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The Enforcement Unit provides
support to Facilities and Services Licensing and each of its programs. The
types of services include, but are not limited to,
- Providing consultation with
inspections and investigations,
- Accumulating documents for
formal discovery requests in civil litigation,
- Reviewing policies,
procedures, legislation, and rules,
- Assisting with public
disclosure requests,
- Gathering information
regarding unlicensed and unauthorized activities and where applicable,
ensuring the activities become licensed,
- Requiring licensees whose
license has expired to immediately renew their licenses and pursuing
further action against those licensees who fail to comply,
- Preparing legal documents for
the initiation of administrative enforcement actions,
- Negotiating resolution of
administrative enforcement actions.
What are administrative enforcement actions?
Administrative
enforcement actions are formal actions taken against a regulated entity
alleging the violation of laws or rules pertaining to the entity’s
operation and seeking the imposition of sanctions. Sanctions may include
summary action, revocation, suspension, or modification of the license or
civil penalties (fines). Regulated entities are afforded an opportunity for
an adjudicative hearing to contest the allegations.
How do administrative enforcement actions fit into FSL’s regulatory
scheme?
A primary purpose
of Facilities and Services Licensing is to ensure compliance with standards
that provide for the health, safety, and well-being of persons who receive
care, treatment, or services from regulated entities. To achieve this
purpose, Facilities and Services Licensing inspects and evaluates the
entities to ensure that these standards and related laws are met. When there
are compliance problems, corrective action within a specified time is
required, and effectiveness of these actions is monitored. Inspections are
also provided to enhance the entities’ likelihood of meeting the
standards. In the majority of cases, enforcing the regulations by means of
inspections and investigations results in appropriate corrective action of
deficient conditions. Corrective action, however, may be insufficient to
address some situations. Administrative enforcement action, then, may be
necessary.
Who determines to pursue administrative enforcement actions?
Generally, a
situation potentially warranting administrative enforcement action comes to
the Enforcement Unit for possible action from conditions found during an
inspection or complaint investigation. The Enforcement Unit and the Program
initially determine whether a formal enforcement action is warranted and
arrive at a proposed action. Then, the Enforcement Unit and the Program
present the recommendation to the Director, who has the sole discretion to
determine the appropriate enforcement action for each case.
What are the responsibilities of the Enforcement Unit with administrative
enforcement actions?
The Enforcement
Unit provides consultation to the Programs and the Director concerning the
circumstances found during an inspection or investigation and assists in the
decision-making process regarding whether to pursue an administrative
enforcement action, and if so, which action to pursue. Once it is determined
that an administrative enforcement action will be initiated, the Enforcement
Unit is responsible for drafting the initiating documents for the action.
During the adjudication of
administrative enforcement actions, the Enforcement Unit: coordinates with
the department’s Adjudicative Clerk’s Office (ACO) and Office of
Professional Standards (OPS), assists the Assistant Attorney General (AAG)
with discovery and hearing preparations, negotiates settlements, and
monitors final orders for compliance. If the regulated entity fails to
comply with a final order, the Enforcement Unit may recommend additional
administrative enforcement action and the imposition of sanctions.
Consultation with the Program and the Director occurs during the Enforcement
Unit’s exercise of these responsibilities.
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