Sec. 36.03.04.05. Corrective Action Plan

A. If the Director directs staff to implement a corrective action plan with a licensee, agency staff shall give written notice to a licensee that includes:

(1) A description of the alleged violation;

(2) A description of the possible sanctions; and

(3) The requirement for the licensee to submit a corrective action plan to the Director.

B. Contents of Corrective Action Plan.A corrective action plan shall include:

(1) Periodic monitoring or progress reports;

(2) Timelines for completing corrective action;

(3) Implementation of measures to guard against recurrence of the alleged violation; and

(4) Any other measures necessary to resolve the alleged violation.

C. Time for Implementing a Corrective Action Plan.

(1) Within 10 days of receipt of a notice under §A of this regulation, the licensee shall submit a corrective action plan to the Director, or the Director’s designee.

(2) The Director, or the Director’s designee, shall review the corrective action plan and inform the licensee whether the corrective action plan is acceptable.

(a) If the corrective action plan is acceptable, the licensee shall execute it immediately.

(b) If the corrective action plan is not acceptable, the licensee shall submit a revised plan immediately.

(3) If the licensee fails to submit an acceptable corrective action plan within the time described under §C(1) of this regulation, the Director may:

(a) Provide the licensee with additional time within which to submit a revised corrective action plan; or

(b) Initiate proceedings before the Commission for imposition of a penalty or sanction on the licensee.

(4) If the Director, or the Director’s designee, provided a licensee with a notice under §A of this regulation and did not receive a timely written response, the Commission may adopt a recommendation by the Director for imposition of a penalty or sanction.

D. Corrective Action Plan Outcome.

(1) After a licensee has completed, to the satisfaction of the Director or the Director’s designee, a corrective action plan, the alleged violation is resolved, except that the alleged violation may be:

(a) The basis of a subsequent corrective action plan, settlement, penalty, or sanction if a similar violation occurs; or

(b) Raised during a Commission hearing as part of the agency’s enforcement record for the licensee.

(2) If at any time during the corrective action period the Director, or the Director’s designee, determines that the licensee has made insufficient progress toward fulfilling a requirement of the corrective action plan, the Director may:

(a) For good cause, extend the time for completion of a corrective action plan; or

(b) Initiate proceedings before the Commission for imposition of a penalty or sanction on the licensee.

(3) If at the end of the corrective action period the licensee has failed to satisfactorily complete the corrective action plan, the Director may initiate proceedings before the Commission for imposition of a penalty or sanction on the licensee.