New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XXI - OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE SERVICES › Part 812 - Limits On Administrative Expenses And Executive Compensation › Section 812.8 - 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
				812.4
				or
				812.5 
				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 office 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
				812.4
				or
				812.5 
				of this regulation, 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 office or its
				designee.
(c) Corrective action
				plan. Within 30 calendar days of receipt of the covered provider's CAP, the
				office 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 office 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 office 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 office or the provider shall be
				required. If the office or its designee determines that the CAP has not been
				fully and properly implemented within the designated corrective action period,
				the office 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 office 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 office or its designee.