Current through Register Vol. 56, No. 18, September 16, 2024
(a) An agency
that finds that there is a basis on which to file or issue a charging document
to commence an enforcement proceeding against a person, at its discretion in
appropriate circumstances and consistent with applicable law, may pursue
measures to encourage the person to comply with the agency's rules rather than
impose discipline or penalties.
(b)
In exercising its discretion, the agency may consider, by way of example and
not limitation, the following:
1. Whether the
person made a good faith effort to comply;
2. The impact of the alleged violation on the
quality of the product or service provided;
3. The impact of the alleged violation on the
consumer for whom the product or service was provided;
4. The impact of the alleged violation on the
public health, safety and welfare;
5. Whether the alleged violation is a first
time violation or the same or similar to violations previously committed by the
person;
6. Whether the alleged
violation is isolated paperwork or procedural regulatory noncompliance;
and/or
7. The seriousness of the
alleged violation.
(c)
Examples of agency measures to encourage compliance shall include, but not be
limited to:
1. Issuing a letter of admonition
or other warning to the alleged violator, which, unless otherwise provided by
law, shall not be public information;
2. Suspending the obligation to pay fines or
penalties subject to continuing compliance with agency rules;
3. Obtaining the agreement of the alleged
violator, as a condition for continued, reinstated or renewed licensure, to
secure medical or such other professional treatment as may be necessary to
properly discharge licensee functions;
4. Obtaining the agreement of the alleged
violator, as a condition for continued, reinstated or renewed licensure, to
submit to any medical or diagnostic testing and monitoring or psychological
evaluation that may be required to evaluate whether continued practice may
jeopardize the safety and welfare of the public;
5. Obtaining the agreement of the alleged
violator, as a condition for continued, reinstated or renewed licensure, to
submit to an assessment of skills to determine whether the licensee can
continue to practice with reasonable skill and safety, and to take and
successfully complete educational training determined by the agency to be
necessary;
6. Obtaining the
agreement of the alleged violator to undergo corrective training or
instruction;
7. Obtaining the
agreement of the alleged violator to participate in consumer outreach programs
conducted by the Division and to speak on topics selected by the Division;
and
8. Obtaining the agreement of
the alleged violator to contribute to the consumer fraud education
fund.
(d) Nothing
contained in this subchapter shall limit, diminish or abrogate the authority of
an agency in the event of a violation to take such action as is available to it
under applicable law or agency rule.
