Current through Register Vol. 56, No. 6, March 18, 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.
