Tenn. Comp. R. & Regs. 0880-14-.07 - DISCIPLINARY GROUNDS, ACTIONS, AND CIVIL PENALTIES

(1) Actions - Upon a finding by the Committee that any provision of the Polysomnography Act or the rules promulgated pursuant thereto has been violated, the Committee may impose any of the following actions separately or in any combination deemed appropriate to the offense.

(a) "Letter of warning" This is a written action. It is informal and advisory in nature and does not constitute a formal disciplinary action.

(b) "Formal reprimand" This is a written action. It is a formal disciplinary action.

(c) "Probation" This is a formal disciplinary action for a fixed period of time.

(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 licensure previously issued.

(e) "Licensure revocation" This is a formal disciplinary action which removes an individual from the practice of the profession and terminates the license previously issued. No petition for reinstatement and no new application for licensure from a person whose license was revoked shall be considered prior to the expiration of at least one (1) year unless otherwise stated in the Committee's revocation order.

(f) Conditions - Any action deemed appropriate by the Committee to be required of a disciplined licensee in any of the following circumstances:

1. During any period of probation, suspension;

2. As a prerequisite to the lifting of probation or suspension; or

3. As a stand-alone requirement or requirements in any disciplinary action.

(g) Civil penalty - A monetary disciplinary action assessed by the Committee pursuant to paragraph three (3) of this rule.

(h) Once ordered, probation, suspension, assessment of a civil penalty, or any other condition of any type of disciplinary action may not be lifted unless and until the licensee appears before the Committee after the period of initial probation, suspension , or other conditioning has run and all conditions placed on the probation, suspension, have been met, and after any civil penalties assessed have been paid.

(2) Order Modifications - A licensee can petition the Committee to modify a previously issued disciplinary order if the licensee cannot fulfill the conditions of the imposed discipline. This procedure is only available after all reconsideration and appeal rights have been either exhausted or not timely pursued. This procedure cannot be used to modify any findings of fact, conclusions of law, or the reasons for the decision contained in the order.

(a) The Committee 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 to the Committee's 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 Committee authorizes 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 Committee as an uncontested matter; or

(ii) Deny the petition, after consultation with the Office of General Counsel, 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 granted, a new order shall be issued reflecting the modifications authorized by the Committee that it deemed appropriate and necessary in relation to the violations found in the previous order.

4. If the petition is denied either initially by staff or after presentation to the Committee and the petitioner believes impossibility of compliance with the order has been sufficiently proven, the petitioner may request, in writing, to appear before the Committee not less than thirty (30) days before the next regularly scheduled meeting of the Committee.

(3) Civil Penalties - The purpose of this rule 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.

(a) Schedule and Amount of Civil Penalties

1. A Type A civil penalty may be imposed whenever the Committee finds the person who is required to be licensed, permitted, or authorized by the Committee is guilty of a willful and knowing violation of T.C.A. § 63-31-101, et seq. 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 client or the public. For purposes of this section, a type A penalty may be imposed in instances including but not limited to, those in which a person willfully and knowingly is or was practicing Polysomnography without a license from the Committee. Type A civil penalties shall be assessed in the amount of not less than $500 and not more than $1,000.

2. A Type B civil penalty may be imposed whenever the Committee finds the person required to be licensed, permitted, or authorized by the Committee is guilty of a violation of T.C.A. § 63-31-101, et seq. or regulations promulgated pursuant thereto in such manner as to impact directly on the care of clients or the public. Type B civil penalties may be assessed in the amount of not less than $100 and not more than $500.

3. A Type C civil penalty may be imposed whenever the Committee finds the person required to be licensed, permitted, or authorized by the Committee is guilty of a violation of T.C.A. § 63-31-101, et seq. or regulations promulgated pursuant thereto, which is neither directly detrimental to the clients or public, nor directly impacts their care, but only has an indirect relationship to client care or the public. Type C civil penalties may be assessed in the amount of not less than $50 and not more than $100.

(b) Procedures for Assessing Civil Penalties

1. During a contested case proceeding the Committee may assess civil penalties in a type and amount which was not recommended by the Office of General Counsel.

2. In assessing the civil penalties pursuant to these rules the Committee 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 noncompliance; and

(v) The interest of the public.

3. All proceedings for the assessment of civil penalties shall be governed by the contested case provisions of T.C.A. Title 4, Chapter 5.

Notes

Tenn. Comp. R. & Regs. 0880-14-.07

Original rule filed March 2, 2010; effective May 31, 2010.

Authority: T.C.A. §§ 63-1-122, 63-1-134, 63-31-104, 63-31-109, and 63-31-110.