Responsibility to Report Licensing Violation

This Management Bulletin provides guidance from the United States Department of Agriculture (USDA) on the responsibilities of the State and sponsors to report day care provider licensing violations to the appropriate licensing authority. The California Department of Social Services strongly recommends that sponsors report licensing violations to the appropriate licensing authority; however, we are not establishing a reporting requirement at this time.

Please share the attached information with your monitoring staff.

Attachment

USDA APB CACFP 03-09

United States Department of Agriculture

Food and Nutrition Service
3101 Park Center Drive
Alexandria, VA 22302-1500

Date: May 29, 2003

Memo Code: APB CACFP 03-09

Subject: Responsibility to Report Licensing Violation

To: All Western Region State Child Nutrition Programs Directors

This replaces APB: CACFP-96-21, “Licensing Violations,” issued May 9, 1996, and clarifies State and sponsor responsibilities for reporting licensing violations, including exceeding the authorized license capacity.

The CACFP regulation at 7 CFR 226.6(o) requires that “If, during an administrative review …, the State agency observes violations of applicable health, safety, or staff-child ratio standards, or attendance in excess of licensed capacity, the State agency shall promptly refer such violations to the appropriate authority.” When the state agency reviewer observes licensing violations, the state agency is responsible to report the violation immediately to the licensing authorities.

Federal regulations do not require sponsors to report licensing violations.  However, we strongly recommend states establish a policy requiring sponsors to report licensing violations.  To ensure the welfare of children participating in CACFP, the sponsor and/or state agency should take immediate steps to bring the child care provider into compliance and notify the licensing authority. 7 CFR 226.6(o) requires that “if the health or safety of the children is imminently threatened, the State agency may immediately terminate participation of the institution or facility,” and notify the appropriate authority. Whether or not a state requires it, we urge sponsor monitors to notify the appropriate authority if they observe these kinds of violations.

Regarding the licensed capacity of a child care provider, 7 CFR 226.18(e)(3) states: "Reimbursement may not be claimed for meals served ... at any one time to children in excess of the home's authorized capacity....” In situations where providers are operating on a shift basis (one set of children in the morning, a different set in the afternoon), we recommend the sponsor use of time in/time out records to ensure no child receives more than two meals and a supplement per day, and to document the licensed capacity is never being exceeded at any one time.

Janet Allen

JANET ALLEN, Director
Special Nutrition Programs
Western Region

Questions: CACFPinfo@dss.ca.gov

This institution is an equal opportunity provider.
Esta institución es un proveedor que ofrece igualdad de oportunidades.