(a)

1. (1)

   1. (A) The following civil penalties pertaining to classified violations may be assessed by the Director of the Office of Long-Term Care against long-term care facilities.
   2. (B) In the case of Class A violations, the following civil penalties shall be assessed at the amount outlined in this subpart.
   3. (C) In the case of Class B, Class C, or Class D violations, the director, in his or her discretion, may:

(i) Elect to assess the civil penalties as outlined in this subpart; or

1. (ii) Allow a specified period of time for correction of said violation or violations.

2. (2)

   1. (A)

      1. (i) Class A violations are subject to a civil penalty not to exceed two thousand five hundred dollars ($2,500) for the first violation.
      2. (ii) A second Class A violation occurring within a six-month period from the first violation shall result in a civil penalty of five thousand dollars ($5,000).
      3. (iii) The third Class A violation occurring within a six-month period from the first violation:

(b) (b) May result in proceedings being commenced for revocation of licensure of the facility.

1. (B) See 20 CAR § 401-902 for a list of Class A violations.

2. (3)

   1. (A)

      1. (i) Class B violations are subject to a civil penalty not to exceed one thousand dollars ($1,000).
      2. (ii) A second Class B violation occurring within a six-month period shall be subject to a civil penalty of two thousand dollars ($2,000).
      3. (iii) A third Class B violation occurring within a six-month period from the first violation:

(b) (b) May result in proceedings being commenced for revocation of the licensure of the facility.

1. (B) All Class B violations shall be based on a point system as contained in this subpart.

   1. (C) See 20 CAR § 401-903 for a list of Class B violations.

2. (4)

   1. (A)

      1. (i) Class C violations are subject to a civil penalty not to exceed five hundred dollars ($500) for each violation.
      2. (ii) Each subsequent Class C violation within a six-month period from the first violation shall subject the facility to a civil penalty double that of the preceding violation until a maximum of one thousand dollars ($1,000) per violation is reached.
   2. (B) All Class C violations shall be based on a point system as contained in this subpart.
   3. (C) See 20 CAR § 401-904 for a list of Class C violations.

3. (5)

   1. (A)

      1. (i) Class D violations are subject to a civil penalty not to exceed two hundred fifty dollars ($250) for each violation.
      2. (ii) Each subsequent Class D violation occurring within a six-month period from the first violation shall subject the facility to a civil penalty double that of the preceding violation until a maximum of five hundred dollars ($500) is reached.
   2. (B) All Class D violations shall be based on a point system as contained in this part.
   3. (C) See 20 CAR § 401-905 for a discussion of Class D violations.
4. (6) In no event may the aggregate civil penalties assessed for violations in any one (1) month exceed five thousand dollars ($5,000).

(b) In determining whether a civil penalty is to be assessed and in affixing the amount of the penalty to be imposed, the director shall consider:

1. (1) The gravity of the violation, including the probability that death or serious physical harm to a resident will result or has resulted;
2. (2) The severity and scope of the actual or potential harm;
3. (3) The extent to which the provisions of the applicable statutes or rules were violated;

4. (4)

   1. (A) The good faith exercised by the licensee.

   2. (B) Indications of good faith include, but are not limited to:

      1. (i) Awareness of the applicable statutes and rules and reasonable diligence in securing compliance;
      2. (ii) Prior accomplishments manifesting the licensee's desire to comply with the requirements;
      3. (iii) Efforts to correct; and
      4. (iv) Any other mitigating factors in favor of the licensee;
5. (5) Any relevant previous violations committed by the licensee; and

6. (6) The financial benefit to the licensee of committing or continuing the violation.

   1. (c)
7. (1) The director shall assign value points to conditions or occurrences, and said value points shall represent a base to which the considerations specified in subsection (b) of this section shall be applied by the director prior to assessment of a monetary civil penalty.

8. (2) Each value point shall represent a base assessment of one dollar ($1.00).

   1. (d) Assessment of a civil penalty provided by this section shall not affect the right of the Office of Long-Term Care to take such other action as may be authorized by law or rule.