7500, Administrative Penalties

7510 Legal Basis to Impose Administrative Penalties

August 2015

Administrative penalties are fines that Licensing may impose against an operation or a controlling person with the intent of reducing the risk of harm to children in care. Administrative penalties are not imposed for clerical errors.

Administrative penalties may be imposed against:

  1. any licensed operation, registered or listed family home, including those exempt from paying annual fees;
  2. controlling persons; and
  3. a child placing agency's main office for violations cited at the operation's branch offices.

Texas Human Resources Code §42.078(a)

26 TAC §745.8603

7511 Imposing an Administrative Penalty Before Taking a Corrective Action

August 2015

Licensing may impose a fine before taking non-monetary corrective action. This is done only when an operation or controlling person has violated high risk minimum standards or rules. These rules include, but are not limited to, standards and rules related to supervision, safety hazards, and background checks.

Texas Human Resources Code §42.078(a-2)

Also see:

7521 A Single High Risk Violation

7522 Repeated High Risk Violations

7512 Imposing an Administrative Penalty After Taking a Corrective Action

August 2015

Licensing must take a non-monetary corrective action before imposing a fine against an operation or a controlling person in situations in which the operation:

  1. violates a term of a permit issued under HRC Chapter 42, or a rule or order adopted under that chapter;
  2. makes a statement about a material fact that the operation or person knows or should know is false:
    • on an application for the issuance of a permit or an attachment to the application, or
    • in response to a matter under investigation;
  3. refuses to allow an inspector to inspect:
    • a book, record, or file required to be maintained by the operation, or
    • any part of the premises of the operation;
  4. purposefully interferes with the work of an inspector or the enforcement of HRC Chapter 42;
  5. fails to pay a penalty assessed under HRC Chapter 42 on or before the date the penalty is due, as determined under HRC §42.078;
  6. commits repeated deficiencies that present low to medium risk to children; or
  7. fails to comply with any evaluation or probation plan after time limits for correction have expired.

Texas Human Resources Code §42.078(a)(1)-(5)

26 TAC §§745.8603, 745.8605, 745.8711, 745.8713, 745.8715

7520 Assessing the Need for an Administrative Penalty

March 2017

To determine whether an administrative penalty should be recommended, staff consider the following:

  1. whether corrective action is more appropriate (see 7400 Corrective Action);
  2. whether the operation or controlling person has made any effort to come into compliance;
  3. whether an operation has been cited for the same violation within the past six months;
  4. whether it has been documented that the operation has been advised in writing that another violation of the high risk minimum standard or rule previously cited could result in an administrative penalty; and
  5. the level of risk posed to children in care because of the violation.

7521 A Single High Risk Violation

April 2020

CCR staff recommend an administrative penalty when an operation or controlling person has a single violation of certain high risk statutes, minimum standards, or administrative rules for the following requirements:

  1. knowingly allowing a person to be present at the operation before receiving notification from the CBCU that the person's eligibility determination is Eligible, Provisional or Eligible with Conditions;
  2. knowingly allowing a person to be present in the operation after receiving notification from the CBCU that the person's eligibility determination is Ineligible;
  3. violating a condition or restriction that the CBCU has placed on a person's presence at the operation; or
  4. other high risk violations identified in the following documents located on the CCR SharePoint site:
    • Citing and Recommending Administrative Penalties for Single High Risk Violations (Immediate Enforcement); and
    • Providing Technical Assistance for Statute and Minimum Standard Deficiencies Associated With Administrative Penalties.

See also: 4161.24 Technical Assistance for High Risk Violations

26 TAC §§745.635, 745.637, 745.641, 745.661, 745.667, 745.669, 745.671, 745.8713

7522 Repeated High Risk Violations

August 2015

Procedure

Licensing staff consider imposing an administrative penalty when an operation or a controlling person has repeated violations of the same high risk minimum standard or administrative rule during any six month period.

7522.1 Repeated Violations of Background Check Requirements

March 2020

Procedure

Licensing staff consider imposing an administrative penalty when an operation or controlling person has demonstrated a pattern of noncompliance (two or more violations during any six month period) with the following background check requirements:

  • timely submission of an initial background check; or
  • timely submission of a renewal background check.

Administrative penalties are not imposed for repeated violations of these background check requirements if:

  • the violation involves a regular or frequent visitor, if the operation has not been previously informed that the person needed a background check; and
  • the violation is for an overdue background checks in listed family homes when automatic suspension is appropriate.

Also see

7810 Automatic Suspensions

Protocol for Citing and Recommended Administrative Penalties for Repeated Violations (Progressive Enforcement) located on the CCL SharePoint site.

26 TAC §§745.601, 745.6005, 745.621, 745.8713

7530 Recommending the Administrative Penalty

7531 When to Recommend the Administrative Penalty

March 2020

Licensing staff must submit the recommendation to impose an administrative penalty to the supervisor as soon as possible, but no later than 30 days after the operation or controlling person was notified of the violation.

Also see:

7532 How to Document the Recommendation to Impose the Administrative Penalty

7531.1 When the Violation is Corrected at the Time of the Inspection

June 2016

Procedure

If the operation corrects the deficiency at the time of the inspection, the inspector recommends the administrative penalty as early as the same day the deficiency was cited, or as soon as possible following the inspection. This ensures that there is a complete record of the operation's history of deficiencies in CLASS. See 4161.21 Documentation of the Findings Evaluated From the Inspection.

