419-300-0110 Administrative Sanctions and Civil Penalties The Department may impose an administrative sanction or a civil penalty against a referral agent for noncompliance with these rules (OAR 419-300-0000 – 419-300-0100), as follows: (1) ADMINISTRATIVE SANCTIONS: The Department may deny, suspend, revoke, or refuse to renew a registration when the Department finds: (a) There has been substantial failure to comply with these rules or where there is substantial noncompliance with local codes and ordinances or any other state or federal law or rule applicable to rights of clients receiving the services under these rules. (b) The application or renewal for the Certificate of Registration contains fraudulent information or material misrepresentations. (c) The referral agent fails to comply with a final order of the Department to correct a violation of these rules for which a certification action or administrative sanction has been imposed; or (d) The referral agent fails to comply with a final order of the Department imposing a certification action or administrative sanction. (e) The referral agent has been determined to have a potential disqualifying conviction or potential disqualifying condition under OAR 407-007-0281 or 407-007-0290 and after a final fitness determination was denied under OAR 407-007-0320 . (f) The referral agent has an incomplete fitness determination or a final fitness determination of denied in accordance with the Background Checks for Providers rules, OAR 407-007-0200 to 407-007-0370, without a subsequent background check approval for the position of referral agent. (2) CIVIL PENALTIES (a) The Department may impose the following Civil Penalty for violation of registration: (A) $750 when a referral agent refers a client to a program and the referral agent is not registered with the Department. If the referral agent knowingly fails to apply for registration, then this civil penalty may increase on the following schedule, up to: (B) $1,500, after failing to apply for registration within 30 calendar days of notice of non-compliance. (C) $3,000, after failing to register within 60 calendar days of notice of non-compliance. (D) $6,000, after failing to register within 90 calendar days of notice of non-compliance. (E) $10,000, after failing to register within 120 or more calendar days of notice of non-compliance. (b) The Department may impose a civil penalty not to exceed $500 for each violation, unless otherwise required by law, on any referral agent who violates any section of OAR 419-300-0000 through 419-300-0100. (c) The Department will consider the following factors in making a decision about the level of civil penalty imposed: (A) The past history of the referral agent incurring the penalty in taking all feasible steps or procedures necessary or appropriate to correct any violation. (B) Any prior violations of statutes or rules pertaining to the referral agent. (C) The immediacy and extent to which the violation threatens or places at risk the health, safety, and well-being of the client or the subject of placement. (d) Except as provided otherwise in section 2 (a) of this rule, for each violation by the referral agent the following civil penalty may be imposed: (A) $200, per violation if all three subsections of (c) of this rule favors the referral agent. (B) $300, per violation if two subsections of (c) of this rule favors the referral agent. (C) $400, per violation if one of the subsections of (c) of this rule favors the referral agent. (D) $500, per violation if no subsection of (c) of this rule favor the referral agent. Statutory/Other Authority: ORS 409.050, ORS 419B.005 - 419B.050 & ORS 418.351 - 418.357 Statutes/Other Implemented: ORS 409.050 History: OTIS 1-2025, amend filed 01/27/2025, effective 02/01/2025 OTIS 7-2024, minor correction filed 03/01/2024, effective 03/01/2024 DHS 7-2024, renumbered from 407-049-0110, filed 03/01/2024, effective 03/01/2024 DHS 8-2022, adopt filed 04/05/2022, effective 04/05/2022 DHS 22-2021, temporary adopt filed 10/08/2021, effective 10/08/2021 through 04/05/2022