Ala. Admin. Code r. 538-X-4-.22

Current through Register Vol. 43, No. 1, October 31, 2024

Section 538-X-4-.22 - Disciplinary Action

Disciplinary measures available to the Commission are as follows:

(1) Oral Warning - For the lightest infractions or inadvertences warranting that a matter be brought to the licensee's attention and immediately corrected (either while the inspector is present or prior to the inspector's submission of the report, with proof of correction by the licensee), the Commission, acting through its inspector or other representatives, may communicate an oral warning to the licensee. An oral warning is not included on any permanent record by which the licensee will be judged.

(2) Written Warning. - A written warning is provided in instances where an oral warning has been issued or would not be warranted, but a written reprimand is not appropriate. A written warning is not included in any permanent records by which the licensee will be judged, but it will be maintained by the Commission for a period of one year after its issuance and may be considered in conjunction with other similar violations in determining any discipline that may be appropriate under such other violations during that time.

(3) Reprimand. - A reprimand is a writing from the Commission issued where an oral or written warning has been imposed previously or is not warranted due to the circumstances. Depending on the conduct warranting discipline, a written reprimand may be the least stringent discipline imposed; for willful, reckless, or intentional misconduct, a reprimand is the lowest level of discipline that may be considered. The reprimand shall detail the date, the name of the licensee, the reasons for its issuance and shall be maintained on the records of the licensee for a period not to exceed 10 years and during that time may be considered by the Commission in determining whether renewal of license is appropriate and whether stronger sanctions may be appropriate in the future based on any instances of similar conduct. A reprimand shall accompany any administrative penalty or fine, and any suspension or revocation of license imposed on the licensee.

(4) Administrative Penalties and Fines. -An administrative penalty or fine is appropriate where less stringent discipline has been imposed previously or is not warranted; this level of discipline is particularly appropriate to provide restitution for the licensee's misconduct, to defray the costs of administrative intervention by the Commission, or to emphasize a need to correct misconduct, including willful, reckless, repeated, or intentional misconduct. Administrative penalties and fines must not be imposed arbitrarily, capriciously, or in excessive amounts, but should be imposed justly and fairly to fit the level of the licensee's misconduct. An administrative penalty or fine is the threshold level discipline for a critical violation as defined at subparagraph 4.(b) of Rule 538-X-4-.02 -4, above. A written reprimand must accompany any administrative penalty or fine.

(5) Probation. - Probation, in addition to a reprimand and any administrative penalty or fine, is appropriate when a licensee's conduct warrants that the licensee be placed on notice that any further misconduct warranting a reprimand will result in the nonrenewal, suspension or revocation of the licensee's license. The imposition of probation will be noted on the reprimand and may be imposed for a period not to exceed three years, and it will be accompanied by an appropriate penalty or fine.

(6) Suspension of License. -A suspension of license, involving a temporary restriction on a licensee's ability to lawfully operate its business, is imposed when, for an anticipated period of time, a licensee is or will be ineligible to operate under its license or when, due to the licensee's misconduct (as opposed to a shutdown, which may occur due to events beyond a licensee's control and is not imposed for disciplinary reasons), operation of the business poses a risk to the safety and wellbeing of patients, caregivers, employees or the general public. A notice of suspension may be issued peremptorily, prior to a full investigation, in situations where the Commission has reason to believe that the ongoing operation of the licensee poses such a risk; however, a full investigation and determination should follow as soon as practicable and not more than 30 days from the peremptory notice of suspension. Following the Commission's determination on full investigation, the decision of the Commission shall be deemed a final action, entitling an aggrieved licensee to the rights set forth in§ 20-2A-57(d), Code of Ala. 1975, (as amended). A suspension may not be issued for a period longer than one year. A suspension, upon finalization, will be noted on the reprimand issued to the licensee in connection with the misconduct that required the suspension. In most cases, the suspension will include a penalty or fine, and it may involve a period of probation following the suspension.

(7) Revocation of License - The Commission's revocation of license is the most serious disciplinary measure that the Commission, acting on its own, may impose. Revocation should not be imposed arbitrarily or capriciously, but only for grave misconduct by the licensee in contradiction of § 20-2A-57(a), Code of Ala. 1975, (as amended), and usually only upon repeated instances of serious misconduct; or posing a serious risk of loss to property, injury, or death; or involving overtly intentional disregard of the authority of the Commission, the Act, or these Rules. In most instances, revocation will not be imposed until other forms of discipline have been unsuccessful, after the licensee has been provided a fair opportunity to correct its misconduct, and/or a clear pattern of misconduct has become apparent.

(8) Civil Penalties, Restitution and Damages -As warranted, in addition to the disciplinary measures above, the Commission may notify appropriate civil authorities regarding the licensee's misconduct and shall cooperate fully in any civil or administrative proceeding or judgment that may lead to the imposition of civil penalties or exact civil restitution or other damages from the offending licensee or any associated individual or entity.

(9) Criminal Penalties - As warranted, in addition to the disciplinary measures listed above, the Commission may notify appropriate authorities regarding the licensee's misconduct and shall cooperate fully in any criminal investigation that may lead to the imposition of charges and penalties against the licensee or any associated entity or individual.

Ala. Admin. Code r. 538-X-4-.22

Adopted by Alabama Administrative Monthly Volume XL, Issue No. 11, August 31, 2022, eff. 10/15/2022.

Author: William H. Webster

Statutory Authority:Code of Ala. 1975, §§ 20-2A-22, as amended.