Current through Register Vol. 47, No. 6, September 18, 2024
(1)
When civil penalties may be issued. Civil penalties may be
issued when the director finds that any of the following has occurred:
a. A program that does not comply with
applicable requirements and the noncompliance results in imminent danger or a
substantial probability of resultant death or physical harm to a tenant may be
assessed a civil penalty of not more than $10,000.
b. A program that continues to fail or
refuses to comply with applicable requirements within prescribed time frames
established by the department or approved by the department in the program's
plan of correction and the noncompliance has a direct relationship to the
health, safety, or security of tenants may be assessed a civil penalty of not
more than $5,000.
c. A program that
prevents, interferes with or attempts to impede in any way any duly authorized
representative of the department in the lawful enforcement of applicable
requirements may be assessed a civil penalty of not more than $1,000.
d. A program that discriminates or retaliates
in any way against a tenant, tenant's family, or an employee of the program who
has initiated or participated in any proceeding authorized by Iowa Code chapter
231B, 231C or 231D and the corresponding administrative rules may be assessed a
civil penalty of not more than $5,000.
(2)
Duplicate civil penalties
prohibited. The department shall not impose duplicate civil penalties
on a program for the same set of facts and circumstances.
(3)
Factors in determining the amount
of a civil penalty. The department shall consider the following
factors when determining the amount of a civil penalty:
a. The frequency and length of time the
regulatory insufficiency occurred (i.e., whether the regulatory insufficiency
was an isolated or a widespread occurrence, practice, or condition);
b. The past history of the program as it
relates to the nature of the regulatory insufficiency (the department shall not
consider more than the current certification period and the immediately
previous certification period);
c.
The culpability of the program as it relates to the reasons the regulatory
insufficiency occurred;
d. The
extent of any harm to the tenants or the effect on the health, safety, or
security of the tenants which resulted from the regulatory
insufficiency;
e. The relationship
of the regulatory insufficiency to any other types of regulatory
insufficiencies which have occurred in the program;
f. The actions of the program after the
occurrence of the regulatory insufficiency, including when corrective measures,
if any, were implemented and whether the program notified the director as
required;
g. The accuracy and
extent of records kept by the program which relate to the regulatory
insufficiency, and the availability of such records to the
department;
h. The rights of
tenants to make informed decisions;
i. Whether the program made a good-faith
effort to address a high-risk tenant's specific needs and whether the evidence
substantiates this effort.
(4)
Civil penalties due. The
civil penalty shall be paid to the department within 30 days following the
program's receipt of the final report and demand letter. The program may appeal
in accordance with rule
481-67.14 (17A,231C,85GA,SF394).
If the program appeals, the civil penalty shall be deemed suspended until the
appeal is resolved.
(5)
Reduction of civil penalty amount by 35 percent. If an
assisted living program has been assessed a civil penalty, the civil penalty
shall be reduced by 35 percent if both of the following requirements are met:
a. The program does not request a formal
hearing pursuant to rule
481-67.14 (17A,231C,85GA,SF394),
or withdraws its request for formal hearing within 30 calendar days of the date
that the civil penalty was assessed; and
b. The civil penalty is paid and payment is
received by the department within 30 calendar days of receipt of the final
report.
