R501-1-10. License Violations

  (1) When the Office finds evidence of violations of statute or rule, the Office shall do one of the following:

  (a) provide written notification of the violation requiring the licensee to correct violation(s) with no formal follow-up; or

  (b) provide written notification of violation and request a licensee to submit a corrective action plan in response to a written notification of a violation;

  (i) a licensee shall submit a written corrective action plan to the Office within ten calendar days of the request from the Office and the corrective action plan shall include:

  (A) a statement of each violation identified by the Office;

  (B) a detailed description of how the licensee will correct each violation and prevent additional violations;

  (C) the date by which the licensee will achieve compliance with administrative rules and statutes; and

  (D) involvement of program owner(s) and director(s), including each foster parent, if involving a licensed or certified foster home.

  (c) The Office shall review the submitted corrective action plan and either inform the licensee that the corrective action plan is approved; or inform the licensee that the corrective action plan is not approved and provide explanation;

  (i) the Office may permit a licensee to amend and resubmit its corrective action plan within five additional calendar days.

  (d) The Office shall issue a Notice of Agency Action imposing a penalty for violation(s) if the licensee fails to submit and comply with an approved corrective action plan.

  (e) A corrective action plan is not a penalty. Programs have the right to refuse the corrective action plan process and may preserve their appeal rights by requesting a penalty through an Office initiated Notice of Agency Action.

  (2) Provide a written notice of agency action initiating a penalty, as follows:

  (a) the Office may place a license on conditional status;

  (i) conditional status allows a program that is in the process of correcting violations to continue operation, subject to conditions established by the Office;

  (A) Failure to meet the terms of the conditions, and time frames outlined on the notice, could result in further penalty.

  (b) The Office may suspend a license for up to three years;

  (i) a human services program that has had its license suspended is prohibited from accepting new clients, and may only provide the services necessary to maintain client health and safety during their transition; and

  (ii) shall have and comply with written policies and procedures to transition clients into equivalent, safe, currently licensed programs or into the custody of their legal guardians.

  (c) The Office may revoke a license;

  (i) a human services program that has had its license revoked is prohibited from accepting new clients and may only provide the services necessary to maintain client health and safety during their transition; and

  (ii) shall have and comply with written policies and procedures to transition clients into equivalent, safe, currently licensed program or into the custody of their legal guardians.

  (d) Names of licensees and programs who have had their licenses revoked shall be maintained by the Office for a period of five years, and shall not be associated in any way with a licensed program during that five-year period.

  (e) A licensee whose license has been suspended or revoked is responsible for the program staffing and health and safety needs of all clients while the suspension or revocation is pending.

  (f) The Office may place conditions, such as restricted admissions, to be in immediate effect in the Notice of Agency Action, if necessary, to protect the health and safety of clients.

  (g) The Office may utilize any other penalties pursuant to 62A-2, Subsections 112, 113 and/or 116.

  (h) The Office may consider chronicity, severity, and pervasiveness of violations when determining whether to simply provide notification of violations with no follow-up requirement; or to request a corrective action plan; or to apply a formal penalty to the program.

  (i) Repeated violations of the same rule or statute, or failure to comply with conditions of a Notice of Agency Action may elevate the penalty level assessed.

  (j) A licensee shall post the Notice of Agency Action on-site, and on the homepage of each of its websites, where it can be easily reviewed by all clients, guardians of clients, and visitors within five business days, and shall remain posted until the resolution of the penalty, unless otherwise instructed by the Office.

  (k) A licensee shall notify all clients, guardians and prospective clients of a Notice of Agency Action issued by the Office within five business days. Prospective and new clients will be notified for as long as the Notice of Agency Action is in effect.

  (l) Pending an appeal of a revocation, suspension or conditional license that restricts admissions, licensee shall not accept any new clients as outlined on the Notice of Agency Action, or while an appeal of a Notice of Agency Action penalty is pending without prior written authorization from the Office.

  (m) The Office shall electronically post Notices of Agency Action issued to a human services program, on the Office's website, in accordance with 62A-2-106.

  (n) Due Process: A Notice of Agency Action shall inform the applicant or licensee of the right to appeal in accordance with Administrative Rule 497-100.