Tenn. Comp. R. & Regs. 0480-01-.15 - DISCIPLINARY ACTIONS AND CIVIL PENALTIES
(1) Upon a finding
by the Board that a licensed dispensing optician or apprentice dispensing
optician has violated any provision of the T.C.A. §§ 63-14-101,
et.
seq., or these rules, the
Board may impose any of the following actions separately or in any combination
which is deemed appropriate to the offense.
(a) Advisory Censure - This is a written
action issued to the licensed dispensing optician or apprentice dispensing
optician for minor infractions. It is informal and advisory in nature and does
not constitute a formal disciplinary action.
(b) Formal Censure or Reprimand - This is a
written action issued to a licensed dispensing optician or apprentice
dispensing optician for one time and less severe violations. It is a formal
disciplinary action.
(c) Probation
- This is a formal disciplinary action which places a licensed dispensing
optician or apprentice dispensing optician on close scrutiny for a fixed period
of time. This action may be combined with conditions which must be met before
probation will be lifted and may restrict the individual's activities during
the probationary period.
(d)
Licensure Suspension - This is a formal disciplinary action which suspends an
individual's right to practice for a fixed period of time. It contemplates the
re-entry of the individual into the practice under the license previously
issued.
(e) Licensure Revocation -
This is the most severe form of disciplinary action which removes an individual
from the profession and terminates the license previously issued. If revoked,
it relegates the violator to the status he possessed prior to application for
licensure. However, the Board may in its discretion allow the reinstatement of
a revoked license upon conditions and after a period of time it deems
appropriate. No petition for reinstatement and no new application for licensure
from a person whose license was revoked shall be considered prior to the
expiration of at least one year unless otherwise stated in the Board's
Revocation Order.
(f) Conditions -
Any action deemed appropriate by the board to be required of an individual
disciplined during any period of probation or suspension or as a prerequisite
to the lifting of probation or suspension or the reinstatement of a revoked
license.
(g) Civil penalty - A
monetary disciplinary action assessed by the Board pursuant to paragraph (4) of
this rule.
(h) Once ordered,
probation, suspension, revocation, assessment of a civil penalty, or any other
condition of any type of disciplinary action may not be lifted unless and until
the licensee petitions, pursuant to paragraph (2) of this rule, and appears
before the Board after the period of initial probation, suspension, revocation,
or other conditioning has run and all conditions placed on the probation,
suspension, revocation, have been met, and after any civil penalties assessed
have been paid.
(2)
Order of Compliance - This procedure is a necessary adjunct to previously
issued disciplinary orders and is available only when a petitioner has
completely complied with the provisions of a previously issued disciplinary
order, including an unlicensed practice civil penalty order, and wishes or is
required to obtain an order reflecting that compliance.
(a) The Board will entertain petitions for an
Order of Compliance as a supplement to a previously issued order upon strict
compliance with the procedures set forth in subparagraph (b) in only the
following three (3) circumstances:
1. When the
petitioner can prove compliance with all the terms of the previously issued
order and is seeking to have an order issued reflecting that compliance;
or
2. When the petitioner can prove
compliance with all the terms of the previously issued order and is seeking to
have an order issued lifting a previously ordered suspension or probation;
or
3. When the petitioner can prove
compliance with all the terms of the previously issued order and is seeking to
have an order issued reinstating a license previously revoked.
(b) Procedures
1. The petitioner shall submit a Petition for
Order of Compliance, as contained in subparagraph (c), to the Board's
Administrative Office that shall contain all of the following:
(i) A copy of the previously issued order;
and
(ii) A statement of which
provision of subparagraph (a) the petitioner is relying upon as a basis for the
requested order; and
(iii) A copy
of all documents that prove compliance with all the terms or conditions of the
previously issued order. If proof of compliance requires testimony of an
individual(s), including that of the petitioner, the petitioner must submit
signed statements from every individual the petitioner intends to rely upon
attesting, under oath, to the compliance. The Board's consultant and
administrative staff, in their discretion, may require such signed statements
to be notarized. No documentation or testimony other than that submitted will
be considered in making an initial determination on, or a final order in
response to, the petition.
2. The Board authorizes its consultant and
administrative staff to make an initial determination on the petition and take
one of the following actions:
(i) Certify
compliance and have the matter scheduled for presentation to the Board as an
uncontested matter; or
(ii) Deny
the petition, after consultation with legal staff, if compliance with all of
the provisions of the previous order is not proven and notify the petitioner of
what provisions remain to be fulfilled and/or what proof of compliance was
either not sufficient or not submitted.
3. If the petition is presented to the Board
the petitioner may not submit any additional documentation or testimony other
than that contained in the petition as originally submitted.
4. If the Board finds that the petitioner has
complied with all the terms of the previous order an Order of Compliance shall
be issued.
5. If the petition is
denied either initially by staff or after presentation to the Board and the
petitioner believes compliance with the order has been sufficiently proven the
petitioner may, as authorized by law, file a petition for a declaratory order
pursuant to the provisions of T.C.A. § 4-5-223 and rule
1200-10-1-.11.
(c) Form
Petition
Click to view Image
(3) Order Modifications - This procedure is
not intended to allow anyone under a previously issued disciplinary order,
including an unlicensed practice civil penalty order, to modify any findings of
fact, conclusions of law, or the reasons for the decision contained in the
order. It is also not intended to allow a petition for a lesser disciplinary
action, or civil penalty other than the one(s) previously ordered. All such
provisions of Board orders were subject to reconsideration and appeal under the
provisions of the Uniform Administrative Procedures Act (T.C.A. §§
4-5-301, et seq.). This procedure is not available as a substitute for
reconsideration and/or appeal and is only available after all reconsideration
and appeal rights have been either exhausted or not timely pursued. It is also
not available for those who have accepted and been issued a reprimand.
