65G-14.005. Disciplinary Action

(1) The purpose of this rule is to notify Qualified Organizations of the ranges of penalties that will routinely be imposed in response to a Qualified Organization’s violation(s) of applicable Agency rule(s) or statute(s) and, if applicable, failure to timely correct the violation(s). The Agency will also consider any aggravating and mitigating factors as discussed in this rule when determining the appropriate penalty.

(2) The ranges of penalties are based upon a single count violation of each provision listed. Multiple counts of the violated provisions or a combination of violations may result in a higher penalty than that for a single, isolated violation.

(3) If a Qualified Organization wishes to voluntarily relinquish its authorization to provide support coordination services, then the Qualified Organization may do so only with the approval of the Agency. If the voluntary relinquishment is accepted by the Agency at the time an investigation is underway, or is anticipated, or when a disciplinary action is in progress, the Agency shall continue to follow through with any determination that a violation has occurred or that the disciplinary action in progress has not been completed, and shall consider such information with any future application to operate as a Qualified Organization.

(4) The Agency may impose more than one type of disciplinary action if it appears necessary to achieve compliance or protect the health, safety, and welfare of Agency clients. The ranges of penalties are as follows:

Violation	First Offense	Additional Offense(s)
(a) Failure to employ four or more support coordinators. (Section 393.0663(2)(b)1., F.S., and subsection 65G-14.002(7), F.A.C.)	Moratorium on new client assignments until minimum requirements are met. If the QO does not meet the minimum WSC requirements within 90 days.	Moratorium on new client assignments, fine up to $100 per day.
(b) Failure of any directors, supervisors, owners, operators, and managers who directly oversee the operations of any Qualified Organization in the State of Florida to have at least a bachelor’s degree from an accredited college or university and two years of experience providing services to persons with developmental disabilities. (Paragraph 65G-14.002(3)(a), F.A.C.)	Corrective Action Plan and/or fine per occurrence up to $500.	Corrective Action Plan, fine per occurrence up to $1,000.
(c) Failure of any directors, supervisors, operators, and managers who directly oversee Support Coordinators in the State of Florida to complete Level 1 Training as described in Rule 65G-10.004, F.A.C., regardless of whether they are Support Coordinators. (Paragraph 65G-14.002(3)(b), F.A.C.)	Fine per occurrence up to $500.	Fine per occurrence up to $1,000.
(d) Failure of any director, supervisor, operator, or manager who directly oversees Support Coordinators in the State of Florida to attend a minimum of six (6) monthly support coordinator meetings with Agency staff each year, including at least one meeting in each region served by that particular director, supervisor, operator, or manager. (Paragraph 65G-14.002(3)(c), F.A.C.)	Fine per occurrence up to $500.	Fine per occurrence up to $1,000.
(e) Failure to report to the Agency a violation of ethical or professional conduct by Support Coordinators employed by that organization within seven (7) calendar days. (Section 393.0663(3)(a), F.S., and subsections 65G-14.003(1), (2), and 65G-14.0041(4), F.A.C.)	Corrective Action Plan and/or fine up to $250 per violation.	Fine up to $1,000 per violation.
(f) Failure to report any violation that could cause a client’s physical, mental, or emotional health to be significantly impaired to the Agency within 24 hours of discovering the violation. (Subsection 65G-14.003(1), F.A.C.)	Corrective Action Plan that includes re-training on zero tolerance and reporting requirements and/or fine up to $1,000 per violation.	Corrective Action Plan that includes re-training on zero tolerance and reporting requirements, fine up to $2,000 per violation.
(g) Failure to immediately report abuse, neglect, exploitation, or abandonment of a client to the Florida Abuse Hotline in compliance with Sections 415.1034 and 39.201, F.S. (Subsection 65G-14.003(2), F.A.C.)	Corrective Action Plan that includes re-training on zero tolerance and reporting requirements and/or a fine up to $1,000 per violation.	Corrective Action Plan that includes re-training on zero tolerance and reporting requirements, a fine up to $2,000 per violation.
(h) Failure to include all required information in any report to the Agency as required by subsection 14.003(2), F.A.C. (Rule 65G-14.003(2), F.A.C.)	Corrective Action Plan.	Corrective Action Plan and fine up to $100 per occurrence.
(i) Failure to maintain an active and accurate roster within the Clearinghouse to ensure all Support Coordinators have active and eligible level II background screenings. (Subsection 65G-14.003(3), F.A.C.)	Corrective Action Plan, and/or fine up to $250.	Corrective Action Plan, fine of up to $500 per person, per day.
(j) Failure to ensure that all Support Coordinators complete level II background screening upon hire and maintain eligible status within the Clearinghouse in accordance with Section 393.0655 and Chapter 435, F.S. (Subsection 65G-14.003(3), F.A.C.)	Corrective Action Plan that includes retraining on Background Screening requirements, and/or fine up to $500 per person, per day.	Corrective Action Plan, fine up to $1,000 per person, per day.
(k) Failure to provide each client or, if applicable, his or her legal representative, with an invitation to take a client satisfaction survey during each client’s annual support plan meeting. (Section 393.0663(3)(b), F.S., and subsection 65G-14.003(5), F.A.C.)	Fine up to $100 per occurrence.	Fine up to $250 per occurrence.
