Alabama Administrative Code
Title 660 - ALABAMA DEPARTMENT OF HUMAN RESOURCES
Chapter 660-5-26 - DAY CARE LICENSURE - CHILD CARE LICENSING AND PERFORMANCE STANDARDS FOR DAY CARE CENTERS AND NIGHTTIME CENTERS
Section 660-5-26-.10 - Corrective/Adverse Actions
Universal Citation: AL Admin Code R 660-5-26-.10
Current through Register Vol. 42, No. 11, August 30, 2024
Corrective or adverse actions may be imposed by the Department when the licensee fails to meet and maintain standards prescribed by the Department. Corrective and adverse actions may include, but need not be limited to: deficiency reports; corrective action plans; probationary status; restrictions or modifications of the provisions of the license, permit, or approval; suspension of a license, permit, or approval; revocation of a license, permit, or approval.
Written notice of the corrective or adverse action shall be posted at each public entrance of the child care center.
None of these requirements are to be interpreted to allow a center to operate in violation of the standards or out of compliance with the standards.
(1) Types of Corrective Actions
(a) Deficiency Report. If an
inspection, evaluation, or investigation indicates non-compliance with the
standards (deficiency), a deficiency report shall be prepared by the
Department. A deficiency report is prepared in conjunction with or subsequent
to a visit to the center, or after investigation of a substantiated complaint
regarding the center. In any visit to the center in which deficiencies are
observed or noted, the licensing representative shall complete a deficiency
report, and discuss the deficiencies observed or noted with the licensee or
facility representative. A copy of the completed deficiency report shall be
provided to the licensee or facility representative. No deficiency report shall
be completed in conjunction with a pre-licensing visit.
(b) Corrective Action.
1. If an inspection, evaluation, or
investigation indicates continued or repeated non-compliance with the
standards, or if areas of non-compliance indicated previously on a deficiency
report are not corrected, a corrective action plan may be developed to allow
the licensee to achieve compliance with the standards while continuing to care
for children. The corrective action plan shall include: a statement of each
deficiency; a description of how the deficiency shall be corrected; the date by
which corrections shall be completed; and the signature of the Department's
representative and the licensee or facility representative.
2. During the corrective action period, the
licensee shall correct each deficiency (area of noncompliance) and shall report
the corrections to the Department. The length of time the corrective action
plan remains in effect shall be determined based on the nature of the areas of
noncompliance. If the licensee fails or refuses to comply with the standards
and the terms of the corrective action plan, the Department may initiate
adverse action such as probation or revocation of the license, permit, or
approval.
3. Requests for changes
to the provisions of the license such as increases in licensed capacity or
changes in the ages of the children received for care, shall not be granted
during the corrective action period.
(c) Restriction or Modification of the
Provisions of the License, Permit, or Approval. The Department shall have the
right to immediately suspend, limit, or restrict the license, permit, or
approval of a child care center when conditions hazardous to the health and
safety of the children exist, including but not limited to:
1. The right to restrict, limit, or suspend
specific activities provided by the child day care/nighttime center, such as
but not limited to: away-from-the-center activities; transportation of the
children; swimming.
2. The right to
restrict or limit the use of specific areas of the center, such as but not
limited to: outdoor play areas; bathrooms; rooms/activity areas used by the
children.
3. The right to reduce
the licensed/permitted capacity of the center or to amend the ages of children
to be served, due to restricted use of required space or bathroom facilities or
lack of qualified staff to meet required staff-child ratios. (See Rule
660-5-26.04 for required ratios.)
(2) Types of Adverse Actions. If a facility is placed on adverse action, the facility's participation in the State's Quality Rating Improvement System will be revoked. Facilities may resume participation in the Quality Rating Improvement System at the next licensing renewal if the facility is no longer on adverse action.
(a) Probationary Status.
1. If an inspection, evaluation, or
investigation indicates non-compliance with the standards, or if conditions
exist that could pose a hazard to the health and safety of the children in
care, a period of probationary status may be instituted to allow the licensee
to achieve compliance with the standards while continuing to care for children.
At the beginning of the probationary period the licensee shall be provided
with: a statement of each deficiency; a description of how the deficiency shall
be corrected; the date by which corrections shall be completed; and the
signature of the Department's representative and the licensee or facility
representative.
2. During the
probationary period, the licensee shall correct each deficiency (area of
noncompliance) and shall report the corrections to the Department. The length
of the period of probationary status shall be determined based on the nature of
the areas of noncompliance. The maximum period shall be six (6) months. At the
end of the probationary period, the center's license shall be returned to
active status if the center is in compliance with the standards. If the
licensee fails or refuses to comply with the standards during the probationary
period, the Department may initiate revocation of the license, permit, or
approval
3. Requests for changes to
the provisions of the license such as increases in licensed capacity or changes
in the ages of the children received for care, shall not be granted during the
period of probationary status.
