(1)
Enforcement and Adverse Actions. Under Georgia law, the
Department, after considering the seriousness of the violation(s), including
but not limited to the circumstances, extent and gravity of the prohibited
act(s), the severity of the rule violation, the duration of non-compliance, the
License Holder's prior Licensure or history, the voluntary reporting of the
violation(s) for which an Adverse Action is being imposed and the hazard(s) or
potential hazard(s) to the health or safety of the public, may take any of the
following actions when a Center, Permit Applicant or License Applicant violates
any of the rules for Child Care Learning Centers:
(a) Refuse to grant a License or Permit;
(b) Administer a public
reprimand;
(c) Suspend any License
or Permit;
(d) Prohibit any License
Applicant, License Holder, Permit Applicant or Permit Holder from allowing a
person who previously was involved in the management or control of any program
which has had its License or Permit revoked or denied within the past 12 months
to be involved in the management or control of such program;
(e) Revoke any License or Permit;
(f) Impose a fine, not to exceed a total of
$25,000, of up to $500 per day for each violation of the law, rule, regulation
or formal order related to the initial or ongoing licensing requirement of any
program. If any violation is a continuing one, each day of such violation will
constitute a separate violation for the purpose of computing the applicable
enforcement fine;
(g) Impose a late
fee of up to $250 for failure of a program to pay the annual License fee within
30 days of the due date;
(h) Limit
or restrict any License or Permit, including but not limited to, restricting
some or all services of or admissions, into a Center;
(i) Seek an injunction against an early care
and education program operating without a License or Permit or in willful
violation of these rules;
(j) Make
application for an inspection warrant to a court of competent jurisdiction to
gain entry into a Center that is believed to be subject to licensure;
(k) Order the emergency placement of a
monitor or monitors in a Center at the expense of the Center; and
(l) Order the emergency closure of a
Center.
(2)
Adverse
Actions Subject to the Compliance and Enforcement Chart. In the majority
of cases when a rule violation is found, the Department will determine the
appropriate action in accordance with the Compliance and Enforcement Chart
below. A Center will receive points based on the frequency and severity of
citations and will land in the corresponding box. Accordingly, Prevention,
Intermediate or Closure Actions will be imposed as outlined in the Enforcement
Categories, Levels and Action chart below. The Department will consider
mitigating and aggravating factors to determine which action is appropriate and
will have sole discretion in making this determination. The guidelines for
determining the Violation History Level and Violation Class shall be posted on
the Department website and updated as needed. Note that if a rule violation is
not found, the chart will not be applied, and no citations will be issued.
COMPLIANCE AND ENFORCEMENT CHART
V
I
O
L
A
T
I
O
N
C
L
A
S
S
|
Incident results in or could
result in:
|
VIOLATION HISTORY
LEVEL
|
I
0 Points
|
II
1-3 Points
|
III
4-9 Points
|
IV
10 + Points
|
D
Extreme Harm or Risk of Harm
Imminent Danger
|
I3-C
D
D
|
C
High Harm or Risk of
Harm
|
I1-I2
CI
GS
|
I1-I3
CII
S
|
I2-C
CIII
D
|
I3-C
CIV
D
|
B
Medium Harm or Risk of
Harm
|
N/A
|
P2-P3
BII
GS
|
I1-I2
BIII
S
|
I2-C
BIV
D
|
A
Low Harm or Risk of
Harm
|
P1-P2
AI
GS
|
P1-P3
AII
GS
|
P2-P3
AIII
GS
|
I1-I2
AIV
S
|
ENFORCEMENT CATEGORIES, LEVELS
AND ACTIONS
|
PREVENTION ACTION CATEGORY
(P)
|
INTERMEDIATE ACTION CATEGORY
(I)
(Includes Citation and
Prevention Actions)
|
CLOSURE ACTION CATEGORY
(C)
(Includes Citation and
Prevention and/or Intermediate Actions)
|
Prevention 1 (P1)
|
Intermediate 1 (I1)
|
Closure (C)
|
Technical Assistance
|
Fine
|
Suspension of License (More than 1 week)
|
Prevention 2 (P2)
|
Intermediate 2 (I2)
|
Revocation of License
|
Citation
|
Per Rule Fine
|
Emergency Closure
|
Prevention 3 (P3)
|
Per Day Fine
|
Formal Notice Letter
|
Intermediate 3 (I3)
|
Office Conference
|
Public Reprimand
|
Fine and Restrictions
|
Restricted License
|
Restricted License & Per Rule/Per Day
Fine
|
Emergency Monitor & Per Rule/Per Day
Fine
|
Short-term Suspension (Less than 1 week)
|
(3)
Adverse Actions Not Subject to the Compliance and Enforcement
Chart. In the event that any of the rule violations described below are
identified, the Department will not apply the Compliance and Enforcement Chart,
but will take Adverse Action as follows:
(a)
The Department shall refuse to issue a License or shall otherwise restrict a
License or Permit for any applicant who has had a License denied, suspended or
revoked within one year of the date of the application.
