# COMAR Title 13A — State Board of Education

## Subtitle 17 — Child Care — Letters of Compliance

### Chapter 15 — Inspections, Complaints, and Enforcement

**Authority:** Education Article, §§9.5-401, 9.5-404, 9.5-405, 9.5-409,  9.5-411, and 9.5-413—9.5-418; General Provisions Article, §4-333; Human Services Article, §1-202, Annotated Code of Maryland Agency Note: Federal Statutory Reference – Americans with Disabilities Act of 1990 (42 U.S.C. §12101 et seq.); Pro-Children Act of 1994 (20 U.S.C. §6081 et seq.); Child Care Development Block Grant (45 CFR Parts 98 and 99 and 42 U.S.C. 9858 et seq.); Social Security Act §418 (42 U.S.C. 618)

**Administrative History:** Effective date: October 20, 2008 (35:21 Md. R. 1827)

**Administrative History:** Regulation .02D amended effective March 21, 2011 (38:6 Md. R. 396)

**Administrative History:** Regulation .05B amended effective April 19, 2010 (37:8 Md. R. 619)

**Administrative History:** Chapter revised effective January 13, 2020 (47:1 Md. R. 16)

**Administrative History:** Regulation .04-1 adopted effective December 25, 2023 (50:25 Md. R. 1089)

#### Regulation .01 Complaints.

*COMAR 13A.17.15.01*

The office shall investigate:

A. Both written and oral complaints that relate to a potential violation of a regulation under this subtitle, including anonymous complaints; and

B. Complaints of providing child care or advertising child care services without a valid letter of compliance.

#### Regulation .02 Inspections.

*COMAR 13A.17.15.02*

A. An operator shall permit inspection by the agency representative of all areas of the facility regulated by this subtitle during the nursery school's or child care program's hours of operation without prior notice to the operator.

B. An operator may request satisfactory identification from the agency representative before admitting the representative for an inspection.

C. During an inspection, and upon request, an operator shall make the records required by this subtitle available to the agency representative for inspection and copying.

D. An agency representative shall inspect each facility:

  (1) On an announced basis before the office issues an initial letter of compliance or a continuing letter of compliance; and

  (2) On an unannounced basis, at least once:

    (a) Within each 12-month period after the date that an initial letter of compliance or a continuing letter of compliance was issued; or

    (b) If the facility is currently operating on a renewed letter of compliance, during the 12-month period following the calendar year in which the renewed letter was issued.

E. An operator may contest a finding of noncompliance with this subtitle by requesting a review of findings by the regional office or the central office of the Agency.

#### Regulation .03 Warnings.

*COMAR 13A.17.15.03*

If an investigation of a complaint or an inspection of a facility indicates a violation of this subtitle that does not present an immediate threat to the health, safety, and welfare of a child in care, the office may issue a warning in writing, on an inspection report or by separate letter, that states:

A. The violation found, citing the regulation;

B. The time period for correcting the violation; and

C. That failure to correct the violation may result in sanctions being imposed or in suspension or revocation of the letter of compliance.

#### Regulation .04 Intermediate Sanctions.

*COMAR 13A.17.15.04*

A. Upon a determination that an operator has violated the regulations of this subtitle, placing the health, safety, or welfare of children in care at risk, the office may:

  (1) Restrict the ages or number of new children enrolled;

  (2) Reduce the number of children in care;

  (3) Require the operator or facility staff to participate in training in a specified content area;

  (4) Increase the frequency of monitoring of the facility during a specified period of time;

  (5) Enter into an agreement with the operator detailing requirements for remedying violations and achieving compliance; and

  (6) Notify, or require the operator to notify, a parent of a child who may be affected by the situation for which an intermediate sanction has been imposed.

B. If the office determines that an operator has violated a condition or requirement of a sanction, the office may suspend or revoke the letter of compliance.

