DHHS PENALTIES AND REMEDIES REVISION.

View NCGA Bill Details2011-2012 Session
House Bill 397 (Public) Filed Wednesday, March 16, 2011
REVISING PENALTIES AND REMEDIES CONCERNING HEALTH FACILITIES.
Intro. by Lewis.

Status: Ch. SL 2011-249 (House Action) (Jun 23 2011)
H 397/S.L. 2011-249

Bill Summaries:

  • Summary date: Jun 30 2011 - More information

    AN ACT REVISING PENALTIES AND REMEDIES CONCERNING HEALTH FACILITIES. Summarized in Daily Bulletin 3/17/11, 4/20/11, and 6/13/11. Enacted June 23, 2011. Effective June 23, 2011.


  • Summary date: Jun 13 2011 - More information

    Senate committee substitute makes the following changes to 2nd edition. Makes technical and clarifying changes only.


  • Summary date: Apr 20 2011 - More information

    House committee substitute makes the following changes to 1st edition.
    Amends GS 122C-24.1(a), which provides for penalties and remedies for facilities licensed under the Mental Health, Developmental Disabilities, and Substance Abuse Act, to clarify that, for a Type A2 Violation, the Department of Health and Human Services (DHHS) may or may not assess a penalty, taking into consideration compliance history, preventative measures, and facility response to previous violations (previous edition stated that no penalty would be assessed if the violation was corrected within the required time frame). Expands and clarifies the explanation for “Past Corrected Type A1 or Type A2 Violation” to mean either (1) the violation was not previously identified, or (2) the violation was discovered and reported by the facility; requires the violation to be corrected in either case. Directs DHHS to consider five factors when determining whether or not to assess a penalty for the violation. Makes similar changes to GS 131D-34 (concerning adult care homes) and GS 131E-129 (concerning health care facilities).
    Amends GS 122C-24.1(g), clarifying that any penalty imposed by DHHS commences on the date of the letter of notification of the penalty amount. Amends GS 131D-34(c1), clarifying that DHHS must make a written record of factors supporting the initial penalty available to affected parties, including the family member who serves as a responsible party or those persons with legal authority on behalf of the affected residents. Amends GS 131D-34(f), clarifying that any penalty imposed by DHHS commences on the date the violation was identified. Amends GS 131E-129(a)(1)e., requiring the person making the findings to send a report of findings to the facility within 15 working days (rather than 10 working days) for a Type A1 Violation. Makes additional clarifying changes.


  • Summary date: Mar 17 2011 - More information

    Revises penalties and remedies concerning facilities licensed (1) to assist individuals with needs for mental health, developmental disabilities, and substance abuse services [MH/DD/SA] (GS 122C-24.1), (2) as adult care homes (GS 131D-34), and (3) as health care facilities (GS 131E-129).
    Identifies four types of violations applicable to facilities for MH/DD/SA services, adult care homes, and health care facilities: (1) A1 Violation, (2) A2 Violation, (3) B Violation, and (4) Past Corrected Type A1 or A2 Violation. Current law authorizes the Department of Health and Human Services (DHHS) to impose an administrative penalty on MH/DD/SA services, adult care homes, and health care facilities. Provides that violations are to be classified and the penalties assessed according to the nature of the violation.
    GS 122C-24.1 (MH/DD/SA services). Identifies a Type A1 Violation as a violation of the regulations, standards, and requirements contained in Article 2 or Article 3 of GS Chapter 122C or applicable federal and state laws and regulations governing the licensure or certification of a facility that results in death or serious physical harm, abuse, neglect, or exploitation (was, results in death or serious physical harm, or results in substantial risk that death or serious physical harm will occur).
    GS 131D-34 (adult care homes). Identifies a Type A1 Violation as a violation of the regulations, standards, and requirements contained in GS 131D-21 or applicable federal and state laws and regulations governing the licensure or certification of a facility that results in death or serious physical harm, abuse, neglect, or exploitation (was, results in death or serious physical harm, or results in substantial risk that death or serious physical harm will occur).
    GS 131E-129 (health care facilities). Identifies a Type A1 Violation as a violation of the regulations, standards, and requirements contained in GS 131E-117 or applicable federal and state laws and regulations governing the licensure or certification of a facility that results in death or serious physical harm, abuse, neglect, or exploitation (was, results in death or serious physical harm, or results in substantial risk that death or serious physical harm will occur).
    A Type A2 Violation under all three statutory provisions is one that results in a substantial risk that death or serious physical harm, abuse, neglect, or exploitation will occur. A Past Corrected Type A1 or A2 Violation means a violation that has been corrected, but was not previously identified by DHHS or its authorized representative. A Type B Violation is a violation that is detrimental (was, which presents a direct relationship) to the health, safety, or welfare of any client, patient, or resident, but does not result in substantial risk that death or serious physical harm, abuse, neglect, or exploitation will occur.
    Makes the following changes to GS 122C-24.1, 131D-34, and 131E-129.
    Requires that the person making the findings make an immediate oral report of the specific findings to the facility concerning a Type A1 Violation, Type A2 Violation, and a Type B Violation and send a report of the findings to the facility within 15 working days of the investigation. Also directs the person making the findings to require (1) a written protection plan as to how the facility plans to immediately abate the violation in order to protect clients, patients, or residents from further risk or additional harm and (2) the facility to submit a correction plan to DHHS that describes the steps that the facility will take to achieve and maintain compliance. Provides criteria for when a penalty is to be assessed for Type A1, A2, and B Violations and sets parameters for determining the dollar amount of the penalty, including factors to be considered in determining the amount of the initial penalty. Also provides criteria for penalties for repeat violations. Provides that a penalty may not be assessed for a Past Corrected Type A1 or A2 Violation if (1) the violations were abated immediately and (2) the facility implemented corrective measures to achieve and maintain compliance. Authorizes the Secretary to order a facility to provide staff training in lieu of assessing all or some of the administrative penalty.
    Amends GS 131E-129 to provide that a facility wishing to contest a penalty must file its petition for a contested case Under GS Chapter 150B within 30 days after DHHS mails a notice of penalty to the licensee. Conforms GS 131E-129 with identical provisions in GS 122C-24.1 and 131D-34.
    Amends GS 131D-34 to provide that the clear proceeds of the civil penalties collected under this statute are to be remitted to the State Treasurer for deposit in accordance with state law. Directs DHHS (was, the Secretary of DHHS) to make a written record of its findings in determining the amount of the penalty and make the written record available to all affected parties including individuals who are lawfully designated by the affected resident to make health care decisions for the resident.


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