411-058-0090 Administrative Sanctions and Civil Penalties (1) The Department may impose an administrative sanction or a civil penalty against a referral agent for noncompliance with these rules, as follows: (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 an administrative sanction has been imposed; or (d) The referral agent fails to comply with a final order of the Department imposing an administrative sanction. (e) The referral agent has been substantiated for abuse after a report issued under ORS 124.071 or 441.650. (2) CIVIL PENALTIES. The Department may impose civil penalties as follows: (a) $750 on a long term care referral agent that is not registered with the Department. If the long term care referral agent fails to apply for registration, then this civil penalty will increase on the following schedule, up to: (A) $1,500, after failing to apply for registration within 30 calendar days of notice of non-compliance. (B) $3,000, after failing to register within 60 calendar days of notice of non-compliance. (C) $6,000, after failing to register within 90 calendar days of notice of non-compliance. (D) $10,000, after failing to register within 120 or more calendar days of notice of non-compliance. (b) $500 per violation for failure to provide a client or their legal representative a disclosure statement. (c) Not more than $500 per violation for employing an individual who has not completed a background check and has not been hired on a preliminary basis, as described in OAR 411-058-0080. Failure to correct this violation within seven business days of notice of non-compliance shall result in a penalty of up to $1,000 per violation. Subsequent failure to correct this violation within seven business days of the second notice of non-compliance shall result in a penalty of up to $250 per violation, per business day until the violation is corrected. (d) Maximum of $2,500 per violation if a client’s placement information is shared or sold without obtaining the client’s consent, as described in OAR 411-058-0040. (e) Maximum of $2,500 per violation if a referral agent refers a client to a facility in which the referral agent or an immediate family member of the referral agent has an ownership interest. (f) Maximum of $1,000 per violation if a referral agent fails to stop contacting a client who has requested in writing that the referral agent stop contacting that client. (g) Maximum of $500 per violation for non-compliance of client records requirements as described in OAR 411-058-0050. (h) $1,000 for failure to maintain General Liability insurance, as described in OAR 411-058-0070. (i) Maximum of $250 per violation for any general violation not otherwise specified in this rule. Statutory/Other Authority: ORS 409.050, 410.070 & 443.373 Statutes/Other Implemented: ORS 409.050, 410.070 & 443.373 History: APD 44-2022, amend filed 09/06/2022, effective 09/15/2022 APD 18-2018, adopt filed 06/29/2018, effective 07/01/2018