Disciplinary Actions And Civil Penalties

The purpose of this rule is to define disciplinary actions that the Commissioner may impose on licensees (1) Upon a finding by the Commissioner that a school of electrology has violated any provision of the Tennessee Electrologists Practice Act (T.C.A. §§ 63-26-101, et. seq.) or the rules promulgated thereto, the Commissioner may impose any of the following actions separately or in any combination deemed appropriate to the offense: (a) Advisory Censure - This is a written action issued to the licensee for minor or near infractions. It is informal and advisory in nature and does not constitute a formal disciplinary action. (b) Formal censure or reprimand - This is a written action issued to a licensee for one time and less severe violations. It is a formal disciplinary action. (c) Probation - This is a formal disciplinary action which places a licensee on close scrutiny for a period of time determined by the Commissioner. This action may be combined with conditions which must be met before probation will be lifted and/or which restrict the licensee’s activities during the probationary period. (d) Licensure Suspension - This is a formal disciplinary action which suspends a licensee’s right to operate a school of electrology for a fixed period of time. It contemplates the reentry of the licensee into the operation under the licensure previously issued. When the Commissioner suspends a license, the school may not train electrology students during the period of suspension. (e) Revocation for cause. This is the most severe form of disciplinary action which removes a licensee from the operation of a school of electrology and terminates the licensure previously issued. The Commissioner, in his or her discretion, may allow reinstatement of a revoked license upon conditions and after a period of time he deems appropriate. No petition for reinstatement and no new application for licensure from a person whose license was revoked shall be considered prior to the expiration of at least one year unless otherwise stated in the Commissioner’s revocation order. (f) Conditions - These include any action deemed appropriate by the Commissioner to be required of an individual disciplined during any period of probation or suspension or as GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 a prerequisite to the lifting of probation or suspension or the reinstatement of a revoked license. (g) Civil penalty – A monetary disciplinary action assessed by the Commissioner pursuant to paragraph (5) of this rule. (2) Once ordered, probation, suspension, revocation, assessment of a civil penalty, or any other condition of any type of disciplinary action may not be lifted unless and until the licensee petitions the Commissioner, pursuant to paragraph (3) of this rule, after the period of initial probation, suspension, revocation, or other conditioning has run and all conditions placed on the probation, suspension, revocation, have been met, and after any civil penalties assessed have been paid. (3) Order of Compliance - This procedure is a necessary adjunct to previously issued disciplinary orders and is available only when a petitioner has completely complied with the provisions of a previously issued disciplinary order, including an unlicensed operation of an electrology school civil penalty order, and wishes or is required to obtain an order reflecting that compliance. (a) The Commissioner will entertain petitions for an Order of Compliance as a supplement to a previously issued order upon strict compliance with the procedures set forth in subparagraph (b) in only the following three (3) circumstances: 1. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued reflecting that compliance; 2. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued lifting a previously ordered suspension or probation; or 3. When the petitioner can prove compliance with all the terms of the previously issued order and is seeking to have an order issued reinstating a license previously revoked. (b) Procedures 1. The petitioner shall submit a Petition for Order of Compliance, as contained in subparagraph (c), to the Registry’s Administrative Office that shall contain all of the following: (i) A copy of the previously issued order; (ii) A statement of which provision of subparagraph (a) the petitioner is relying upon as a basis for the requested order; and (iii) A copy of all documents that prove compliance with all the terms or conditions of the previously issued order. If proof of compliance requires testimony of an individual(s), including that of the petitioner, the petitioner must submit signed statements from every individual the petitioner intends to rely upon attesting, under oath, to the compliance. The Commissioner and Registry’s administrative staff, in their discretion, may require such signed statements to be notarized. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, the petition. GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 2. The Commissioner authorizes the Registry’s administrative staff to make an initial determination on the petition and take one of the following actions: (i) Certify compliance and present the petition to the Commissioner as an uncontested matter; or (ii) Deny the petition, after consultation with legal staff, if compliance with all of the provisions of the previous order is not proven, and notify the petitioner of what provisions remain to be fulfilled and/or what proof of compliance was either not sufficient or not submitted. 