| (a) The Director of Compliance shall ensure that a
compliance monitoring program is established and maintained for those
licensee/registrants who have received a disciplinary action, remedial
plan, or administrative penalty citation.
(b) The monitoring program shall be maintained by board
staff serving as compliance officers.
(c) Monitoring disciplinary action and remedial plans.
(1) The compliance officer shall provide the licensee/registrant
with initial notification of the requirements imposed by the disciplinary
action or remedial plan. The initial notification shall include a
copy of the disciplinary action or remedial plan and a copy of the
compliance program rules and procedures.
(2) The compliance officer shall make good faith efforts
to assist the licensee/registrants in attaining and maintaining compliance
with the disciplinary action or remedial plan.
(3) The compliance officer shall refer non-compliance
with disciplinary action or remedial plans to the Director of Compliance
to determine whether to initiate an investigation into non-compliance
with the disciplinary action or remedial plan.
(d) Monitoring administrative penalty citations.
(1) The compliance officer shall monitor administrative
penalty citations for the response required by §107.201 of this
title (relating to Procedures for Alternative Informal Assessment
of Administrative Penalty).
(2) The compliance officer shall refer timely requests
for appeal of administrative penalty citations to the Director of
Compliance to initiate the appeal.
(3) The compliance officer shall refer non-payment
of the administrative penalty citation to the Director of Compliance
to determine whether to initiate an investigation into non-payment
of the administrative penalty citation.
(e) Applications for modification of a disciplinary
action shall be made in accordance with §107.66 of this title
(relating to Application for Modification of Board Order).
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