§ 2-31 Penalty Schedule.
RCNY § 2-31
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 LawViolation Description PenaltyDefault PenaltyMaximum PenaltySection of LawViolation Description PenaltyDefault PenaltyMaximum Penalty69 RCNY § 2-21Failed to register with the Department$1,000 per day of operation$1,000$60,00069 RCNY § 2-21Failed to submit changes to registration to the Department$500 per day of operation$500$30,00069 RCNY § 2-21Failed to notify Department of ceased operations lasting 6 months$500 per day past the notification deadline$500$30,00069 RCNY § 2-22Service plan untimely developed/reviewed 9 NYCRR § 6654.20(d)(1)(iii)(b)$500 per day of operation$500$30,00069 RCNY § 2-22Service plan inconsistent with needs 9 NYCRR § 6654.20(d)(1)(iii)(c)$500 per day of operation$500$30,00069 RCNY § 2-22Well-being goals insufficient 9 NYCRR § 6654.20(d)(1)(iii)(d)(1)$500 per day of operation$500$30,00069 RCNY § 2-22Capacity goals insufficient 9 NYCRR § 6654.20(d)(1)(iii)(d)(2)$500 per day of operation$500$30,00069 RCNY § 2-22Eligibility policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(a)$500 per day of operation$500$30,00069 RCNY § 2-22Admission/discharge policies failed standard 9 NYCRR § 6654.20(d)(2)(i)(b)$500 per day of operation$500$30,00069 RCNY § 2-22Service plan policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(c)$500 per day of operation$500$30,00069 RCNY § 2-22Staffing plan policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(d)$500 per day of operation$500$30,00069 RCNY § 2-22Participant rights policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(e)$500 per day of operation$500$30,00069 RCNY § 2-22Service delivery policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(f)$500 per day of operation$500$30,00069 RCNY § 2-22Program evaluation policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(g)$500 per day of operation$500$30,00069 RCNY § 2-22Records policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(h)$500 per day of operation$500$30,00069 RCNY § 2-22Emergency prep policies failed standards 9 NYCRR § 6654.20(d)(2)(i)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Operations evaluation failed standards 9 NYCRR § 6654.20(d)(2)(ii)(a)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to maintain copy of self-evaluation 9 NYCRR § 6654.20(d)(2)(ii)(b)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to retain administrative records 9 NYCRR § 6654.20(d)(2)(iii)(a)(1)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to retain participant records 9 NYCRR § 6654.20(d)(2)(iii)(a)(2)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to retain services records 9 NYCRR § 6654.20(d)(2)(iii)(a)(3)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to maintain record confidentiality 9 NYCRR § 6654.20(d)(2)(iii)(b)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to maintain adequate staffing 9 NYCRR § 6654.20(d)(2)(iv)(a)(1)$500 per day of operation$500$30,00069 RCNY § 2-22Staff health status not documented 9 NYCRR § 6654.20(d)(2)(iv)(a)(3)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Staff ppd test result not documented 9 NYCRR § 6654.20(d)(2)(iv)(a)(3)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to have a paid director on staff 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)$500 per day of operation$500$30,00069 RCNY § 2-22Director not qualified 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Director authority inappropriate 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(A)$500 per day of operation$500$30,00069 RCNY § 2-22Director failed legal compliance 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(B)$500 per day of operation$500$30,00069 RCNY § 2-22Director failed to submit reports 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(C)$500 per day of operation$500$30,00069 RCNY § 2-22Director did not enforce policies 9 NYCRR § 6654.20(d)(2)(iv)(b)(1)(ii)(D)$500 per day of operation$500$30,00069 RCNY § 2-22Staff did not complete training 9 NYCRR § 6654.20(d)(2)(iv)(b)(2)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22Volunteers did not receive training 9 NYCRR § 6654.20(d)(2)(iv)(b)(3)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Volunteers were not monitored 9 NYCRR § 6654.20(d)(2)(iv)(b)(3)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22Staff did not complete orientation 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Staff did not complete training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22No annual in-service staff training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(iii)$500 per day of operation$500$30,00069 RCNY § 2-22No annual emergency staff training 9 NYCRR § 6654.20(d)(2)(iv)(c)(1)(iv)$500 per day of operation$500$30,00069 RCNY § 2-22Staff training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(c)(2)$500 per day of operation$500$30,00069 RCNY § 2-22No personal care skill training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(i)$500 per day of operation$500$30,00069 RCNY § 2-22No body mechanics training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22No behavior management training 9 NYCRR § 6654.20(d)(2)(iv)(d)(1)(iii)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(i)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(ii)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(A)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(B)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)C)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(D)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(E)$500 per day of operation$500$30,00069 RCNY § 2-22Additional training failed standards 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iii)(F)$500 