Enforcement and Compliance with Regulations

(1) Deficiency Correction Orders. (a) Whenever the Office finds upon inspection or through information in its possession that a program or facility is not in compliance with the regulations, the Office may order the licensee to correct any non-compliances as specified in a deficiency correction order. (b) The deficiency correction order shall include a statement ofobservations and indicate which regulation(s) the licensee has violated. The order may prescribe the method(s) of compliance with the regulations; and, the order shall prescribe the time period(s) for correction, which shall be reasonable, depending on the nature of the non-compliances cited and the time required for corrections. (2) Factors which shall be considered by the Office before imposing any sanction or fine or any action authorized under 102 CMR 1.07(4) include but are not limited to: (a) any non-compliance at the facility or program; (b) the risk the non-compliances present to the health, safety, and welfare of children; (c) the nature, scope, severity, degree, number, and frequency of the non-compliances; (d) the licensee's failure to correct the non-compliances; (e) any previous non-compliances; and (f) any previous enforcement action(s). (3) Sanctions and Fines (a) Whenever the Office finds upon inspection or through information in its possession that a person operating a program or facility is not in compliance withanyOCCS regulations governing such program, the Office may, in a notice of sanction, impose one or more sanctions which may include but need not be limited to: 1. ceasing the enrollment of new children; 2. reducing the number of children a program or component of a program is licensed to serve; 3. hiring of a consultant(s) to provide technical assistance and/or training; 4. hiringof additional staff on a temporary or permanent basis; requiring the licensee to fund a monitor selected by and accountable to the Office; 5. restricting an administrator's and/or staff person's access to children; 6. requiring that an agency withdraw it's approval of an adoptive, foster or shelter home. (b) Fines. The Office may levy a civil fine if it finds that an applicant or licensee has failed to comply with any plan for compliance or deficiency correction order issued by the Office provided that the plan or order included a statement notifying the licensee that failure to comply with all or part of the order may result in a civil fine levied in accordance with any OCCS regulations governing such programs. 1. Fines shall range from $50 to $250 for family day care, group day care, or school age child care programs; $50 to $1000 for any other program regulated by the OCCS. 2. Failure to comply with more than one order issued by the Office may result in the assessment of more than one fine. (4) Probation, Suspension, Revocation, and Refusal to Issue or Renew Licenses and Approvals. (a) Grounds. The Office may make probationary, suspend, refuse to renew, revoke, or refuse to issue a license or approval if it finds any of the following: 1. the applicant or licensee failed to comply with any applicable regulation, or any deficiency correction order, notice of sanction, suspension, agreement or terms of probation; 2. the applicant or licensee failed to pay a fine after either failingto appeal the assessment of a fine within the prescribed time or after a hearing where assessment of a fine was upheld; 3. the applicant or licensee submitted any misleading or false statement or report required under 102 CMR 1.00 through 8.00 et seq.; 4. the applicant or licensee refused to submit any report or make available any records required under 102 CMR 1.00 through 8.00 et seq.; 5. the applicant or licensee refused to admit, at a reasonable time, any employee of the Office authorized by the Commissioner to investigate or inspect, in accordance with 102 CMR 1.00; or 6. the applicant or licensee failed to obtaina license prior to opening a program or facility or prior to changing the location of a program or facility. (b) Effect. 1. Upon revocation, refusalto renew, or suspension the licensee shall immediately return the license or approval to the Office and cease providing services. 2. An applicant or licensee shallnot qualify for a license or approval from the Office for five years after a final agency decision to revoke or refuse to issue or renew a license or approval held by the applicant or licensee pursuant to M.G.L. c. 28A or other similar licensing law. Thereafter, an applicant or licensee shall be eligible only if he/she can demonstrate a significant change in circumstances. 3. The Office may, at its sole discretion, entertain an application for approval or licensure prior to the expiration of five years, if it determines that a significant change in circumstances has occurred. Such exercise of its discretion shall not be appealable. (5) Suspension in An Emergency. (a) The Office may suspend any license or approval without a prior hearing if failure of the licensee to comply with any applicable regulation results inan emergency situation which endangers the life, health, or safety of children or staff present in the program or facility. The licensee shall be notified of anysuch suspension of a license or approval by written notice, hand delivered, or mailed to the licensee via first class mail, certified or registered, return receipt requested, or delivered by courier requiring a signed receipt. If a Notice ofClaimfor a hearingis delivered inhand or mailed to the Office via first class mail, certified or registered, return receipt requested, within five business days of the licensee's receipt of such notice, a hearing shall be held withintenbusiness days ofthe receipt of such Notice of claim. The suspension shall remain in effect pending such a hearing. (b) The sole issue at the hearing shall be whether the Office has reasonable cause to believe that the licensee's failure to comply with any applicable regulation resulted in an emergency situation which endangers the life, health, or safety of children or staff present in the program or facility. If a 51B report indicates that any abuse or neglect occurred in a family day care program or during participation in a family day care program related activity, it shall be prima facie evidence that an emergency exists. (c) The licensee shall notify the parents or guardians of all children enrolled in the program or facility and all funding agencies of any such suspension of a license or approval within two business days of receipt of notice from the Office. (d) Upon suspension, the licensee shall immediately return the license or approval to the Office and cease providing services. (6) Follow-up to Enforcement Action. (a) Upon the expiration of the time frame(s) prescribed in a plan for compliance, deficiency correction order, or notice of sanction, a duly authorized employee of the Office will determine compliance with such plan, order, or notice, by visiting the facility or program, reviewing documents, and/or verifying compliance through whatever other means the Office deems suitable. (b) If a determination of non-compliance with such plan, order, or notice is made, the Office may request an additional plan, issue an additional deficiency correction order or notice of sanction; or, inadditionto anyofthe actions listed above, levy a civil fine pursuant to 102 CMR 1.00; or make probationary, revoke, suspend, refuse to issue, or refuse to renew a license or approval. (c) 102 CMR 1.00 in no way limits the Office's authority to visit any facility or program subject to licensure or approval by the Office to determine compliance with any regulation, nor does 102 CMR 1.00 limit the Office's authority to make probationary, suspend, revoke, or refuse to issue a license or approval. (d) Following revocation, refusal to renew or suspension, a duly authorized employee of the Office will determine compliance by visiting the facility or program, reviewing documents, and/or verifying compliace through whatever other means the Office deems suitable.