(a) The Board will entertain petitions for
modification of the disciplinary portion of previously issued orders upon
strict compliance with the procedures set forth in subparagraph (b) only when
the petitioner can prove that compliance with any one or more of the conditions
or terms of the discipline previously ordered is impossible. For purposes of
this rule the term "impossible" does not mean that compliance is inconvenient
or impractical for personal, financial, scheduling or other reasons.
(b) Procedures
1. The petitioner shall submit a written and
signed Petition for Order Modification on the form contained in subparagraph
(c) to the Board's Administrative Office that shall contain all of the
following:
(i) A copy of the previously issued
order; and
(ii) A statement of why
the petitioner believes it is impossible to comply with the order as issued;
and
(iii) A copy of all documents
that proves that compliance is impossible. If proof of impossibility of
compliance requires testimony of an individual(s), including that of the
petitioner, the petitioner must submit signed and notarized statements from
every individual the petitioner intends to rely upon attesting, under oath, to
the reasons why compliance is impossible. No documentation or testimony other
than that submitted will be considered in making an initial determination on,
or a final order in response to, the petition.
2. The Board authorizes its consultant and
administrative staff to make an initial determination on the petition and take
one of the following actions:
(i) Certify
impossibility of compliance and forward the petition to the Office of General
Counsel for presentation to the Board as an uncontested matter; or
(ii) Deny the petition, after consultation
with legal staff, if impossibility of compliance with the provisions of the
previous order is not proven and notify the petitioner of what proof of
impossibility of compliance was either not sufficient or not
submitted.
3. If the
petition is presented to the Board the petitioner may not submit any additional
documentation or testimony other than that contained in the petition as
originally submitted.
4. If the
petition is granted a new order shall be issued reflecting the modifications
authorized by the Board that it deemed appropriate and necessary in relation to
the violations found in the previous order.
5. If the petition is denied either initially
by staff or after presentation to the Board and the petitioner believes
impossibility of compliance with the order has been sufficiently proven the
petitioner may, as authorized by law, file a petition for a declaratory order
pursuant to the provisions of T.C.A. § 4-5-223 and rule
1200-10-1-.11.
(c) Form
Petition
Click to view Image
(4) Civil Penalties
(a) Purpose - The purpose of this is to set
out a schedule designating the minimum and maximum Civil Penalties which may be
assessed pursuant to T.C.A. §63-1-134.
(b) Schedule of Civil Penalties
1. A Type A Civil Penalty may be imposed
whenever the board finds a person who is required to be licensed, certified,
permitted, or authorized by the board to be guilty of a willful and knowing
violation of the Practice Act, or regulations promulgated pursuant thereto, to
such an extent that there is, or is likely to be, an imminent, substantial
threat to the health, safety and welfare of an individual consumer or the
public. For the purpose of this section, willfully and knowingly practicing
optical dispensing without a permit, license, certification, or other
authorization from the Board is one of the violations of the Dispensing
Optician Practice Act for which a Type A Civil Penalty is assessable.
2. A Type B Civil Penalty may be imposed
whenever the board finds the person required to be licensed, certified,
permitted, or authorized by the Board is guilty of a violation of the
Dispensing Optician Practice Act or regulations promulgated pursuant thereto in
such manner as to impact directly on the care of consumers or the
public.
3. A Type C Civil Penalty
may be imposed whenever the board finds the person required to be licensed,
certified, permitted, or authorized by the Board is guilty of a violation of
the Dispensing Optician Practice Act or regulations promulgated pursuant
thereto, which are neither directly detrimental to the consumers or public, nor
directly impact their care, but have only indirect relationship to consumer
care or the public.
(c)
Amount of Civil Penalties
1. Type A Civil
Penalties shall be assessed in the amount of not less than $500 or more than
$1,000.
2. Type B Civil Penalties
may be assessed in the amount of not less than $100 and not more than
$500.
3. Type C Civil Penalties may
be assessed in the amount of not less than $50 and not more than
$100.
(d) Procedures for
Assessing Civil Penalties
1. The Division of
Health Related Boards may initiate a Civil Penalty assessment by filing a
Memorandum of Assessment of Civil Penalty. The Division shall state in the
memorandum the facts and law upon which it relies in alleging a violation, the
proposed amount of the civil penalty, and the basis for such penalty. The
Division may incorporate the Memorandum of Assessment of Civil Penalty with a
Notice of Charges which may be issued attendant thereto.
2. Civil Penalties may also be initiated and
assessed by the Board during consideration of any Notice of Charges. In
addition, the Board may, upon good cause shown, assess a type and amount of
Civil Penalty which was not recommended by the Division.
3. In assessing the Civil Penalties pursuant
to these rules the board may consider the following factors:
(i) Whether the amount imposed will be a
substantial economic deterrent to the violator;
(ii) The circumstances leading to the
violation;
(iii) The severity of
the violation and the risk of harm to the public;
(iv) The economic benefits gained by the
violator as a result of non-compliance; and
(v) The interest of the public.
4. All proceedings for the
assessment of civil penalties shall be governed by the contested case
provisions of Title 4, Chapter 5, Tennessee Code Annotated.
Notes
Authority: T.C.A. §§ 4-5-202, 4-5-204, 4-5-217, 4-5-223, 63-1-122, 63-14-101, 63-14-110, and 63-14-111.
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