CCL Enforcement Actions

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CCL Enforcement Actions

Child Care Licensing may recommend or take an enforcement action on a child care operation to help that operation come into compliance with state laws, rules and minimum standards while reducing risk to children in child care settings.

Types of Enforcement Actions

  • Voluntary Actions (Plan of Action)
  • Corrective Actions (Evaluation, Probation)
  • Adverse Actions (Adverse Amendment, Denial, Revocation, Involuntary or Emergency Suspension)
  • Judicial Actions
  • Monetary Actions (Administrative Penalties)

Enforcement actions are not progressive in nature. CCL may recommend or impose any action if the risk to children at the operation warrants the recommended/imposed action.

Common Factors We Consider

Child Care Licensing takes into account several factors which influence risk when recommending or imposing enforcement actions. The factors below are the most common, but other factors may be considered based on the specific case or circumstances.

Governing Body and Staffing

  • Level of involvement the governing body has in the operation
  • Ability to identify operation needs
  • Knowledge behind intent of standards
  • Knowledge of the operation’s policy and procedures
  • Other history as a permit holder, governing body member, or a controlling person

Compliance History

  • Scope and severity of deficiencies
  • Patterns of deficiencies
  • Repetition of deficiencies
  • Investigation history
  • Responsiveness to deficiencies
  • Previous enforcement actions

Nature of the Risk

  • Isolated serious incident caused or may have caused injury or death
  • Systemic issues at the operation negatively impact the health and safety of children in care and caused or may have caused injury or death

Impact that Other Factors Have on Risk

  • Operation capacity
  • Type of permit
  • Type of services provided
  • Number of children impacted by enforcement action
  • Impact to the community
  • Involvement from other governmental agencies

How We Determine What Type of Action to Recommend

Once CCL has assessed the risk factors outlined above, a specific enforcement action is recommended or imposed according to the table below.

Recommended Action

Recommended Action
Enforcement Action What is the capability of the governing body or permit holder? Limitation on Using This Enforcement Action? Can risk be mitigated while the operation continues to operate?
Plan of Action

The governing body or permit holder has demonstrated all of the following:

  • the ability to identify risk;
  • accepts responsibility for correcting deficiencies;
  • willingness to comply; and
  • a history of maintaining corrections for ongoing compliance.
 Yes. Licensing may only offer a Plan of Action as an enforcement action if the operation does not have history of a POA within the previous 12 months for similar deficiencies. Yes, by following the agreed upon plan to improve compliance.
Evaluation

The governing body or permit holder has demonstrated one of the following:

  • the ability to identify risk but refuses to participate in a plan of action at this time; or
  • has been unable to maintain compliance with minimum standards associated with a current POA; or
  • the ability to identify risk but is unable to participate in a POA because the operation was on a POA for similar deficiencies in the previous 12 months.

Yes.Licensing may only impose Evaluation if there is no history of Evaluation within the previous 12 months for similar deficiencies.

 Yes, by following conditions Licensing has imposed.
Probation

The governing body or permit holder has repeatedly demonstrated the inability to:

  • identify risk; and/or
  • make the necessary changes to address underlying issues to reduce risk.

In addition, the governing body or permit holder is willing and able to make necessary corrections, with intervention from Licensing.

 No.The operation may or may not have had previous enforcement actions. Yes, by following conditions Licensing has imposed.
Adverse Amendment The governing body or permit holder is willing and able to abide by restrictions and conditions placed on the permit. No.The operation may or may not have had previous enforcement actions. Yes, if the operation abides by the restrictions or conditions placed on the permit.
Denial and Revocation The governing body or permit holder has repeatedly demonstrated the inability to:
  • identify risk; and/or
  • make the necessary changes to address underlying issues to reduce risk.
 No. The operation may or may not have had previous enforcement actions. No.Children will be at risk of harm if the operation is allowed to operate or continue to operate.

When We Can Impose a Monetary Penalty

Licensing may impose a monetary penalty (administrative penalty) before imposing corrective action if the operation is out of compliance with background check requirements or if the operation has violated one of the following statutes or high risk minimum standards.

Monetary Penalties

Monetary Penalties
Rule Category Rule Number Short Description

Human Resource Code

42.048(b)

Restrictions on the permit (Age Range, Type of Children)

Human Resource Code

42.052(c)

Listed Capacity

Before or After School or School-Age Programs

744.201 (11)

Licensed Capacity

Before or After School or School-Age Programs

744.3805(4)

Safety precautions for loading and unloading children - no child unattended.

Licensed Child Care Center

746.201 (11)

Licensed Capacity

Licensed Child Care Center

746.2415(b)

Cribs - only snug fitting sheet and crib mattress cover allowed if infant younger than 12 months of age

Licensed Child Care Center

746.2427

Infants sleep on backs

Licensed Child Care Center

746.5605(4)

Safety precautions for loading and unloading children - no child unattended

Licensed and Registered Child Care Homes

747.207(9)

Licensed/Registered Capacity

Licensed and Registered Child Care Homes

747.2315(b)

Cribs - only snug fitting sheet and crib mattress cover allowed if infant younger than 12 months of age.

Licensed and Registered Child Care Homes

747.2327

Infants sleep on backs

Licensed and Registered Child Care Homes

747.5405(4)

Safety precautions for loading and unloading children - no child unattended

General Residential Operations

748.155(a)

Licensed Capacity

General Residential Operations

748.1757(b)

Prohibited equipment for infants-cribs - only snug fitting sheet and crib mattress cover allowed if infant younger than 12 months of age.

General Residential Operations

748.1763(a)

Infants sleep on backs

General Residential Operations

748.2003(b)(3)

Administration of medication-administer medications according to label instructions or a prescribing health-care professional's subsequent orders.

General Residential Operations

748.4011(3)

Safety precautions for loading and unloading children - no child unattended.

Child-Placing Agencies

749.2557(a)

Licensed Capacity

Child-Placing Agencies

749.1463(b)(3)

Administration of medication-administer medications according to label instructions or a prescribing health-care professional's subsequent orders.

Child-Placing Agencies

749.1813(b)

Prohibited equip for infants-Cribs - only snug fitting sheet and crib mattress cover allowed if infant younger than 12 months of age.

Child-Placing Agencies

749.1815(a)

Infant sleep requirements-must place an infant not able to turn over in face-up sleeping position unless health-care professional orders otherwise.

Independent Foster Homes

750.701 - corresponds to 749.1463(b)(3)

Administration of medication- administer medications according to label instructions or a prescribing health-care professional's subsequent orders.

Independent Foster Homes

750.801 - corresponds to 749.1813(b)

Infant requirements-a foster home may not use soft bedding in a crib for an infant younger than 12 months of age.

Independent Foster Homes

750.801 - corresponds to 749.1815(a)

Infants sleep on backs.

Independent Foster Homes

750.1001 – corresponds to 749.2557(a)

Licensed Capacity