§ 2-31 — Penalty Schedule

§ 2-31 Penalty Schedule.

a. Civil penalties for the following violations of this chapter shall be assessed per day as follows: 1. Unless otherwise specified in the notice of violation, if the Department charges a business or individual with a violation, there shall be a rebuttable presumption that the violation continued every day, without interruption, from the date specified by the Department in the notice of violation as the first date of violation through the hearing date. 2. The first date of violation specified by the Department in the notice of violation may be the date of an inspection at which the violation(s) is identified, or any other date on which the violation(s) first occurred, such as the first date an SADC was operating without having registered with the Department. 3. Regardless of the date specified by the Department in the notice of violation, if the Department presents at the hearing a copy of a decision or order from a prior proceeding finding that the business or individual engaged in the same violation, or a copy of a settlement from a prior proceeding resolving a charge of the same violation, there shall be a rebuttable presumption that the violation continued every day, without interruption, from the date of such decision, order or settlement through the date of the hearing, unless the decision, order or settlement specifically states otherwise. 4. A party may present credible evidence at the hearing to rebut the presumption of continued violation, such as written proof, receipts, photographs or other documentation indicating that the party corrected the violation. Section of Law Violation Description Penalty Default Penalty Maximum Penalty 69 RCNY § 2-21 Failed to register with the Department $1,000 per day of operation $1,000 $60,000 69 RCNY § 2-21 Failed to submit changes to registration to the Department $500 per day of operation $500 $30,000 69 RCNY § 2-21 Failed to notify Department of ceased operations lasting 6 months $500 per day past the notification deadline $500 $30,000 69 RCNY § 2-22 Service plan untimely developed/reviewed 9 NYCRR § 6654.20(d)(1)(iii)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Service plan inconsistent with needs 9 NYCRR § 6654.20(d)(1)(iii)(c) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Well-being goals insufficient 9 NYCRR § 6654.20(d)(1)(iii)(d)(1) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Capacity goals insufficient 9 NYCRR § 6654.20(d)(1)(iii)(d)(2) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Eligibility policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(a) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Admission/discharge policies failed standard 9 NYCRR § 6654.20(d)(2)(i)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Service plan policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(c) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staffing plan policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(d) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Participant rights policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(e) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Service delivery policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(f) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Program evaluation policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(g) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Records policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(h) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Emergency prep policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Operations evaluation failed standards 9 NYCRR § 6654.20(d)(2)(ii)(a) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to maintain copy of self-evaluation 9 NYCRR § 6654.20(d)(2)(ii)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to retain administrative records 9 NYCRR § 6654.20(d)(2)(iii)(a)(1) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to retain participant records 9 NYCRR § 6654.20(d)(2)(iii)(a)(2) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to retain services records 9 NYCRR § 6654.20(d)(2)(iii)(a)(3) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to maintain record confidentiality 9 NYCRR § 6654.20(d)(2)(iii)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to maintain adequate staffing 9 NYCRR § 6654.20(d)(2)(iv)(a)(1) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff health status not documented 9 NYCRR § 6654.20(d)(2)(iv)(a)(3)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff ppd test result not documented 9 NYCRR § 6654.20(d)(2)(iv)(a)(3)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to have a paid director on staff 9 NYCRR § 6654.20(d)(2)(iv)(b)(1) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Director not qualified 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Director authority inappropriate 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(A) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Director failed legal compliance 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(B) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Director failed to submit reports 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(C) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Director did not enforce policies 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(D) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff did not complete training 9 NYCRR § 6654.20(d)(2)(iv)(b)(2)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Volunteers did not receive training 9 NYCRR § 6654.20(d)(2)(iv)(b)(3)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Volunteers were not monitored 9 NYCRR § 6654.20(d)(2)(iv)(b)(3)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff did not complete orientation 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff did not complete training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No annual in-service staff training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(iii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No annual emergency staff training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(iv) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Staff training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(c)(2) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No personal care skill training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No body mechanics training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No behavior