Md. Code Regs. 36.02.02.09 - Corrective Action
A. Deficiency. If
the Director determines that a retailer no longer meets a license requirement
of this chapter, or that there is cause for imposing sanctions under Regulation
.10 of this chapter, the Director shall:
(1)
Assess the seriousness of the deficiency;
(2) Determine whether it is necessary to emergently
suspend the retailer's license;
(3)
Determine whether to allow a retailer to submit a corrective action
plan.
B. If the Agency
permits a retailer to submit a corrective action plan:
(1) Evaluate the corrective action plan;
(2) If acceptable to the Agency, approve the
corrective action plan;
(3)
Determine appropriate timelines for the completion of corrective
action;
(4) Conduct periodic
monitoring of a retailer to assess the retailer's progress toward remedying the
deficiencies; and
(5) Recommend
that the Commission impose a sanction under Regulation .10 of this chapter if a
deficiency is not remedied.
C. The Agency may determine whether to permit
a retailer to submit a corrective action plan.
D. Corrective Action Plan.
(1) Within 10 days of receipt of a deficiency
notice under §F of this regulation, the retailer shall submit a corrective
action plan to the Director for the Director's approval.
(2) The Director shall review the corrective
action plan and inform the retailer whether the corrective action plan is
acceptable.
(3) If the retailer
fails to submit an acceptable corrective action plan within the time described
under §D(1) of this regulation, the Director may:
(a) Provide the retailer with additional time
within which to submit a revised corrective action plan; or
(b) Impose a sanction on the retailer under
Regulation .10 of this chapter.
(4) If the Director provided a retailer
notice under §F of this regulation and received no timely written
response, the Commission may adopt as final the Director's decision to impose a
sanction under Regulation .10 of this chapter.
E. Corrective Action Outcomes.
(1) If at any time during the corrective
action period the Director determines that the retailer has failed to fulfill a
requirement of the corrective action plan or has made insufficient progress
toward remedying a deficiency, the Director may:
(a) For good cause, extend the time for
completion of a corrective action plan; or
(b) Emergently suspend the retailer's
license.
(2) If at the
end of the corrective action period the retailer has failed to adequately
remedy a deficiency, the Director may impose a sanction under Regulation .10 of
this chapter.
F.
Deficiency Notice. Upon determining that corrective action is required to
remedy a deficiency, the Director shall give written notice to a retailer that
includes:
(1) A description of the
violation;
(2) A description of the
possible sanctions; and
(3) The
requirement for the retailer to submit a corrective action plan to the Director
within a time frame established by the Director.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
A. Deficiency. If the Director determines that a retailer no longer meets a license requirement of this chapter, or that there is cause for imposing sanctions under Regulation .10 of this chapter, the Director shall:
(1) Assess the seriousness of the deficiency;
(2) Require the retailer to develop a corrective action plan;
(3) Determine whether it is necessary during the pendency of the corrective action process to emergently suspend the retailer's license;
(4) Evaluate and, if acceptable to the Agency, approve the corrective action plan;
(5) Determine appropriate timelines for the completion of corrective action;
(6) Conduct periodic monitoring of a retailer for which the Agency required a corrective action plan to assess the retailer's progress toward remedying the deficiencies; and
(7) Recommend that the Commission impose a sanction under Regulation .10 of this chapter if a deficiency is not remedied through implementation of corrective action.
B. Deficiency Notice. Upon determining that corrective action is required to remedy a deficiency, the Director shall give written notice to a retailer that includes:
(1) A description of the violation;
(2) A description of the possible sanctions; and
(3) The requirement for the retailer to submit a corrective action plan to the Director within a time frame established by the Director.
C. Corrective Action Plan.
(1) Within 10 days of receipt of a deficiency notice under §B of this regulation, the retailer shall submit a corrective action plan to the Director for the Director's approval.
(2) The Director shall review the corrective action plan and inform the retailer whether the corrective action plan is acceptable.
(3) If the retailer fails to submit an acceptable corrective action plan within the time described under §C(1) of this regulation, the Director may:
(a) Provide the retailer with additional time within which to submit a revised corrective action plan; or
(b) Impose a sanction on the retailer under Regulation .10 of this chapter.
(4) If the Director provided a retailer notice under §B(3) of this regulation and received no timely written response, the Commission may adopt as final the Director's decision to impose a sanction under Regulation .10 of this chapter.
D. Corrective Action Outcomes.
(1) If at any time during the corrective action period the Director determines that the retailer has failed to fulfill a requirement of the corrective action plan or has made insufficient progress toward remedying a deficiency, the Director may:
(a) For good cause, extend the time for completion of a corrective action plan; or
(b) Emergently suspend the retailer's license.
(2) If at the end of the corrective action period the retailer has failed to adequately remedy a deficiency, the Director may impose a sanction under Regulation .10 of this chapter.