Child Care Facility Violation Sanctions

The most frequently issued administrative sanctions and penalties include:

• Temporary License Suspension: Halts operations immediately when an imminent threat to child safety is identified, pending mandatory remediation.
• License Revocation: The severest penalty, resulting in the permanent closure of the facility and prohibiting it from operating as a child care provider.
• Fines and Civil Penalties: OCFS assesses significant daily fines (up to $500 per day) for regulatory failures, especially for repeat or critical offenses.
• Corrective Action Plans (CAPs): Detailed, mandatory steps providers must implement to correct violations, verified by subsequent OCFS inspections.
• Individual Disqualification: Personnel involved in substantiated abuse or severe neglect are permanently barred from working in any regulated child care setting.

A facility may face one or multiple sanctions depending on the offense's severity; confirmed child abuse invariably leads to immediate suspension and likely revocation of the operating license.

Reporting a facility is legally warranted if one or more of these serious breaches of safety and welfare standards are observed:

• Unsafe Physical Environments: Includes hazardous conditions like unsanitary kitchens, exposed electrical hazards, blocked emergency exits, or failure to maintain safe supervision areas.
• Inadequate Health and Supervision: Concerns such as serving expired food, persistent neglect of hygiene, failure to isolate sick children, or chronic insufficient supervision placing children at risk.
• Abuse, Maltreatment, or Neglect: Any evidence of corporal punishment, inappropriate restraint, or any action constituting child abuse or severe neglect as defined by law.
• Fraudulent Practices: Engaging in dishonest acts such as falsifying attendance records to receive excess government subsidies or misrepresenting staff training records.
• Unqualified Personnel: Employing staff members who lack mandatory background checks, required certifications, or necessary professional training for their role.

These criteria are strictly enforced by New York statutes to safeguard children and provide clear reporting guidelines for the public.

The standard formal procedure for reporting and investigating a complaint is:

• Submit a Complaint: File a report via the official OCFS portal or call the Statewide Central Register of Child Abuse and Maltreatment (SCR) hotline at 1-800-732-5207.
• Preliminary Review: Intake staff review the complaint to confirm OCFS jurisdiction and assess the plausibility and seriousness of the allegations.
• Investigation Initiated: A formal, on-site investigation is launched, involving unannounced inspections, confidential staff interviews, and review of all required records.
• Determination Issued: OCFS issues a formal finding, which results in administrative sanctions, specific license actions, or a finding of "unsubstantiated," leading to no further regulatory action.

New York law guarantees strict confidentiality for all complainants under Social Services Law §422(4)(A), protecting individuals who report concerns from fear of retaliation.

Evidence must be legally collected, relevant to the specific allegations, and sufficient to corroborate the claim. Acceptable forms of evidence for OCFS consideration include:

• Photos/Videos: Must be date-stamped and clearly document the unsafe condition, injury, or operational deficiency.
• Medical Records: Official physician’s statements or treatment records that medically corroborate claims of physical injury or severe health neglect.
• Written Statements: Detailed, signed, and dated testimony from parents, guardians, or former staff describing the specific alleged violation or incident.
• Facility Documents: Logs, records, meal plans, or certification documents that demonstrate a failure in required compliance.

Unauthorized surveillance (e.g., hidden cameras without consent) may be inadmissible in administrative proceedings and could potentially expose the complainant to legal risks. In complex cases—especially those involving criminal charges or facility retaliation—immediate legal counsel is strongly recommended. Facilities may appeal sanctions via an administrative hearing under the New York State Administrative Procedure Act (SAPA). Legal assistance ensures reporting individuals are protected and all administrative decisions are fully enforced.