Enforcement Process

The Department may impose a remedy or remedies when it determines an agency is not in compliance with thes e rules. (3-17-22) 01. Determination of Remedy. In determining which remedy or remedies to impose, the Departmen t will consider the agency’s compliance history, change of ownership, the number of deficiencies, the scope an d severity of the deficiencies, and the potential risk to participants. Subject to these considerations, the Department ma y impose any of the remedies in Subsection 500.02 of this rule, independently or in conjunction with others, subject t o the provisions of these rules for notice and appeal. (3-17-22) 02. Enforcement Remedies. If the Department determines that an agency is out of compliance with these rules, it may impose any of the following remedies according to Section 500.01 of this rule. (3-17-22) a. Require the agency to submit a plan of correction that must be approved in writing by th e Department; (3-17-22) b. Issue a provisional certificate with a specific date for correcting deficient practices; (3-17-22) c. Ban enrollment of all participants with specified diagnoses; (3-17-22) d. Ban any new enrollment of participants; (3-17-22) e. Revoke the agency’s certificate; or (3-17-22) f. Summarily suspend the certificate and transfer participants. (3-17-22) 03. Immediate Jeopardy. If the Department finds an agency’s deficiency or deficiencies immediatel y jeopardize the health or safety of its participants, the Department may summarily suspend the agency’s certificate. (3-17-22) 04. No Immediate Jeopardy. If the Department finds that the agency’s deficiency or deficiencies d o not immediately jeopardize participant health or safety, the Department may impose one (1) or more of the remedie s specified in Subsections 500.02.a. through 500.02.e. of this rule. (3-17-22) 05. Repeat Deficiencies. If the Department finds a repeat deficiency in an agency, it may impose an y of the remedies listed in Subsection 500.02 of this rule as warranted. The Department may monitor the agency on a n “as needed” basis, until the agency has demonstrated to the Department’s satisfaction that it is in compliance wit h requirements governing residential habilitation agencies and that it is likely to remain in compliance. (3-17-22) 06. Failure to Comply. The Department may impose one (1) or more of the remedies specified in Subsection 500.02 of this rule if: (3-17-22) a. The agency has not complied with any requirement in these rules within three (3) months after th e date it was notified of its failure to comply with such requirement; or (3-17-22) b. The agency has failed to correct the deficiencies stated in the agency’s accepted plan of correctio n and as verified by the Department, via resurveys. (3-17-22)