(a)  The surveyor shall identify and notify the facility of areas of noncompliance resulting from a survey which may be violations of patients' rights contained in G.S. 131E-117 or rules contained in this Subchapter.  The facility may submit additional written information which was not available at the time of the visit for evaluation by the surveyor. The surveyor shall notify the facility if a decision is made, based on information received, not to recommend a penalty. If the decision is to recommend a penalty, the surveyor shall complete and submit an administrative penalty proposal, which includes the classification of the violation and penalty assessed in compliance with G.S. 131E-129, to the Nursing Home Licensure & Certification Section designee.  The designee shall determine the type and amount of the penalty to be submitted for consideration. The penalty proposal shall then be submitted to the Section administrative penalty monitor for processing.

(b)  The Nursing Home Licensure & Certification Section shall notify the licensee by certified mail within 10 working days from the time the penalty proposal is received by the Section administrative penalty monitor that an administrative penalty is being considered.

(c)  The licensee shall have 10 working days from receipt of the penalty proposal notification to provide the Section with any additional written information relating to the proposed administrative penalty.

(d)  If the penalty recommendation is classified as a Type B violation and is not a repeat violation as defined by G.S. 131E-129, the licensee shall be notified of the type and amount of penalty and may accept the recommendation instead of review by the Penalty Review Committee.  If the penalty recommendation is accepted, the licensee shall notify the administrative penalty monitor by certified mail within five working days following receipt of the recommendation. The licensee must include payment of the penalty with the notification. If payment is not received, the recommendation shall be forwarded to the Penalty Review Committee.

(e)  The Penalty Review Committee shall review a recommended penalty proposal when it is a: Type A1 violation; Type A2 violation that has not been corrected; Type B violation that has been cited during the previous 12 months or within the time period of the previous licensure inspection, whichever time period is longer; or a Type B violation as provided in Paragraph (d) of this Rule which is not accepted by the licensee.

(f)  If the Penalty Review Committee determines that the licensee has violated applicable rules or statutes, the Penalty Review Committee shall recommend an administrative penalty type and amount for each violation pursuant to G.S. 131E- 129. Recommendations for nursing home penalties shall be submitted to the Chief of the Nursing Home Licensure & Certification Section who shall have five working days from the date of the Penalty Review Committee meeting to determine and impose administrative penalties for each violation and notify the licensee of his or her final decision by certified mail.

(g)  The licensee shall have 60 days from receipt of the notification of the Section Chief's final decision to pay the penalty as provided by G.S. 131E-129 or shall file a petition for contested case with the Office of Administrative Hearings within 30 days of the mailing of the notice of penalty imposition as provided by G.S. 131E-2.


History Note:        Authority G.S. 131D-34; 131E-104; 143B-165;

Eff. August 3, 1992;

Amended Eff. March 1, 1995;

Transferred and recodified from 10 NCAC 03H .0221 Eff. January 10, 1996;

Amended Eff. July 1, 2014;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. March 22, 2015.