(l) Failure to maintain and enforce standards and procedures to ensure that its Support Coordinators are complying with their duties and responsibilities as described in Chapter 393, F.S.; Division 65G, F.A.C.; the iBudget Handbook, and, if applicable, the CDC+ Handbook. (Sections 393.0663(2)(b)2.-9., F.S., and subsection 65G-14.004(1), F.A.C.)	Corrective Action Plan, fine up to $500 per occurrence, and/or moratorium on new client assignments.	Corrective Action Plan, fine up to $1,000 per occurrence, moratorium on new client assignments.
(m) Failure to promptly address complaints/compliance issues regarding Support Coordinators’ performance. (Subsection 65G-14.004(1), F.A.C.)	Corrective Action Plan and/or fine up to $500.	Corrective Action Plan with a moratorium on new client assignments for the specified Support Coordinator until complaint(s) is remediated, fine up to $2,000.
(n) Failure to submit documentation to the appropriate Regional Office(s) upon the Agency’s request or making a material change to any of the documents described in subsection 65G-14.004(2), F.A.C. (Paragraphs 65G-14.004(2)(a)-(e), F.A.C.)	Corrective Action Plan and/or fine up to $100.	Corrective Action Plan and/or fine up to $500.
(o) Failure to submit and maintain initial and/or updated dual employment forms for a Support Coordinator. (Paragraphs 65G-14.004(5)(b)-(c), F.A.C.)	Corrective Action Plan.	Corrective Action Plan and/or fine up to $100 per day until plan is submitted.
(p) Failure to ensure that any Support Coordinator who is dually employed complies with the approved dual employment plan. (Paragraph 65G-14.004(5)(a), F.A.C.)	Corrective Action Plan, potential moratorium on new client assignments, and/or fine up to $500 per occurrence.	Moratorium on new client assignments, fine up to $1,000 per occurrence.
(q) Failure to timely submit information relating to a Support Coordinator’s vacancy in excess of 30 calendar days to the appropriate Regional Office. (Subsection 65G-14.004(7), F.A.C.)	Corrective Action Plan and potential moratorium on new client assignments.	Fine up to $1,000 per occurrence and potential moratorium on new client assignments.
(r) Failure to ensure that its Support Coordinators timely complete all required training in accordance with the iBudget Handbook and Chapter 65G-10, F.A.C., including maintaining documentation to validate successful completion. (Sections 393.0663(2)(b)10.-11., F.S., and paragraphs 65G-14.004(8)(a)-(b), F.A.C.)	Corrective Action Plan.	Corrective Action Plan and a fine up to $500 per occurrence.
(s) Failure to ensure all Support Coordinators comply with all incident reporting requirements articulated in Chapters 415 and 39, F.S., and subsection 65G-2.010(5), F.A.C. (Subsection 65G-14.004(9), F.A.C.)	Corrective Action Plan, and/or fine up to $100.	Corrective Action Plan and fine up to $500 per occurrence.
(t) The Qualified Organization misrepresented or omitted any material fact in any documentation submitted to the Agency. (Subsection 65G-14.004(10), F.A.C.)	Fine up to $1,000 per occurrence.	Fine up to $5,000 per occurrence.
(u) Failure to maintain and enforce an approved professional code of ethics applicable to all its Support Coordinators. (Subsection 65G-14.0041(1), F.A.C.)	Corrective Action Plan, a fine per violation up to $1,000, and/or a moratorium on new client assignments.	Corrective Action Plan with a fine per violation up to $5,000, a moratorium on new client assignments.
(v) Failure to report to the Agency a violation of the code of ethics by any Support Coordinator(s) employed by that organization. (Subsection 65G-14.0041(2), F.A.C.)	Corrective Action Plan, a fine per violation up to $500, and/or a moratorium on new client assignments.	Corrective Action Plan with a fine per violation up to $1,000, a moratorium on new client assignments.
(w) Failure to include all required provisions articulated in paragraphs 65G-14.0041(2)(a)-(i), F.A.C., in a code of ethics that was modified after it was approved. (Subsection 65G-14.0041(2), F.A.C.)	Corrective Action Plan.	Corrective Action Plan and/or moratorium on new client assignments.
(x) Failure to comply with any requirement articulated in subsection 65G-14.0041(3), F.A.C., regarding making available and reviewing the approved code of ethics with the client or, if applicable, legal representative on an annual basis or immediately upon request. (Subsection 65G-14.0041(3), F.A.C.)	Corrective Action Plan, and/or a fine per violation up to $500.	Corrective Action Plan with a fine per violation up to $2,500, a moratorium on new client assignments.
(y) Failure to maintain or enforce an approved disciplinary process in accordance with Rule 65G-14.0042, F.A.C. (Subsections 65G-14.0042(1)-(4), F.A.C.)	Corrective Action Plan, a fine per violation up to $1,000 and/or a moratorium on new client assignments.	Corrective Action Plan with a fine per violation up to $5,000, a moratorium on new client assignments.
(z) Failure to fully implement an approved Corrective Action Plan within the timeframes described therein. (Subsection 65G-14.0042(5), F.A.C.)	Fine up to $1,000 per day.	Fine up to $2,000 per day, moratorium on new client assignments.
(aa) Failure to implement an Agency-approved mentoring program. (Section 393.0663(2)(b)12., F.S., and subsections 65G-14.0043(1) and (3), F.A.C.)	Corrective Action Plan and/or fine up to $1,000 per occurrence.	Corrective Action Plan, fine up to $5,000 per occurrence.
(bb) Allowing a mentee to perform WSC duties without a mentor. (Paragraph 65G-14.0043(1)(c), F.A.C.)	Corrective Action Plan and/or fine up to $500.	Corrective Action Plan, Fine up to $2,500.
(cc) Designating a mentor who does not meet the minimum qualifications. (Paragraph 65G-14.0043(4)(d), F.A.C.)	Corrective Action Plan and/or fine up to $750 per occurrence.	Corrective Action Plan, fine up to $4,000 per occurrence.
(dd) Failure to comply with requirements pertaining to completion of the mentoring program. (Paragraphs 65G-14.0043(10)(a)-(c), F.A.C.)	Corrective Action Plan and/or fine up to $500.	Corrective Action Plan, fine up to $2,000.
(ee) Failure to comply with any other applicable laws or rules. (Section 393.0663(3)(c), F.S.)	Corrective Action Plan, a fine per violation up to $1,000 and/or a moratorium on new client assignments.	Corrective Action Plan, fine up to $5,000.

