When an inspector finds a deficiency or violation, how do they decide the appropriate level of punishment? While there is no standard across all states, many agencies take intent into account. Regulators evaluate the company’s compliance program—if there is one—and determine if it’s an active program or merely a paper program designed to assuage external stakeholders.
Like most things in life, you can think of risk management and compliance on a spectrum. We have three basic areas of the spectrum. In the middle, we find most operators who want to avoid deficiency notices, fines, and enforcement. They’re interested in managing risk and compliance, but may not have spent the time or resources to master the process. For all of you who are looking to develop and implement a compliance program or seek to improve the program you already have, this article is for you.