3. The petitioner may not submit any additional documentation or testimony other than that contained in his/her petition as submitted to the Commissioner and the Registry’s administrative staff. 4. If the Commissioner finds that the petitioner has complied with all the terms of the previous order the Commissioner shall issue an Order of Compliance. 5. If the petition is denied either initially by the Registry’s administrative staff or after review by the Commissioner, and the petitioner believes compliance with the order has been sufficiently proven the petitioner may, as authorized by law, file a petition for a declaratory order pursuant to the provisions of T.C.A. § 4-5-223 and Rule 1200-10-01-.11. (c) Form Petition Petition for Order of Compliance Electrologists Registry Petitioner’s Name: Petitioner’s Mailing Address: Petitioner’s E-Mail Address: Telephone Number: Attorney for Petitioner: Attorney’s Mailing Address: Attorney’s E-Mail Address: Telephone Number: I, the petitioner respectfully represent, as substantiated by the attached documentation, that all provisions of the attached disciplinary order have been complied with and I am respectfully requesting: (circle one) 1. An order issued reflecting that compliance; or 2. An order issued reflecting that compliance and lifting a previously ordered suspension or probation; or 3. An order issued reflecting that compliance and reinstating a license previously revoked. GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 Note – You must enclose all documents necessary to prove your request including a copy of the original order. If any of the proof you are relying upon to show compliance is the testimony of any individual, including yourself, you must enclose signed statements from every individual you intend to rely upon attesting, under oath, to the compliance. The Commissioner’s and Registry’s administrative staff, in their discretion, may require such signed statements to be notarized. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, this petition. Respectfully submitted this the day of , 20 . Petitioner’s Signature (4) Order Modifications - This procedure is not intended to allow anyone under a previously issued disciplinary order, including an unlicensed operation of an electrology school civil penalty order, to modify any findings of fact, conclusions of law, or the reasons for the decision contained in the order. It is also not intended to allow a petition for a lesser disciplinary action, or civil penalty other than the one(s) previously ordered. All such provisions of disciplinary orders were subject to reconsideration and appeal under the provisions of the Uniform Administrative Procedures Act (T.C.A. §§ 4-5-301, et seq.). This procedure is not available as a substitute for reconsideration and/or appeal and is only available after all reconsideration and appeal rights have been either exhausted or not timely pursued. It is also not available for those who have accepted and been issued a reprimand. (a) The Commissioner will entertain petitions for modification of the disciplinary portion of previously issued orders upon strict compliance with the procedures set forth in subparagraph (b) only when the petitioner can prove that compliance with any one or more of the conditions or terms of the discipline previously ordered is impossible. For purposes of this rule the term “impossible” does not mean that compliance is inconvenient or impractical for personal, financial, scheduling or other reasons. (b) Procedures 1. The petitioner shall submit a written and signed Petition for Order Modification on the form contained in subparagraph (c) to the Registry’s Administrative Office that shall contain all of the following: (i) A copy of the previously issued order; (ii) A statement of why the petitioner believes it is impossible to comply with the order as issued; and (iii) A copy of all documents that prove that compliance is impossible. If proof of impossibility of compliance requires testimony of an individual(s), including that of the petitioner, the petitioner must submit signed and notarized statements from every individual the petitioner intends to rely upon attesting, under oath, to the reasons why compliance is impossible. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, the petition. 2. The Commissioner authorizes the Registry’s administrative staff in conjunction with legal staff to make an initial determination on the petition and take one of the following actions: GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 (i) Certify impossibility of compliance and forward the petition to the Commissioner as an uncontested matter; or (ii) Deny the petition, if impossibility of compliance with the provisions of the previous order is not proven and notify the petitioner of what proof of impossibility of compliance was either not sufficient or not submitted. 3. The petitioner may not submit any additional documentation or testimony other than that contained in the petition as originally submitted to the Commissioner and Registry’s administrative staff. 4. If the petition is granted a new order shall be issued reflecting the modifications authorized by the Commissioner that he deemed appropriate and necessary in relation to the violations found in the previous order. 