#### Regulation .04-1 Emergency Intermediate Sanctions.

*COMAR 13A.17.15.04-1*

A. Upon determining that an operator has violated the regulations in this subtitle and that action is required to protect the health, safety, or welfare of children in care, the Office may:

  (1) Restrict the ages of children in care;

  (2) Reduce the number of children in care;

  (3) Limit the spaces, rooms, or areas that may be used for child care;

  (4) Prohibit an employee, staff member, substitute, or volunteer who has successfully passed all checks under COMAR 13A.17.02.01C from being alone with a child or group of children pending an open child protective services or criminal investigation;

  (5) Require the operator or facility staff to participate in training in a specified content area;

  (6) Increase the frequency of monitoring of the facility during a specified period of time;

  (7) Enter into an agreement with the operator detailing requirements for remedying violations and achieving compliance; and

  (8) Notify, or require the operator to notify, a parent of a child who may be affected by the situation for which an emergency intermediate sanction has been imposed.

B. The Office shall hand deliver written notice of the emergency intermediate sanction to the operator stating:

  (1) The regulatory basis for the sanction;

  (2) That the operator shall immediately implement the sanction;

  (3) That the operator is entitled to a hearing before the Office of Administrative Hearings within 7 calendar days of the operator's request for a hearing;

  (4) That the Office of Administrative Hearings shall issue a decision concerning the sanction within 7 calendar days of the hearing;

  (5) That if the sanction is upheld, implementation of the sanction at the facility shall continue until it is determined that the health, safety, or welfare of children in the facility is no longer threatened;

  (6) That the sanction may lead to suspension or revocation of the operator’s license, if the Office determines that an operator has violated a condition or requirement of the sanction; and

  (7) That the operator may continue to provide child care, except as limited by the sanction.

C. If unable to hand deliver a written notice to the operator, the Office may send notice by regular and certified mail or by electronic mail, read receipt requested, to the operator’s address on file.

#### Regulation .05 Suspension.

*COMAR 13A.17.15.05*

A. The office may suspend a letter of compliance for a period of not more than 60 calendar days:

  (1) Upon determining that the:

    (a) Regulations in this subtitle have been violated; and

    (b) Health, safety, or welfare of children in the facility is threatened; or

  (2) If the letter of compliance is a continuing letter of compliance that was replaced by a conditional letter of compliance, and the:

    (a) Conditional letter of compliance has lapsed; and

    (b) Operator has failed to meet the requirements for reinstatement of the continuing letter of compliance.

B. The office shall notify the operator in writing of the suspension by certified mail 20 calendar days in advance, and the notice shall specify:

  (1) The effective date and period of the suspension;

  (2) The reason for suspension;

  (3) The regulatory violation which is the basis for the suspension;

  (4) That the operator shall stop providing child care on the effective date of the suspension unless the operator requests a hearing in writing within 20 days of the date of the suspension notice;

  (5) That the operator may request a hearing;

  (6) That the suspension shall be stayed if a hearing is requested within 20 days of the date of the suspension notice;

  (7) That, if the suspension is upheld by the Office of Administrative Hearings following the hearing, the operator shall cease providing child care until the office determines that the health, safety, or welfare of a child in the facility no longer is threatened;

  (8) That the suspension may lead to revocation; and

  (9) That the operator is required to surrender the letter of compliance to the office when the suspension becomes effective.

C. The office shall notify the parents of the children in care of the suspension.

D. By the end of the suspension period, the office shall:

  (1) Reinstate the letter of compliance and return it to the operator; or

  (2) Revoke the letter of compliance.

#### Regulation .06 Emergency Suspension.

*COMAR 13A.17.15.06*

A. The office may suspend a letter of compliance on an emergency basis when it is determined that this action is required to protect the health, safety, or welfare of a child in the facility.

