates the Annual Permit Fee Invoice 35 days prior to the anniversary of the issuance of the operation’s full permit.
If CLASS generates the Annual Permit Fee Invoice for an operation that is exempt from paying the annual fee, Licensing staff:
indicate on the operation’s Main page in CLASS that the operation is exempt from fees; and
cancel the Annual Permit Fee Invoice with the reason Operation is Exempt on the operation’s Invoice and Payment Summary page in CLASS.
26 TAC §§745.503; 745.505; 745.507; 745.509; 745.515
5236 Capacity Increase Fee Invoice (also Known as Amendment Fee)
If a licensed operation with a full permit submits a request to increase the operation’s capacity, the inspector follows the policies in 3811 When and How to Evaluate a Change that Poses a Risk to Children before approving or rejecting the request.
If the permit holder pays for the capacity increase but Licensing does not approve the capacity increase, Licensing refunds the payment.
CLASS automatically generates the Capacity Fee Invoice when Licensing staff approves the operation’s request to increase capacity in CLASS.
In the event that an operation changes or withdraws its request to increase capacity, Licensing staff do not cancel the Capacity Fee Invoice. Licensing staff follows 3823.15 Processing an Operation’s Withdrawal to Increase Capacity. CLASS automatically cancels the Capacity Fee Invoice.
The fee is not prorated. If a license is amended to reduce capacity, the permit holder does not receive a refund for the permit holder’s last annual fee payment. The reduction is reflected in the next annual fee payment.
26 TAC §§745.509(10); 745.519
5237 Background Check Fee Invoice
An applicant or permit holder incurs a background check fee every time a background check is submitted for an individual, unless the operation is exempt from paying background check fees.
CLASS automatically generates the Background Check Fee Invoice on a quarterly basis.
26 TAC §§745.503; 745.505; 745.507; 745.509; 745.521
Licensing staff must verify that an operation has fully paid all required fee invoices throughout the application, monitoring and permit renewal processes.
26 TAC §§745.477; 745.505; 745.507; 745.509; 745.521
5241 Invoice Status and Actions Taken
Each invoice has an Invoice Status, which changes when additional invoice events occur.
The chart below lists each possible Invoice Status that could be displayed on the Invoice & Payment Summary page in CLASS and any subsequent action that occurs.
Not Paid The status when an invoice is first created. Displays until a payment is made or the invoice is canceled.
Licensing may not accept an application, issue or amend a permit, or renew a permit, as applicable; or
Licensing staff takes further actions to verify whether the payment was made. as outlined in 5243 Additional Steps to Verify Fee Payments.
Paid in Full The status when the operation submits a payment for the full amount of the invoice. No further action.
Partially Paid The status when an operation submits a payment that is less than the full amount of the invoice. If the operation has a contact email address, CLASS generates and sends an invoice with an updated balance. If the operation does not have a contact email address, Licensing staff prints the updated invoice and mails it to the operation.
Overpaid The status when an operation submits a payment that is greater than the full amount of the invoice. Licensing staff initiate a refund, as outlined in 5270 Fee Refund Guidelines.
Cancelled The status when Licensing staff cancels an invoice. No further action.
5243 Additional Steps to Verify Fee Payments
5260 Cancelling Invoices
5242 How to Verify the Fee Invoice Status
Licensing staff determines the status of an invoice by locating the particular invoice on the Invoice & Payment Summary page in CLASS. Staff then identifies whether the invoice has been paid by assessing the information in the Invoice Status column.
Licensing staff takes additional steps to verify a payment when:
the Invoice Status is Not Paid or Partially Paid; and
the applicant or operation presents evidence, including the date and amount of the payment, that the operation submitted a payment.
5243.1 Linking an Unlinked Payment to an Invoice
The first step Licensing staff takes to verify a payment is to review the Unlinked Payments section on the operation’s Invoice & Payment Summary page in CLASS. Payments listed in the Unlinked Payments section have been linked to the operation, but are not associated with an invoice.
Licensing staff may contact the operation to verify which invoice the unlinked payment should be applied to. Licensing staff links the payment to the invoice by taking the following actions in the Unlinked Payments section on the operation’s Invoice & Payment Summary page in CLASS:
finds the row with the Payment Received event for the payment to be linked;
selects the ‘link’ icon in the Action column;
selects one or more invoices to apply the payment; and
enters the amount to be applied to each invoice (the total amount applied must equal the payment amount).
5243.2 Linking a Payment to an Operation
If the operation does not have any unlinked payments on the operation’s Invoice & Payment Summary page in CLASS that match the date and amount of the operation's payment, Licensing staff conducts a search for the payment through the Payment Verification page in CLASS (located in CLASS Tools). Payments on the Payment Verification page in CLASS have not been associated with an operation or an invoice.