(5) The Agency shall consider whether any of the following mitigating factors are present, which indicate that less severe disciplinary action is warranted:

(a) The gravity of the violation(s) is not severe, meaning it did not involve the abuse, neglect, exploitation, abandonment, death, or serious physical or mental injury of a client or other individual; death or serious physical or mental injury could not reasonably have resulted from the violation; and the violation has not resulted in permanent or irrevocable injuries, damage to property, or loss of property or client funds;

(b) The Qualified Organization has already taken or is taking remedial action to correct the violation(s) and the corrective action was taken promptly;

(c) The violation has not occurred previously or, if it has occurred, the length of time since the last violation was substantial;

(d) The violation(s) affects only one client, as opposed to several clients under the care of Support Coordinators employed by the Qualified Organization;

(e) The Qualified Organization reported the violation(s) within the timeframes described in this chapter;

(f) The Qualified Organization has cooperated with the Agency, AHCA, DCF, and/or the QIO regarding the violation(s); and

(g) Any other relevant mitigating factors.

(6) In addition to mitigating factors, the Agency shall also consider whether any of the following aggravating factors are present, which indicate that more severe disciplinary action is warranted:

(a) The gravity of the violation(s) is severe, meaning it either involved the abuse, neglect, exploitation, abandonment, death, or serious physical or mental injury of a client or other individual; death or serious physical or mental injury could reasonably have resulted from the violation(s); or the violation has resulted in permanent or irrevocable injuries, damage to property, or loss of property or client funds;

(b) There have been repeat instances of the same or similar violation by the Qualified Organization or its Support Coordinator(s), with consideration of the amount of time that has passed;

(c) There have been other violations, with consideration of the amount of time that has passed;

(d) For violations identified by the Agency or the QIO, the Qualified Organization did not rectify the violations identified in the Corrective Action Plan within the timeframe identified in the Corrective Action Plan;

(e) For violations identified by the Qualified Organization, the Qualified Organization did not rectify the violation(s) within a reasonable timeframe;

(f) The violation(s) negatively affects multiple clients under the care of a Support Coordinator employed by the Qualified Organization;

(g) The violation(s) involves more than one Support Coordinator employed by the Qualified Organization;

(h) The Qualified Organization has been aware of the violation(s) for more than seven (7) working days and has failed to report the violation to the Agency;

(i) The Qualified Organization has been aware of the violation(s) for more than seven (7) working days and has not initiated action to rectify the violation;

(j) The Qualified Organization has failed to cooperate with the Agency, AHCA, DCF, and/or the QIO regarding the violation(s); and

(k) Any other relevant aggravating factors.

(7) The Agency considers any violation that only results in a Corrective Action Plan as described in subsection (5) of this rule to be a minor violation as described in Section 120.695, F.S.

(8) This rule shall be reviewed, and if necessary, renewed through the rulemaking process five years from the effective date.

Rulemaking Authority 393.0662, 393.0663, 393.501 FS. Law Implemented 393.063, 393.0662, 393.0663 FS. History–New 7-1-21, Amended 10-25-22.