Aging and Disability Services Information for Professionals

AGING AND DISABILITY SERVICES ADMINISTRATION

Residential Care Services
Operational Principles and Procedures for Civil Fines

Purpose

To implement statutes and regulations regarding the department's authority to impose civil fines in a consistent and uniform manner throughout the state subsequent to violations resulting in actual or potential harm to residents; and/or repeated or uncorrected violations in Boarding Homes.
Authority

RCW 18.20 Boarding Homes (BH)
WAC 388-78A- BH Minimum Licensing Requirements
WAC 388-110-260(1), (2), (3) Boarding Homes (BH) Contract Requirements
RCW 43.20A.215 Department of Social and Health Services
Operational Principles
1. Civil fines will be recommended and may be imposed for violations that resulted in actual or potential serious harm to residents; or, were repeated or uncorrected violations of statutes and regulations by licensees or by individuals operating without a license.
2. Civil fines may be recommended for violations that resulted in actual or potential minimal or moderate harm to residents when warranted.
3. Timeframes identified within this procedure to complete and process civil fine recommendations are intended as a guide to staff and may be extended with management's approval, except as otherwise specified in statute or regulation.
4. Licensees will be notified of a possible enforcement action by certified letter and a Statement of Deficiencies report, if 1) citations demonstrated actual or potential harm to residents; or 2) demonstrated that the same requirement, subsection and issue were not met on two or more occasions in a fifteen month period (or, since the date of the last full inspection, whichever period of time is longer).
5. Licensees will be notified of a civil fine determination within thirty calendar days of completion of the last day of data collection.
6. Licensees will be given an opportunity to question and/or clarify the Statement of Deficiencies report and/or the imposition of civil fine(s) via the department's informal dispute resolution process.
7. Licensees will be given an opportunity to contest imposition of a civil fine via the administrative hearing process.
8. Payment of civil fines by the licensee will be postponed pending completion of the informal dispute resolution process or administrative hearing process.
9. Civil fine packets may be reviewed by Regional Administrators for any purpose including, but not limited to, quality assurance activities and information sharing within RCS' management structure.
Procedure
1. Civil Fine Recommendations
  1. RCS staff should:
    1. Document violations that resulted in actual or potential harm to residents; or, were repeated or uncorrected violations of statutes including dates of pertinent repeated or uncorrected violations by licensees on a Statement of Deficiencies report within four working days of completion of data collection.
    2. Determine the scope and severity of violations and determine if a civil fine recommendation(s) is warranted.
    3. Initiate civil fine recommendations if deficiency citations:
      1. demonstrate actual or potential serious harm to residents; or,
      2. were repeated or uncorrected on two or more occasions in the past fifteen months (or since the date of the last full inspection, whichever period of time is longer); or,
      3. demonstrated minimal or moderate harm to residents and analysis of the home's compliance history demonstrates inability or refusal to comply with statutes and regulations.
    4. Complete a packet of information for each violation for which a civil fine recommendation is made. Each fining packet should include:
      1. a completed and signed Civil Fine Recommendation Form (See Attachment).
      2. a copy of the specific deficiency citation for which the fine is recommended. Circle the deficiency citation.
      3. a copy of the specific deficiency citation(s) in which the same requirement, subsection and issue were not met on two or more occasions in a fifteen month period or since the date of the last full inspection whichever period of time is greater (if applicable). Circle applicable deficiency citations.
      4. one complete copy of the current Statement of Deficiencies report, with signature on page 1.
    5. Forward completed civil fine packet(s) and the original Statement of Deficiencies report to the Field Manager within four working days of completion of data collection.
2. Management Review of Civil Fine Recommendation Packet
  1. Field Managers should:
    1. Review, sign, and send the approved Statement of Deficiencies, resident and staff (when warranted) sample list and cover letter to the licensee per certified mail within six working days of completion of data collection. The letter should include the notation that further enforcement action may be taken (specify exact action only if a daily fine is recommended), criteria to complete an acceptable plan of correction, and, the process by which the licensee may request an informal dispute resolution meeting.
    2. Review, edit and approve completed civil fine packets to determine accuracy, adequacy, clarity, thoroughness and timeliness of the submission of recommendations.
    3. Verify:
      1. the deficiency citation demonstrates actual or potential harm or is repeated or is uncorrected and warrants a civil fine recommendation.
      2. the civil fine that will be imposed corresponds with the scope and severity of the deficiency citation and is correlated to the statute or regulation cited.
      3. the correct legal requirement (WAC) is identified for the enforcement action recommended.
      4. Accept the recommendation as submitted or modify or delete any portion. Field Managers will review changes in the civil fine packet with RCS staff.
      5. Sign and send accepted civil fine recommendation packets to the Enforcement Officer within fifteen working days of completion of data collection. Hold civil fine recommendation packet for 10 working days after licensee has received statement of deficiencies or until an IDR meeting has occurred.
      6. Send a copy of the acceptable Plan of Correction to the Enforcement Officer when received from the licensee.
      7. Notify the Enforcement Officer and secure agreement with the enforcement officer of proposed changes in the Statement of Deficiencies subsequent to completion of an informal dispute resolution meeting with the licensee.
  2. Enforcement Officers should:
    1. Review and approve completed civil fine packets to determine if a sufficient basis exists to approve the enforcement action recommendation.
    2. Accept the recommendation or modify or delete any portion. Discuss the reason for the modification or deletion with the Field Manager who will review changes with RCS staff.
    3. Obtain the Assistant Director's or Assistant Director designee's final approval and determination of the civil fine to be assessed to the licensee within twenty working days of completion of the last day of data collection.
    4. Notify the licensee of the imposition of a civil fine within thirty calendar days of completion of data collection via personal service and/or certified mail receipt of the enforcement letter and a copy of the Statement of Deficiency report. The letter should include the amount of the fine, when the fine goes into effect, hearing rights, informal dispute resolution (IDR) procedures and, the process of daily fines, when applicable. Upon consultation with RCS Assistant Director, civil fine letters may be held past 30 days pending an IDR process.
    5. Direct Headquarters support staff to send copies of enforcement cover letter(s) to the Field Manager and Regional Administrator.
    6. Direct Headquarters support staff to notify applicable parties (i.e., AAG, HCS, DDD, MH, Ombudsman, etc…) of enforcement actions initiated, via e-mail distribution of applicable enforcement letter(s).

Date: 02-28-02
Patricia K. Lashway, Director
Residential Care Services