per day of operation$500$30,00069 RCNY § 2-22Training failed to assess competency 9 NYCRR § 6654.20(d)(2)(iv)(d)(2)(iv)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to document equivalent skill 9 NYCRR § 6654.20(d)(2)(iv)(d)(3)(iv)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to provide periodic training 9 NYCRR § 6654.20(d)(2)(iv)(d)(4)$500 per day of operation$500$30,00069 RCNY § 2-22Facility has insufficient space for program 9 NYCRR § 6654.20(d)(2)(vi)(a)$500 per day of operation$500$30,00069 RCNY § 2-22Building/equipment failed safety standards 9 NYCRR § 6654.20(d)(2)(vi)(b)$500 per day of operation$500$30,00069 RCNY § 2-22Failed to notify fire authority of program 9 NYCRR § 6654.20(d)(2)(vi)(c)$500 per day of operation$500$30,00069 RCNY § 2-22No current, written emergency procedures 9 NYCRR § 6654.20(d)(2)(vii)(a)$500 per day of operation$500$30,00069 RCNY § 2-22No emergency contact info for participants 9 NYCRR § 6654.20(d)(2)(vii)(b)$500 per day of operation$500$30,00069 RCNY § 2-22No documentation of fire drills conducted 9 NYCRR § 6654.20(d)(2)(vii)(c)$500 per day of operation$500$30,00069 RCNY § 2-22Insufficient insurance coverage 9 NYCRR § 6654.20(d)(2)(viii)$500 per day of operation$500$30,00069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(vi)$500 per day of operation$500$30,00069 RCNY § 2-22Fail 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 LawViolation Description PenaltyDefault PenaltyMaximum PenaltySection of LawViolation Description PenaltyDefault PenaltyMaximum Penalty69 RCNY § 2-22Served ineligible participant 9 NYCRR § 6654.20(d)(1)(i)$500 $500$50069 RCNY § 2-22Could not meet/manage individual needs 9 NYCRR § 6654.20(d)(1)(ii)(a)$500 $500$50069 RCNY § 2-22Admitted individual without assessment 9 NYCRR § 6654.20(d)(1)(ii)(b)$500 $500$50069 RCNY § 2-22Failed to properly discharge participant 9 NYCRR § 6654.20(d)(1)(ii)(c)$500 $500$50069 RCNY § 2-22Services inconsistent with service plan 9 NYCRR § 6654.20(d)(1)(iii)(a)$500 $500$50069 RCNY § 2-22Participant outcome goals missing 9 NYCRR § 6654.20(d)(1)(iii)(e)$500 $500$50069 RCNY § 2-22Socialization not properly planned 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(i)$500 $500$50069 RCNY § 2-22Group activities not included 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(ii)$500 $500$50069 RCNY § 2-22Insufficient socialization goals 9 NYCRR § 6654.20(d)(1)(iv)(a)(1)(iii)$500 $500$50069 RCNY § 2-22Improper supervision/monitoring 9 NYCRR § 6654.20(d)(1)(iv)(a)(2)(i)$500 $500$50069 RCNY § 2-22Improper safety/assistance measures 9 NYCRR § 6654.20(d)(1)(iv)(a)(2)(ii)$500 $500$50069 RCNY § 2-22Some assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(i)$500 $500$50069 RCNY § 2-22Total assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(ii)$500 $500$50069 RCNY § 2-22Dressing assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(A)$500 $500$50069 RCNY § 2-22Bathing assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(B)$500 $500$50069 RCNY § 2-22Grooming assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(C)$500 $500$50069 RCNY § 2-22Self-medication help not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(D)$500 $500$50069 RCNY § 2-22Skin care assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(E)$500 $500$50069 RCNY § 2-22Dressings assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(F)$500 $500$50069 RCNY § 2-22Equipment assistance not given 9 NYCRR § 6654.20(d)(1)(iv)(a)(3)(iii)(G)$500 $500$50069 RCNY § 2-22Meals/snacks not served appropriately 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(i)$500 $500$50069 RCNY § 2-22Meals failed nutrition standards 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(ii)$500 $500$50069 RCNY § 2-22Meals failed nutrition standards 9 NYCRR § 6654.20(d)(1)(iv)(a)(4)(iii)$500 $500$50069 RCNY § 2-22Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(i)$500 $500$50069 RCNY § 2-22Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(ii)$500 $500$50069 RCNY § 2-22Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(iii)$500 $500$50069 RCNY § 2-22Optional services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(1)(iv)$500 $500$50069 RCNY § 2-22Transportation services failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(2)$500 $500$50069 RCNY § 2-22Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(i)$500 $500$50069 RCNY § 2-22Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(ii)$500 $500$50069 RCNY § 2-22Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(iii)$500 $500$50069 RCNY § 2-22Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(iv)$500 $500$50069 RCNY § 2-22Caregiver assistance failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(3)(v)$500 $500$50069 RCNY § 2-22Case coordination failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(4)(i)$500 $500$50069 RCNY § 2-22Case coordination failed standards 9 NYCRR § 6654.20(d)(1)(iv)(b)(4)(ii)$500 $500$50069 RCNY § 2-22Failed to meet daily minimum staffing 9 NYCRR § 6654.20(d)(2)(iv)(a)(2)$500 $500$50069 RCNY § 2-22Staff did not carry out service plan 9 NYCRR § 6654.20(d)(2)(iv)(b)(2)(i)$500 $500$50069 RCNY § 2-22Staff training not documented 9 NYCRR § 6654.20(d)(2)(iv)(c)(3)$500 $500$50069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(i)$500 $500$50069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(ii)$500 $500$50069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(iii)$500 $500$50069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(iv)$500 $500$50069 RCNY § 2-22Violation of Participant Rights 9 NYCRR § 6654.20(e)(1)(v)$500 $500$50069 RCNY § 2-22Failed 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)
