135C.36 - VIOLATIONS CLASSIFIED -- PENALTIES.
135C.36 VIOLATIONS CLASSIFIED -- PENALTIES.
Every violation by a health care facility of any provision of this
chapter or of the rules adopted pursuant to it shall be classified by
the department in accordance with this section. The department shall
adopt and may from time to time modify, in accordance with chapter
17A rules setting forth so far as feasible the specific violations
included in each classification and stating criteria for the
classification of any violation not so listed.
1. A Class I violation is one which presents an imminent danger
or a substantial probability of resultant death or physical harm to
the residents of the facility in which the violation occurs. A
physical condition or one or more practices in a facility may
constitute a Class I violation. A Class I violation shall be abated
or eliminated immediately unless the department determines that a
stated period of time, specified in the citation issued under section
135C.40, is required to correct the violation. A licensee is subject
to a penalty of not less than two thousand nor more than ten thousand
dollars for each Class I violation for which the licensee's facility
is cited.
2. A Class II violation is one which has a direct or immediate
relationship to the health, safety, or security of residents of a
health care facility, but which presents no imminent danger nor
substantial probability of death or physical harm to them. A
physical condition or one or more practices within a facility,
including either physical abuse of any resident or failure to treat
any resident with consideration, respect, and full recognition of the
resident's dignity and individuality, in violation of a specific rule
adopted by the department, may constitute a Class II violation. A
violation of section 135C.14, subsection 8, or section 135C.31 and
rules adopted under those sections shall be at least a Class II
violation and may be a Class I violation. A Class II violation shall
be corrected within a stated period of time determined by the
department and specified in the citation issued under section
135C.40. The stated period of time specified in the citation may
subsequently be modified by the department for good cause shown. A
licensee is subject to a penalty of not less than one hundred nor
more than five hundred dollars for each Class II violation for which
the licensee's facility is cited; however the director may, upon
written request of the facility, waive the penalty if the violation
is corrected within the time specified in the citation. The
department shall adopt rules in accordance with chapter 17A
establishing criteria for the granting or denial of a waiver request.
3. A Class III violation is any violation of this chapter or of
the rules adopted pursuant to it which violation is not classified in
the department's rules nor classifiable under the criteria stated in
those rules as a Class I or a Class II violation. A licensee shall
not be subject to a penalty for a Class III violation, except as
provided by section 135C.40, subsection 1, for failure to correct the
violation within a reasonable time specified by the department in the
notice of the violation.
4. Any state penalty, including a fine or citation, issued as a
result of the federal survey and certification process shall be
dismissed if the corresponding federal deficiency or citation is
dismissed or removed.
5. If a facility self-identifies a deficient practice prior to an
on-site visit inspection, there has been no complaint filed with the
department related to that specific deficient practice, and the
facility corrects such practice prior to an inspection, no citation
shall be issued or fine assessed pursuant to subsection 2 or 3 except
for those penalties arising pursuant to section 135C.33; 481 IAC §
57.12(2)(d), 57.12(3), 57.15(5), 57.25(1), 57.39, 58.11(3), 58.14(5),
58.19(2)(a), 58.19(2)(h), 58.28(1)(a), 58.43, 62.9(5), 62.15(1)(a),
62.19(2)(c), 62.19(7), 62.23(23)-(25), 63.11(2)(d), 63.11(3),
63.23(1)(a), 63.37, 64.4(9), 64.33, 64.34, 65.9(5), 65.15, or
65.25(3)-(5), or the successor to any of such rules; or 42 C.F.R. §
483.420(d), 483.460(c)(4), or 483.470(j), or the successor to any of
such federal regulations. Section History: Early Form
[C77, 79, 81, § 135C.36; 81 Acts, ch 60, § 3] Section History: Recent Form
86 Acts, ch 1168, § 1; 2009 Acts, ch 156, §3, 4
Referred to in § 135C.40, 135C.41, 135C.44, 135C.44A, 249A.19