Section 0520-12-01-.16 - CIVIL PENALTIES(1) Pursuant to T.C.A. § 49-1-1107(c)(2) the following are the minimum and maximum civil penalties that may be assessed against a child care program authorized pursuant to T.C.A. § 49-1-1101, et seq.(2) The department shall assess the civil penalty in an order which states the reasons for the assessment of the civil penalty, the factors used to determine its assessment and the amount of the penalty. The order may not be imposed solely upon the recommendation of an agent of the department. All orders shall be reviewed by the department's legal staff before being imposed.(3) Prior to the department's assessment of a civil penalty, a program determined by an agent of the department to be in violation of these rules may be prescribed a plan of corrective action. Failure to follow a plan of corrective action as prescribed by the department may result in the assessment of a civil penalty.(4) Definitions. (a) "Negligence" is the failure of a child care program, owner, staff, auxiliary staff, director or other employees to comply with the duties or standards imposed by these rules, federal, state and local laws, or the standards of care generally required of school-administered child care programs.(b) "Intentional disregard" is the knowing forbearance of a child care program, owner, staff, auxiliary staff, director or other employees to comply with the duties or standards imposed by these rules, federal, state and local laws, or the standards of care generally required of school-administered child care programs.(c) "Plan of corrective action" is a plan which provides a schedule for the completion of work to bring a program into compliance with these rules, federal, state and local laws, or the standards of care required of school-administered child care programs. The plan must include specific strategies to be implemented in program design during the completion of the work. The plan must ensure that children will not be placed in danger due to the program area which is not in compliance and it must ensure that children will not be placed in danger by the work being done to bring the area into compliance.(5) Civil Penalties Schedule. (a) Major Violations. 1. For any violation of a law or regulation that, due to negligence or intentional disregard of a law or regulation, results in serious injury to, or death of, a child, the Department may assess a civil penalty in a range from seven hundred fifty dollars ($750.00) up to one thousand dollars ($1,000.00).The Department shall determine the amount of the penalty based upon the extent of the injury to the child and whether the injury or death of the child was the result of negligence or intentional disregard of the law or regulation. Consideration of the program's history of prior violations shall also be a factor in the determination of the amount of the civil penalty.2. For any violation of a law or regulation that, due to negligence or intentional disregard of a law or regulation, results in an injury to a child, the Department may assess a civil penalty in a range from three hundred dollars ($300.00) up to five hundred dollars ($500.00).The Department shall determine the amount of the penalty based upon the extent of the injury and whether the injury to the child was the result of negligence or intentional disregard of the regulation. Consideration of the program's history of prior violations shall also be a factor in the determination of the amount of the civil penalty.3. For violations of the following categories of regulations the Department may impose a civil penalty of two hundred dollars ($200.00) for the first violation, three hundred dollars ($300.00) for the second violation, and four hundred dollars ($400.00) for the third and any subsequent such violation: (i) Failure to follow any regulation related to organization, ownership and administration of a program pursuant to these rules;(ii) Failure to follow any regulation related to health and safety pursuant to these rules;(iii) Failure to follow any regulation related to food, nutritional needs and meal service pursuant to these rules;(iv) Failure to follow any regulation related to maintenance of equipment pursuant to these rules;(v) Failure to follow any regulation related to maintenance of physical facilities pursuant to these rules;(vi) Failure to follow any regulation related to adult: child ratios pursuant to these rules;(vii) Failure to follow any regulation related to supervision of children pursuant to these rules;(viii) Failure to follow any regulation related to dispensing or storing medications pursuant these rules;(ix) Failure to follow any regulation related to care of children with special needs pursuant to these rules;(x) Failure to follow any regulation related to program staff pursuant to these rules;(xi) Failure to properly store hazardous items such as, but not limited to, cleaning products, pesticides, hazardous chemicals, or other poisonous items pursuant to these rules;(xii) Failure to properly remove or secure firearms within the physical facility and under the ownership or control of the program, or its staff or other persons permitted access to the children, or failure to prevent exposure of children in the program's care to firearms which are under the control of the program, or its staff, or other persons who have been permitted by the program to have access to the children pursuant to these rules; or(xiii) Failure to follow or failure to complete a plan of corrective action.(b) Minor Violations. 1. A minor violation shall be any violation of a law or regulation not described as a major violation in part (a).2. Each minor violation may require the program to complete a corrective action plan and may subject the program to a civil penalty of fifty dollars ($50.00).3. The existence of six (6) or more minor violations of any type in any period of twelve (12) months shall constitute a major violation and may be subject to a civil penalty imposed by the Department of two hundred dollars ($200.00) in addition to the penalty for each minor violation. Three (3) or more minor violations of the same regulation in any period of twelve (12) months shall constitute a major violation and may be subject to a civil penalty imposed by the Department of two hundred dollars ($200.00) in addition to the penalty for each minor violation.(6) Upon timely notice of a request for an appeal pursuant to T.C.A. § 49-1-1107(c)(5), the Department shall appoint a hearing officer to conduct the appeal proceedings before the council. The hearing officer shall have the authority of an Administrative Law Judge of the Department of State and shall conduct the appeal process pursuant to the rules of procedure for hearing contested cases as provided by the Tennessee Secretary of State.Tenn. Comp. R. & Regs. 0520-12-01-.16
Original rule filed March 15, 2010; effective August 29, 2010. Amendments filed November 2, 2017; effective 2/1/2018.Authority: T.C.A. §§ 49-1-302 and 49-1-1107(c)(2).