B. The office shall hand deliver written notice of the emergency suspension to the operator stating:

  (1) The regulatory basis for the suspension;

  (2) That the operator shall immediately stop providing child care;

  (3) That the operator is entitled to a hearing before the Office of Administrative Hearings within 7 calendar days of the operator’s request for a hearing;

  (4) That the Office of Administrative Hearings shall issue a decision concerning the emergency suspension within 7 calendar days of the hearing;

  (5) That if the emergency suspension order is upheld, stoppage of child care at the center shall continue until it is determined that the health, safety, or welfare of a child in the facility is no longer threatened;

  (6) That the suspension may lead to revocation; and

  (7) That the operator is required to surrender the letter of compliance to the office when the suspension becomes effective.

C. If unable to hand deliver a written notice to the operator, the Office may send notice by regular and certified mail to the operator’s address.

D. The office shall notify the parents of the children in care of the emergency suspension.

#### Regulation .07 Revocation.

*COMAR 13A.17.15.07*

A. The office may revoke a letter of compliance if:

  (1) The operator or facility is in violation of this subtitle and the health, safety, or welfare of children in the facility is threatened;

  (2) The operator misrepresented or offered false information on the application or on any form or report required by the office;

  (3) The operator interferes with the agency representative in the performance of the duties of the office;

  (4) The operator fails to comply with the:

    (a) Prohibitions on the use of an individual as an employee, substitute, or volunteer as set forth, respectively, in COMAR 13A.17.06.03A and B and COMAR 13A.17.06.07B; or

    (b) Child security requirements set forth in COMAR 13A.17.07.06;

  (5) The terms or conditions of an intermediate sanction have been violated;

  (6) Violations required to be corrected during a period of suspension have not been corrected and the period has ended;

  (7) The letter of compliance is a continuing letter of compliance that was replaced by a conditional letter of compliance, and the:

    (a) Conditional letter of compliance has lapsed; and

    (b) Operator has failed to meet the requirements for reinstatement of the continuing letter of compliance; or

  (8) The evaluation of information provided to or acquired by the office indicates that the operator is unable to care for the welfare of children.

B. If the office decides to revoke a letter of compliance, the office shall notify the operator in writing 20 calendar days before the effective date of the revocation, stating:

  (1) The effective date of the revocation;

  (2) The reason for revocation;

  (3) The regulatory violation which is the basis for the revocation;

  (4) That the operator shall stop providing child care unless a hearing is requested in writing within 20 days of the date of the revocation notice;

  (5) That the operator may request a hearing;

  (6) That the revocation shall be stayed if a hearing is requested within 20 days of the date of the revocation notice;

  (7) That, if the revocation is upheld by the Office of Administrative Hearings following the hearing, the operator shall cease providing child care; and

  (8) That the operator is required to surrender the letter of compliance to the office when the revocation becomes effective.

C. The office shall notify the parents of the children in care of the revocation.

#### Regulation .08 Penalties.

*COMAR 13A.17.15.08*

A. Criminal Penalty. A person that maintains and operates a nursery school or a child care program without a license or a letter of compliance, if convicted, is guilty of a misdemeanor and subject to a fine not exceeding:

  (1) $1,500 for the first violation; and

  (2) $2,500 for a second or subsequent violation.

B. Civil Penalty.

  (1) A person who maintains and operates a nursery school or child care program or advertises a child care program without a letter of compliance, or who violates any regulation in this subtitle, is subject to a civil penalty imposed in a civil action of not more than $1,000 for each violation, and each day a violation occurs or the facility operates illegally is considered a separate violation.

  (2) The total amount of the civil penalties imposed in a civil action under this section may not exceed $5,000.

C. An individual against whom a civil penalty has been imposed under this regulation shall pay the full amount of the penalty promptly to the Department, as instructed by the civil citation or as otherwise directed by the office.

D. Appeals.

  (1) An individual may appeal the imposition of a civil penalty under this regulation by filing an appeal with the office as instructed by the civil citation or as otherwise directed by the office.

  (2) Appeals are conducted in accordance with the provisions of COMAR 13A.17.16.