(b) The Department shall refuse to issue a
License or shall otherwise restrict a License for any applicant, alter ego or
agent of the applicant who has transferred ownership or governing authority of
a program when such transfer was made in order to avert payment of an
enforcement fine, denial, revocation or suspension of such License.
(c) The Department shall refuse to issue a
License upon a showing of non-compliance with rules and regulations, flagrant
and continued operation of an unlicensed facility, or failure to pay the
License fee.
(d) The Department
shall refuse to issue a License or Permit if the applicant or the operation or
management of a Center knowingly or intentionally makes or causes another to
make any false statement of material information in connection with the
application for a License or Permit, or in statements made, or on documents
submitted to the Department as part of an inspection, survey, or investigation,
or in the alteration or falsification of records maintained by the early care
and education program.
(e) The
Department shall refuse to issue a License or Permit if the applicant or Center
fails to provide the Department with information pertinent to an investigation,
or the initial or continued licensing of a program within the time specified by
the formal notice provided by the Department.
(f) The Department shall refuse to issue a
License or Permit if a Center repeatedly fails or refuses to allow the
Department access to the Center for the purpose of determining whether the
Center is in compliance with these rules.
(g) The Department shall refuse to issue a
License or Permit if a Center knows or should reasonably know that any actual
or potential Director, Employee (including Independent Contractors,
Students-in-Training, and Volunteers) or Provisional Employee has a Criminal
Record, an unsatisfactory Fingerprint Records Check Determination or an
unsatisfactory Comprehensive Records Check Determination and allows such
individual to either reside at the Center or be present at the Center while any
Child is present for care.
(h) The
Department may revoke a License or Permit if a Center displays a multi-year
pattern of failure to correct a Correctable Abuse, Dereliction or Deficiency in
the operation or management of a Center within a reasonable time after having
received notice from the Department.
(i) The Department shall revoke a License or
Permit if a Non-correctable Abuse, Dereliction or Deficiency exists in the
operation or management of the Center.
(j) The Department shall revoke a License if
a Center fails to pay the annual License fee within a reasonable time after the
Department provides formal notice of such fee.
(k) The Department shall revoke a License or
Permit if a Center knows or should reasonably know that any actual or potential
Director, Employee (including Independent Contractors, Students-in-Training,
and Volunteers) or Provisional Employee has a Criminal Record, an
unsatisfactory Fingerprint Records Check Determination or an unsatisfactory
Comprehensive Records Check Determination and allows such individual to either
reside at the Center or be present at the Center while any Child is present for
care.
(l) The Department shall
revoke a License or Permit if a Center knowingly or intentionally violates
other provisions relating to Criminal Records or Comprehensive Background
Checks.
(m) The Department shall
revoke a License if a Center fails to pay an enforcement fine within the time
specified by the formal notice provided by the Department.
