Licensed Child Care Sanctions
September 2016
One of the primary functions of the Licensing Division is to monitor and enforce the rules and statutes governing
child care centers (CCCs) and family child care (FCCs). DHS and county licensors issue correction orders when
there are licensing violations found in licensed programs. When there are serious or chronic violations, or
maltreatment occurs, negative actions are issued.
Correction Orders
When licensors find licensing violations in a program, they issue a correction order. A correction order is not a
sanction; rather it is a notification that the licensed program was out of compliance. After receiving a correction
order, the license holder has a specified amount of time to reach compliance or request reconsideration if they
disagree with the determination.
County licensors have delegated authority to issue
correction orders to family child care programs. This
data is not currently shared with DHS. 1
Figure 1: Correction Orders in Child Care Centers
Trends in Correction Orders
Among child care centers, the number of correction
orders issued since 2011 has remained relatively stable.
There were 740 issued in FY 2016, a six year low due to
staff retirements that decreased capacity for reviews.
Negative Actions
In some cases, the nature, severity, or chronicity of licensing violations can warrant action beyond a correction
order. In these situations, DHS may issue a negative action. Negative actions include: fines, conditional licenses,
revocation, or suspension of a license. Negative actions may also be issued when maltreatment allegations are
substantiated. The Licensing Division determines which of these actions is appropriate based on the nature,
severity, and chronicity of the violation(s). In addition, if there is imminent risk of harm, DHS is required to issue
a temporary immediate suspension (TIS) pending the completion of an investigation.
Table 1 shows the total number of negative actions issued in fiscal year 2016. At the end of fiscal year 2016,
there were 9,006 licensed family child care programs and 1,667 licensed child care centers, resulting in a
naturally higher volume of negative actions taken against family child care licenses.
1
By the end of 2016, the Licensing Division will begin piloting a web-based electronic checklist by which DHS and county
licensors will enter correction information into a secure, centralized database. Once the electronic checklist is fully
implemented, the Licensing Division will know the number and types of correction orders issued to family child care
providers.
P.O. Box 64242 * St. Paul, Minnesota * 55164-0242 * An Equal Opportunity and Veteran-Friendly Employer*
http://www.dhs.state.mn.us/licensing
Table 1: Total Number of Negative Actions Issued in FY2016
Fine
Conditional Suspension
TIS
Center
127
27
0
0
Family
110
46
7
86
Revocation
8
90
Denial
1
32
Total
163
371
Trends in Negative Actions
•
•
•
The annual number of negative actions issued since 2011 remained relatively stable (Figure 1).
Fines are the most frequently issued action in both child care centers and family child care, though more
than one action may be issued to a program.
There is a higher percentage of individual child care centers that have received a negative action (8%
over 5 years) than family child care programs (3% over 5 years).
Figure 2: Total Negative Actions Issued
Figure 3: Programs with at Least One Negative Action
Reconsiderations and Appeals
According to Minnesota law, license holders have due
process rights and may request reconsideration of a
correction order (CO) or the issuance of a conditional
license, and they may appeal a sanction. Reconsiderations
and appeals follow different legal processes but allow the
license holder to challenge DHS findings.
Trends in Reconsiderations and Appeals 2
Table 2: Appeals and Reconsiderations in FY2015
Total Appeals of Neg. Actions*
Affirmed
Reversed/Rescinded
Settled
Total Reconsiderations of COs
Affirmed
Reversed/Rescinded
CCCs
20
6 (30%)
1 (5%)
10 (50%)
25
18 (72%)
1 (4%)
FCCs
138
45 (33%)
12 (9%)
24 (17%)
51
34 (67%)
3 (6%)
• In FY 2015, 3% of corrections orders issued to CCCs
*Additional determinations include withdrawn, affirmed in
were appealed through the reconsideration process.
part/reversed in part, dismissed, modified, remanded, or pending.
• 15% of negative actions issued to child care centers
are appealed and just over 30% of negative actions issued to family child care programs are appealed.
• Of child care center appeals, about half were settled and less than 10% were reversed since 2011. Of the
family child care appeals since 2011, 40% were affirmed and 12% were reversed. The remaining appeals
were withdrawn, settled, or dismissed (Figure 4).
2
Data may change due to ongoing appeals.
P.O. Box 64242 * St. Paul, Minnesota * 55164-0242 * An Equal Opportunity and Veteran-Friendly Employer*
http://www.dhs.state.mn.us/licensing
Figure 4: Appeal Outcomes for Family Child Care
Appeal
Outcomes
forfor
Family
Appeal
Outcomes
FamilyChild
ChildCare
Care
200
200
24
2
0
6
26
150
31
150
0
1
5
100 3
24
3
15
50100
58
9
0
2
4
12
24
11
1
0
2
4
14
24
30
85
0
2012
50
0
2012
Pending
19
Total Appeals
TOTAL APPEALS
250250
2013
21
42
49
45
2014
2015
Affirmed
Withdrawn
Settlement
Reversed/Rescinded
Aff. in Part, Rev. in Part
Dismissed
Modified2013
Remanded
2014
Pending 2016
2015
Remanded
Modified
20
0
3
3
9
Aff. in Part, Rev. 19
in Part
Dismissed
32
Reversed/Rescinded
Settlement
28
Withdrawn
2016
Affirmed
Figure 5: Appeal Outcomes for Child Care Centers
Appeal Outcomes for Child Care Centers
35
30
Pending
Total Appeals
25
Remanded
Modified
20
Dismissed
Aff. in Part, Rev. in Part
15
Reversed/Rescinded
Settlement
10
Withdrawn
Affirmed
5
0
2012
2013
2014
2015
2016
P.O. Box 64242 * St. Paul, Minnesota * 55164-0242 * An Equal Opportunity and Veteran-Friendly Employer*
http://www.dhs.state.mn.us/licensing