5. If the petition is denied either initially by the Registry’s administrative staff or after review by the Commissioner, and the petitioner believes impossibility of compliance with the order has been sufficiently proven, the petitioner may, as authorized by law, file a petition for a declaratory order pursuant to the provisions of T.C.A. § 4-5-223 and rule 1200-10-01-.11. (c) Form Petition Petition for Order Modification Electrologists Registry Petitioner’s Name: Petitioner’s Mailing Address: Petitioner’s E-Mail Address: Telephone Number: Attorney for Petitioner: Attorney’s Mailing Address: Attorney’s E-Mail Address: Telephone Number: I, the petitioner respectfully represent that for the following reasons, as substantiated by the attached documentation, the identified provisions of the attached disciplinary order are impossible for me to comply with: Note – You must enclose all documents necessary to prove your request including a copy of the original order. If any of the proof you are relying upon to show impossibility is the testimony of any individual, including yourself, you must enclose signed and GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 notarized statements from every individual you intend to rely upon attesting, under oath, to the reasons why compliance is impossible. No documentation or testimony other than that submitted will be considered in making an initial determination on, or a final order in response to, this petition. Respectfully submitted this the day of , 20 . Petitioner’s Signature (5) Civil Penalties (a) Purpose - The purpose of this rule is to set out a schedule designating the minimum and maximum civil penalties which may be assessed pursuant to T.C.A. § 63-1-134. (b) Schedule of Civil Penalties 1. A Type A civil penalty may be imposed whenever the Commissioner finds the person who is required to be licensed by the Commissioner is guilty of a willful and knowing violation of the Electrologists Practice Act, or regulations promulgated pursuant thereto, to such an extent that there is, or is likely to be an imminent substantial threat to the health, safety, and welfare of an individual client or the public. For purposes of this section, a Type A penalty shall include, but not be limited to, a person who willfully and knowingly is or was operating an electrology school without a license from the Commissioner. 2. A Type B civil penalty may be imposed whenever the Commissioner finds the person required to be licensed by the Commissioner is guilty of a violation of the Electrologists Practice Act or regulations promulgated pursuant thereto in such manner as to impact directly on the care of clients or the public. 3. A Type C civil penalty may be imposed whenever the Commissioner finds the person required to be licensed by the Commissioner is guilty of a violation of the Electrologists Practice Act or regulations promulgated pursuant thereto, which are neither directly detrimental to clients or the public, nor directly impact their care, but have only an indirect relationship to client care or the public. (c) Amount of Civil Penalties 1. Type A civil penalties shall be assessed in the amount of not less than $500 nor more than $1,000. 2. Type B civil penalties may be assessed in the amount of not less than $100 and not more than $500. 3. Type C civil penalties may be assessed in the amount of not less than $50 and not more than $100. (d) Procedures for Assessing Civil Penalties 1. The Division of Health Related Boards may initiate a civil penalty assessment by filing a Memorandum of Assessment of Civil Penalty. The Division shall state in the memorandum the facts and law upon which it relies in alleging a violation, the proposed amount of the civil penalty and the basis for such penalty. The Division may incorporate the Memorandum of Assessment of Civil Penalty with a Notice of Charges which may be issued attendant thereto. GENERAL RULES GOVERNING SCHOOLS OF ELECTROLOGY CHAPTER 0540-03 2. Civil Penalties may also be initiated and assessed by the Commissioner during consideration of any Notice of Charges. In addition, the Commissioner may, upon good cause shown, assess type and amount of civil penalty which was not recommended by the Division. 3. In assessing the civil penalties pursuant to these rules the Commissioner may consider the following factors: (i) Whether the amount imposed will be a substantial economic deterrent to the violator; (ii) The circumstances leading to the violation; (iii) The severity of the violation and the risk of harm to the public; (iv) The economic benefits gained by the violator as a result of non- compliance; and, (v) The interest of the public. 4. All proceedings for the assessment of civil penalties shall be governed by the contested case provisions of T.C.A. Title 4, Chapter 5. (6) A Registry Consultant may be appointed by the Commissioner and vested with the authority to do the following acts: (a) Recommend whether and what type disciplinary actions should be instituted upon complaints received or investigations conducted by the Division. (b) Recommend whether and under what terms a complaint, case, or disciplinary action might be informally settled. Any matter proposed for informal settlement must be subsequently ratified by the Commissioner before it will become effective.