(n) The Department shall revoke a License or
Permit if the operation or management of a Center knowingly or intentionally
makes or causes another to make any false statement of material information in
connection with the application for a License or Permit, or in statements made,
or on documents submitted to the Department as part of an inspection, survey,
or investigation, or in the alteration or falsification of records maintained
by the early care and education program.
(o) The Department shall revoke a License or
Permit if a Center fails to provide the Department with information pertinent
to an investigation, or the initial or continued licensing of a program within
the time specified by the formal notice provided by the Department.
(p) The Department shall revoke a License or
Permit if a Center repeatedly fails or refuses to allow the Department access
to the Center for the purpose of determining whether the Center is in
compliance with these rules.
(4)
Rights and Responsibilities of a
License Holder or Permit Holder
(a) A
License Holder or Permit Holder has the right to submit a written statement
within ten (10) days of the receipt of notice of the Departmental intent to
impose an Adverse Action as to why the Department should not take the Adverse
Action. If the licensee submits a written statement, it will be placed in the
facility's state file.
(b) The
imposition of any Enforcement Action by the Department shall not preclude the
Department from taking any additional action authorized by law or
regulation.
(c) Right to a Hearing.
The Department's Enforcement Actions shall be preceded by a notice and
opportunity for a hearing and shall constitute a contested case in accordance
with the Georgia Administrative Procedure Act, O.C.G.A. §
50-13-1et seq., except that only thirty (30) days' notice in writing
from the Commissioner's designee shall be required prior to License or Permit
revocation except that the hearing held relating to such action by the
Department may be closed to the public if the hearing officer determines that
an open hearing would be detrimental to the physical or mental health of any
child who will testify at that hearing.
(d) The notice of revocation, suspension or
restriction of a License or Permit becomes effective thirty (30) days from the
day of notice unless the License Holder or Permit Holder requests a hearing. A
request for a hearing must be made in writing within ten (10) days of receipt
of the notice of revocation, suspension or restriction.
(e) Payment of an enforcement fine must be
made within thirty (30) days of receipt of the notice, unless otherwise
specified in writing by the Department.
(f) The notice of the emergency closure of a
Center becomes effective upon delivery of the order, unless otherwise provided
in the order. A request for a hearing must be made in writing within 48 hours,
excluding weekends and holidays, from the receipt of the emergency
order.
(g) When the Department
issues a revocation or emergency order that is based upon health and safety
rule violations, the following actions shall be taken:
1. the Department shall both hand-deliver and
send the formal notice to the Center by certified or registered mail;
2. the Center shall post the formal notice in
an area that is visible to the Parents and others whose children attend the
Center;
3. the Department shall
provide a brief notice of revocation or emergency action to the Center;
and
4. the Center shall distribute
the brief notice to all Parents or persons authorized to pick up children from
care for the Parents.
(h)
When the Department issues a revocation or emergency order that is not based
upon health and safety rule violations, the Department shall either
hand-deliver or send the formal notice or both to the Center by certified or
registered mail.
(i) The Department
may post any notice of any Adverse Action on the Department's
website.
(j) The Department may
share any notice of any Adverse Action and any information pertaining thereto
with any other agencies which may have an interest in the welfare of the
children in care at the Center.
(k)
When the Department has issued a notice of revocation or emergency order
required to be posted in accordance with these rules, the Center shall ensure
that the notice continues to be visible to the Parents and others throughout
the pendency of the revocation or emergency action, including throughout any
appeal period.
(l) When the Center
transports children in care to and from the Center and Parents do not come to
the Center on a regular basis, the Center shall send home copies of the brief
notice of the revocation or emergency action with the children on the day that
it is delivered by Department.
(m)
When the Department has issued a notice of revocation or emergency order
required to be posted in accordance with these rules, the Center shall post any
inspection reports that are prepared by the Department during the pendency of
any revocation or emergency action in an area that is readily visible to the
Parents and others.
(n) A Center
shall not permit the removal or obliteration of any notices of revocation,
emergency action, resolution, or inspection survey report posted on the
premises of the Center during the pendency of any revocation or emergency
action.