management training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(iii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(i) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(ii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(A) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(B) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)C) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(D) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(E) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(F) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Training failed to assess competency 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iv) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to document equivalent skill 9 NYCRR § 6654.20(d)(2)(iv)(d)(3)(iv) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to provide periodic training 9 NYCRR § 6654.20(d)(2)(iv)(d)(4) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Facility has insufficient space for program 9 NYCRR § 6654.20(d)(2)(vi)(a) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Building/equipment failed safety standards 9 NYCRR § 6654.20(d)(2)(vi)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Failed to notify fire authority of program 9 NYCRR § 6654.20(d)(2)(vi)(c) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No current, written emergency procedures 9 NYCRR § 6654.20(d)(2)(vii)(a) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No emergency contact info for participants 9 NYCRR § 6654.20(d)(2)(vii)(b) $500 per day of operation $500 $30,000 69 RCNY § 2-22 No documentation of fire drills conducted 9 NYCRR § 6654.20(d)(2)(vii)(c) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Insufficient insurance coverage 9 NYCRR § 6654.20(d)(2)(viii) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(vi) $500 per day of operation $500 $30,000 69 RCNY § 2-22 Fail to visibly/publicly post rights/contact info 9 NYCRR § 6654.20(e)(3) $500 per day of operation $500 $30,000 b. Civil penalties for the following violations of this chapter shall be assessed per violation as follows: Section of Law Violation Description Penalty Default Penalty Maximum Penalty 69 RCNY § 2-22 Served ineligible participant 9 NYCRR § 6654.20(d)(1)(i) $500 $500 $500 69 RCNY § 2-22 Could not meet/manage individual needs 9 NYCRR § 6654.20(d)(1)(ii)(a) $500 $500 $500 69 RCNY § 2-22 Admitted individual without assessment 9 NYCRR § 6654.20(d)(1)(ii)(b) $500 $500 $500 69 RCNY § 2-22 Failed to properly discharge participant 9 NYCRR § 6654.20(d)(1)(ii)(c) $500 $500 $500 69 RCNY § 2-22 Services inconsistent with service plan 9 NYCRR § 6654.20(d)(1)(iii)(a) $500 $500 $500 69 RCNY § 2-22 Participant outcome goals missing 9 NYCRR § 6654.20(d)(1)(iii)(e) $500 $500 $500 69 RCNY § 2-22 Socialization not properly planned 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(i) $500 $500 $500 69 RCNY § 2-22 Group activities not included 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(ii) $500 $500 $500 69 RCNY § 2-22 Insufficient socialization goals 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(iii) $500 $500 $500 69 RCNY § 2-22 Improper supervision/monitoring 9 NYCRR § 6654.20(d)(1)(iv)(a)(2)(i) $500 $500 $500 69 RCNY § 2-22 Improper safety/assistance measures 9 NYCRR § 6654.20(d)(1)(iv)(a)(2)(ii) $500 $500 $500 69 RCNY § 2-22 Some assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(i) $500 $500 $500 69 RCNY § 2-22 Total assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(ii) $500 $500 $500 69 RCNY § 2-22 Dressing assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(A) $500 $500 $500 69 RCNY § 2-22 Bathing assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(B) $500 $500 $500 69 RCNY § 2-22 Grooming assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(C) $500 $500 $500 69 RCNY § 2-22 Self-medication help not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(D) $500 $500 $500 69 RCNY § 2-22 Skin care assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(E) $500 $500 $500 69 RCNY § 2-22 Dressings assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(F) $500 $500 $500 69 RCNY § 2-22 Equipment assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(G) $500 $500 $500 69 RCNY § 2-22 Meals/snacks not served appropriately 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(i) $500 $500 $500 69 RCNY § 2-22 Meals failed nutrition standards 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(ii) $500 $500 $500 69 RCNY § 2-22 Meals failed nutrition standards 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(iii) $500 $500 $500 69 RCNY § 2-22 Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(i) $500 $500 $500 69 RCNY § 2-22 Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(ii) $500 $500 $500 69 RCNY § 2-22 Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(iii) $500 $500 $500 69 RCNY § 2-22 Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(iv) $500 $500 $500 69 RCNY § 2-22 Transportation services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(2) $500 $500 $500 69 RCNY § 2-22 Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(i) $500 $500 $500 69 RCNY § 2-22 Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(ii) $500 $500 $500 69 RCNY § 2-22 Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(iii) $500 $500 $500 69 RCNY § 2-22 Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(iv) $500 $500 $500 69 RCNY § 2-22 Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(v) $500 $500 $500 69 RCNY § 2-22 Case coordination failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(4)(i) $500 $500 $500 69 RCNY § 2-22 Case coordination failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(4)(ii) $500 $500 $500 69 RCNY § 2-22 Failed to meet daily minimum staffing 9 NYCRR § 6654.20(d)(2)(iv)(a)(2) $500 $500 $500 69 RCNY § 2-22 Staff did not carry out service plan 9 NYCRR § 6654.20(d)(2)(iv)(b)(2)(i) $500 $500 $500 69 RCNY § 2-22 Staff training not documented 9 NYCRR § 6654.20(d)(2)(iv)(c)(3) $500 $500 $500 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(i) $500 $500 $500 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(ii) $500 $500 $500 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(iii) $500 $500 $500 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(iv) $500 $500 $500 69 RCNY § 2-22 Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(v) $500 $500 $500 69 RCNY § 2-22 Failed to provide/explain participant rights 9 NYCRR § 6654.20(e)(2) $500 $500 $500 (Added City Record 1/9/2020, eff. 2/8/2020; amended City Record 7/8/2025, eff. 8/7/2025)