Licensing staff accesses the Payment Verification page in CLASS and conducts a search for the payment. If Licensing staff identifies the payment through the search, staff:
searches for the operation;
attaches the payment to the operation by selecting the check box next to the payment and saving the page;
confirms that the payment has been moved to the Unlinked Payments section of the selected operation by using the Invoice & Payment Summary link at the top of the page; and
links the payment to the correct invoice by following the procedures outlined in 5243.1 Linking an Unlinked Payment to an Invoice.
5243.3 Linking a Payment to a Different Invoice
The Update/Query Payments page in CLASS allows staff to take actions on payments that have already been linked to an operation or an invoice. Staff may unlink a payment from an invoice by linking it to a new operation or by linking it to the same operation. Either option results in the payment being displayed in the Unlinked Payments table of the selected operation.
If Licensing staff determines that the operation’s payment was linked to the incorrect operation or an incorrect invoice, staff takes the following steps on the Update/Query Payment page (located under CLASS Tools) in CLASS:
searches for the payment in CLASS;
selects the check box next to the payment and saves the page;
5250 Handling Changes to Payments
A correction to a payment occurs when the Accounts Receivable Tracking System (ARTS) makes a change to how ARTS originally processed a manual payment. A correction can occur for the following reasons:
payment returned as non-sufficient funds (NSF);
the whole or a portion of the payment is refunded;
the payment is split between invoices; or
other errors in the original data entry.
5251 Payment Returned as Non-Sufficient Funds (NSF)
A Non-Sufficient Funds (NSF) event occurs when a fee payment is declined due to the account not having enough funds to cover the payment. When an NSF event occurs, CLASS updates the Invoice Status and adds a Non-Sufficient Funds event for the applicable invoice. Licensing staff follow up with the operation when staff:
receives notice that an NSF for an annual fee payment has posted in CLASS; or
observes during an initial or monitoring inspection or while reviewing the operation’s permit renewal application that an NSF for any other fee payment has posted in CLASS.
If the operation has a contact email address in CLASS, CLASS automatically resends the invoice with the updated balance after an NSF is posted in CLASS. Licensing staff follow up with the operation by phone, email, or inspection to ensure payment and take any required action.
Unlinked Non-Sufficient Funds
If Licensing staff observe a payment with an associated NSF payment event in the Unlinked Payments section of the Invoice and Payment Summary page or on the Payment Verification page in CLASS, staff refer to the Linking Payment Changes to an Invoice document located on the CCL SharePoint site for instructions on linking payments and NSF events to an invoice.
5252 Payment Refunded
Licensing staff initiate a refund when:
an applicant or operation overpays a fee invoice (Invoice Status is Overpaid); or
when the operation requests a refund and Licensing staff determine the operation is eligible for a refund.
26 TAC §745.519
If the correct invoice number is submitted with the refund request, CLASS adds a Refund Issued event for the applicable invoice on the Invoice and Payment Summary page after ARTS processes the refund.
If Licensing staff observe a payment with an associated refunded payment event in the Unlinked Payments section of the Invoice and Payment Summary page or on the Payment Verification page in CLASS, staff refer to the Linking NSFs, Refunds, and Payment Reversals/Corrections to an Invoice document located on the CCL SharePoint site for instructions on linking payments and refunds to an invoice.
5253 Payment Corrected
When the Accounts Receivable Tracking System (ARTS) processes a reversal and correction for a fee payment previously posted in CLASS, CLASS updates the Invoice Status and adds a Reversal and Correction event for the applicable invoice. A Reversal and Correction may occur when ARTS:
Moves a payment to a different invoice or operation;
Splits a payment originally linked to one invoice to multiple invoices; or
Makes corrections to other details associated with the payment.
Unlinked Reversals and Corrections
If Licensing staff observe a payment with an associated Reversal or Correction event in the Unlinked Payments section of the Invoice and Payment Summary page in CLASS, staff refer to the Linking NSFs, Refunds, and Payment Reversals/Corrections to an Invoice document located on the CCL SharePoint site for instructions on linking payments and associated reversals and corrections to an invoice.
Licensing staff may cancel certain fee invoices if the invoice was created in error, including when an invoice is created for a fee that the operation is exempt from paying.
Licensing staff locates the invoice to be cancelled on the Operation’s Invoice & Payment Summary page in CLASS. Licensing staff then:
selects the Cancel icon in the Action column;
selects the reason for the cancellation; and
selects Yes to confirm the cancellation.
See Appendix 5000-3 Invoice Cancellation Reasons
Application fee Nonrefundable fee
Initial license fee Refunded if the application is withdrawn or the initial license is not issued
Full license fee Refunded if the initial license expires with no full license being issued
Within 30 calendar days of determining the refund is due, Licensing staff completes the HHSC Refund Request Form to process a refund, as outlined in the CCL Job Aid: How to Complete the ARTS Refund Request document located on the CCL SharePoint site.