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Appendix 7000-1: Factors to Consider for Enforcement Actions

March 2017

Licensing staff may consider enforcement actions when an operation meets any of the criteria outlined in 7110 Circumstances That May Call for Enforcement Action.

When determining what type of enforcement action to take consider the following:

Governing Body and Staffing

  •  Level of Involvement of the governing body has in the operation

  •  Ability to identify operation needs

  •  Knowledge behind intent of standards

  •  Knowledge of operation policy and procedures

  •  Other history as a permit holder, governing body, or a controlling person

Compliance History

  •  Scope and severity of deficiencies

  •  Patterns of deficiencies

  •  Repetition of deficiencies

  •  Investigation history

  •  Responsiveness to deficiencies

  •  Previous enforcement actions

Nature of Risk

  •  Isolated serious incident that may have resulted in injury or death or has resulted in injury or death

  •  Systemic issues at the operation that negatively impact the health and safety of children in care

Other/Extenuating Factors

  •  Operation capacity

  •  Type of permit

  •  Type of services provided

  •  Number of children impacted by enforcement action

  •  Impact to the community

  •  Involvement from the other governmental agencies

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