481—67.17 (17A,231B,231C,231D) Civil penalties.
	 67.17(1) When civil penalties may be issued. Civil penalties may be issued when the director finds that any of the following has occurred:
	  a.   	 A program that does not comply with applicable requirements and the noncompliance results in imminent danger or a substantial probability of resultant death or physical harm to a tenant may be assessed a civil penalty of not more than $10,000.
	  b.   	 A program that continues to fail or refuses to comply with applicable requirements within prescribed time frames established by the department or approved by the department in the program’s plan of correction and the noncompliance has a direct relationship to the health, safety, or security of tenants may be assessed a civil penalty of not more than $5,000.
	  c.   	 A program that prevents, interferes with or attempts to impede in any way any duly authorized representative of the department in the lawful enforcement of applicable requirements may be assessed a civil penalty of not more than $1,000.
	  d.   	 A program that discriminates or retaliates in any way against a tenant, tenant’s family, or an employee of the program who has initiated or participated in any proceeding authorized by Iowa Code chapter 231B, 231C or 231D and the corresponding administrative rules may be assessed a civil penalty of not more than $5,000.
	 67.17(2) Duplicate civil penalties prohibited. The department shall not impose duplicate civil penalties on a program for the same set of facts and circumstances.
	 67.17(3) Factors in determining the amount of a civil penalty. The department shall consider the following factors when determining the amount of a civil penalty:
	  a.   	 The frequency and length of time the regulatory insufficiency occurred (i.e., whether the regulatory insufficiency was an isolated or a widespread occurrence, practice, or condition);
	  b.   	 The past history of the program as it relates to the nature of the regulatory insufficiency (the department shall not consider more than the current certification period and the immediately previous certification period);
	  c.   	 The culpability of the program as it relates to the reasons the regulatory insufficiency occurred;
	  d.   	 The extent of any harm to the tenants or the effect on the health, safety, or security of the tenants which resulted from the regulatory insufficiency;
	  e.   	 The relationship of the regulatory insufficiency to any other types of regulatory insufficiencies which have occurred in the program;
	  f.   	 The actions of the program after the occurrence of the regulatory insufficiency, including when corrective measures, if any, were implemented and whether the program notified the director as required;
	  g.   	 The accuracy and extent of records kept by the program which relate to the regulatory insufficiency, and the availability of such records to the department;
	  h.   	 The rights of tenants to make informed decisions;
	  i.   	 Whether the program made a good-faith effort to address a high-risk tenant’s specific needs and whether the evidence substantiates this effort.
	 67.17(4) Civil penalties due. The civil penalty shall be paid to the department within 30 days following the program’s receipt of the final report and demand letter. The program may appeal in accordance with rule 481—67.12(17A,231B,231D) or 481—67.14(17A,231C,85GA,SF394). If the program appeals, the civil penalty shall be deemed suspended until the appeal is resolved.
	 67.17(5) Reduction of civil penalty amount by 35 percent. If an assisted living program has been assessed a civil penalty, the civil penalty shall be reduced by 35 percent if both of the following requirements are met:
	  a.   	 The program does not request a formal hearing pursuant to rule 481—67.12(17A,231B,231D) or 481—67.14(17A,231C,85GA,SF394), or withdraws its request for formal hearing within 30 calendar days of the date that the civil penalty was assessed; and
	  b.   	 The civil penalty is paid and payment is received by the department within 30 calendar days of receipt of the final report.
[ARC 1055C, IAB 10/2/13, effective 1/1/14]