(b) Revocation of a License. The Department
may revoke or refuse to renew the license of the child care facility or refuse
to issue a full license to the holder of a six-month permit should the
operator(s):
1. Consistently fail to maintain
standards prescribed and published by the Department;
2. Violate the provisions of the license or
permit issued;
3. Furnish or make
any misleading or any false statements or reports to the Department;
4. Refuse to submit to the Department any
reports or refuse to make available to the Department any records required by
the Department in making investigation of the child care facility for licensing
purposes; provided, however, that the Department shall not revoke or refuse to
renew a license in such case unless it has made written demand on the person,
firm or corporation operating the facility requesting such report or reports
and such person, firm or corporation fails or refuses to submit such records
for a period of ten days;
5. Fail
or refuse to submit to an investigation by the Department;
6. Fail or refuse to admit authorized
representatives of the Department at any reasonable time for the purpose of
investigation;
7. Fail to provide,
maintain, equip and keep in safe and sanitary condition the premises
established or used for child care as required under standards prescribed by
the Department, or as otherwise required by any law, regulation or ordinance
applicable to such facility;
8.
Refuse to display its license or permit; or
9. Fail to maintain financial resources
adequate for the satisfactory care of children served in regard to upkeep of
premises and provisions for personal care, medical services, clothing, learning
experience and other essentials in the proper care, rearing and training of
children.
If the Department makes the decision to revoke or refuse to renew the license, approval or six-month permit, a pre-revocation hearing shall be held. The purpose of the pre-revocation hearing is to provide adequate notice of the intended revocation and provide sufficient opportunity for the licensee/permit or approval holder to show why the action should not be taken.
(c)
Suspension of a License, Permit, or Approval. In accordance with the Code of
Alabama 1975, the Department has the authority to immediately suspend without
notice the license, six-month permit, or approval, if an inspection by the
Department of a licensed, permitted, or approved child care facility discloses
any condition, deficiency, dereliction, or abuse, which is, or could be,
hazardous to the health, safety, or physical, moral, or mental well-being of
the children in the care of the child care facility being inspected. In this
event, the child care facility shall not operate during the pendency of any
proceeding for a fair hearing or judicial review, except under court order. The
suspension may remain in effect for a period of no longer than 120 days and
shall not be renewable. The license, permit, or approval shall not be suspended
for the same or a substantially similar emergency within one calendar year from
its first suspension unless the emergency could not have been reasonably
foreseen during the initial 120 day period that such emergency would continue
or would likely reoccur during the next nine months. When such summary
suspension is ordered, a formal suspension or revocation proceeding shall also
be promptly instituted and acted upon.
(d) Penalty for Unlicensed Facilities.
1. If the Department representative
determines, through investigation, that any person, group of persons, or
corporation is, or has been, operating a child care facility without a license,
six-month permit, or approval, the results of the investigation shall be
reported to the Attorney General and to the appropriate District Attorney for
prosecution. (See Code of Ala. 1975.)
2. Any person, group of persons, association
or corporation who conducts, operates or acts as a child care facility without
a license, or a six-month permit or an approval... is in violation of the
provisions of Title 38, Chapter 7, Code of Ala.
1975... or any person, etc., who violates any other provision of
said Chapter...shall be guilty of a misdemeanor...and shall be fined not less
than $100 nor more than $1000 or be imprisoned in the county jail not longer
than one year or both. (See Code of Ala. 1975, nor
more than $1000 or be imprisoned in the county jail not longer than one year or
both. (See Code of Ala. 1975.)
(e) Refusal to Permit Inspections
1. A person commits the crime of refusing to
permit inspection of property that is owned, possessed or otherwise subject to
his/her control if a public servant is legally authorized to inspect such
property and an attempt is being made to exercise that authority and he/she:
(i) refuses to produce the property for a
reasonable inspection; or
(ii)
refuses to permit a reasonable inspection.
2. For the purposes of this section, "legally
authorized inspection" includes any lawful search, sampling, testing or other
examination of property, in connection with the regulation of the defendant's
business or occupation, that is authorized by law.
3. Refusing to permit inspection is a Class C
misdemeanor (fine of not more than $500.00 or imprisonment in county jail for
not more than three months).
Authors: ShunDria Robinson/Zoe Moore
Statutory Authority: Code of Ala. 1975, as amended (hereinafter referred to as Code), §§ 38-7-1 through 38-7-18, §§ 41-22-19, §§ 38-2-6(10), (12), (13), (15), §§ 26-14-3, §§ 26-14-4.
Disclaimer: These regulations may not be the most recent version. Alabama may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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