New York Codes, Rules and Regulations › Title 1 - DEPARTMENT OF AGRICULTURE AND MARKETS › Chapter X - Grant Programs › Part 400 - Limits On Administrative Expenses And Executive Compensation › Section 400.6 - Penalties

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Notice of
				preliminary determination of non-compliance. Whenever it is determined that a
				covered provider may not be in compliance with the requirements of section
				400.2
				or
				400.3 
				of this Part and has not obtained a waiver, the provider shall be notified in
				writing of the basis for that determination. Such notice shall provide the
				covered provider with an opportunity and a procedure to submit additional or
				clarifying information within 30 calendar days of the provider's receipt of
				such notice to demonstrate compliance with this Part. Failure to submit
				additional or clarifying information within the required time period shall
				result in the determination of non-compliance becoming final.
(b) Corrective action period. If the
				determination of non-compliance becomes final as set forth in subdivision (a)
				of this section or if the department or its designee determines, after
				reviewing and considering any information submitted by the covered provider,
				that such provider is not in compliance with the requirements of section
				400.2
				or
				400.3 
				of this Part, the provider shall receive notice of such determination and a
				notice to cure. Such notice shall allow the covered provider a period of not
				less than six months to correct the violation(s) identified (the corrective
				action period) prior to additional enforcement action or penalties being
				imposed, and shall require that the covered provider submit within 30 calendar
				days a corrective action plan (CAP) for approval by the department or its
				designee.
(c) Corrective action
				plan. Within 30 calendar days of receipt of the covered provider's CAP, the
				department or its designee shall either approve such CAP or request
				clarification or alterations. The covered provider shall make such alterations
				to the CAP as may be reasonably required by the department or its designee.
				Once the CAP has been approved and the covered provider notified, and unless
				otherwise provided in the approved CAP, the covered provider shall have six
				months to complete the CAP and comply with this Part.
(d) Failure to cure. At the conclusion of the
				period for implementation of an approved CAP, the department or its designee
				may request information from the covered provider to determine whether the CAP
				has been fully and properly completed. If it has been so completed, the matter
				shall be considered closed and no further action on the part of the department
				or the provider shall be required. If the department or its designee determines
				that the CAP has not been fully and properly implemented within the designated
				corrective action period, the department or its designee shall provide written
				notice to the provider and may take one or more of the following actions,
				taking into account the seriousness of the violations, the nature of the
				provider's services, and the provider's efforts to correct the violations, if
				any:
(1) At its sole discretion, modify the
				CAP and/or extend the time for the provider to complete
				implementation.
(2) Issue a final
				determination of non-compliance, together with a notice of the sanctions which
				the department seeks to impose. Such sanctions may include:
(i) redirection of State funds or
				State-authorized payments to be used to provide program services, where
				possible and consistent with Federal and State laws;
(ii) suspension, modification, limitation, or
				revocation of the provider's license(s) to operate program(s) for the delivery
				of program services;
(iii)
				suspension, modification or termination of contracts or other agreements with
				the covered provider; and
(iv) any
				other lawful actions or penalties deemed appropriate by the department or its
				designee.