New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle U - Division of Criminal Justice Services › Chapter IV - General › Part 6157 - Limits On Administrative Expenses And Executive Compensation › Section 6157.7 - 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 sections
				  6157.3
				  or
				  6157.4 
				  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 commissioner or his or her designee determines, after
				  reviewing and considering any information submitted by the covered provider,
				  that such provider is not in compliance with the requirements of sections
				  6157.3
				  or
				  6157.4 
				  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 commissioner or his or
				  her designee.
(c) Corrective action
				  plan. Within 30 calendar days of receipt of the covered provider's CAP, the
				  commissioner or his or her 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 commissioner or his or her
				  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 commissioner or his or her
				  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
				  division or the provider shall be required. If the commissioner or his or her
				  designee determines that the CAP has not been fully and properly implemented
				  within the designated corrective action period, the commissioner or his or her
				  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 commissioner or his or her designee 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 commissioner or his
				  or her designee.