If the inspector learns of a deficiency during the inspection, and the operation has corrected the deficiency before the inspection and is in compliance at the time of the inspection, the inspector may cite the operation for the deficiency, but does not recommend an administrative penalty.

For example, if an employee was due for a background check in June and Licensing staff inspect in September and see that the check was not run until August, it is clear that though the background check was late the operation had already corrected it.

7531.2 When the Violation is Not Corrected During the Inspection

August 2015

Procedure

If the violation is not corrected during the inspection, the operation or controlling person is responsible for notifying Licensing when the violation has been corrected.

Staff wait to recommend the administrative penalty until the operation or controlling person notifies Licensing that compliance is met.

If the operation or controlling person does not notify Licensing that compliance has been met within 15 days of being notified of the violation, the inspector:

  1. processes a penalty on the existing violation;
  2. recites the minimum standard or administrative rule in violation, if applicable; and
  3. considers recommending a separate administrative penalty for the new violation.

7532 How to Document the Recommendation to Impose the Administrative Penalty

March 2020

Licensing staff must complete and submit a recommendation to impose an administrative penalty to the supervisor within three days after staff create the administrative penalty in CLASS. Licensing staff can only include one violation per administrative penalty recommendation. If there is more than one violation, then Licensing staff will create a separate recommendation for each.

An administrative penalty is created when the inspector identifies and saves violations on the ;Administrative Penalty Standards List page. At this point, a unique administrative penalty number is created.

Procedure

The inspector completes the Administrative Penalty Details page and Administrative Penalty Standard Details page in CLASS by:

  1. selecting whether to send the recommendation letter to the permit holder, designee, or controlling person;
  2. searching for and selecting a violation resulting in the administrative penalty;
  3. entering the fields required to calculate the recommended penalty amount to be imposed for the violation (see 7532.1 Determining the Maximum Daily Penalty Amount); and
  4. documenting any additional information regarding the penalty in the Narrative box specific to that particular violation. Information may include an employee's name or date of hire, or any other pertinent information as to why a penalty should be imposed for violation identified.

The inspector then submits the recommendation to the supervisor for review and approval by selecting the Recommendation Ready for Supervisor Approval check box and saving the Administrative Penalty Details page in CLASS.

7532.1 Determining the Maximum Daily Penalty Amount

August 2015

The maximum daily amount Licensing may impose for each day a violation continues or occurs is set in statute and is based on the type and capacity of the operation.

Licensing staff may recommend imposing 25%, 50%, 75%, or 100% of the maximum daily amount based on the:

  1. seriousness of the violation,
  2. history of previous violations,
  3. efforts the operation or controlling person has taken to correct the violation;
  4. amount necessary to deter future violations; and
  5. extent to which the violation causes harm to property or the environment

Texas Human Resources Code §42.078(b)(1) and (2); and (c)(1) and (2)

Procedure

The inspector enters the recommended percentage of the maximum daily amount in the Recommended Penalty Amount for Violation field on the Administrative Penalty Standard Details page for each violation associated with the penalty.

7532.11 Determining the Operation's Capacity

March 2020

For operations other than child placing agencies, the maximum penalty amount is based on the capacity listed on the operation's permit.

For child placing agencies, the maximum daily penalty amount is based on the number of children in care at the time of the violation. If an inspector finds the violation during an inspection of a foster home, the inspector:

  1. contacts the child-placing agency for the total number of children in care of the agency or branch office at the time of the inspection; or
  2. uses the census entered on the agency's last monitoring inspection if the inspection took place within 30 days of the inspection at the foster home.

The inspector documents how the census was obtained on CLASS Form 2936.

Texas Human Resources Code §42.078(b)

Procedure

If the administrative penalty is being imposed on an operation other than a child placing agency, the operation's capacity will automatically display on the Administrative Penalty Standard Details page in CLASS.

If the administrative penalty is being imposed on a child placing agency, the inspector enters the operation's capacity in the Capacity field on the Recommended Penalty Amount section of the Administrative Penalty Standard Details page in CLASS.

7532.12 Determining the Number of Days to Impose an Administrative Penalty

August 2015

Procedure

To determine the number of days to impose the penalty, the inspector enters the following information in the Recommended Penalty Amount for Violation fields on the Administrative Penalty Standard Details page:

  1. the date the operation was notified of the violation in the Begin Date field;
  2. the date the operation was given to comply with the minimum standard or rule in the Comply by Date field;
  3. the date the operation came into compliance in the Corrected Date field:
    1. if the violation is corrected at the time of the recommendation, the inspector uses the date the operation notified Licensing of the correction;
    2. if the violation has not been corrected 15 days after the operation was notified of the violation the inspector enters a date equal to 15 days from the Begin Date; and
  4. the number of days excluded, which is the number of days the operation was not providing care for children between the Begin Date and the Compliance Date, in the Number of Excluded Daysfield.

7532.13 Submitting the Recommendation to the Supervisor

August 2015

Procedure

When the inspector has entered all information to be considered with the administrative penalty, the inspector submits the recommendation to the supervisor by checking the Recommendation Ready for Supervisor Approval check box on the Administrative Penalty Details page.

7533 Supervisor and Legal Review of the Recommendation to Impose an Administrative Penalty

March 2020

From the date the inspector submits the recommendation to impose the administrative penalty for review, the supervisor has five days to edit and approve the recommendation.

The supervisor processes the recommendation to impose the administrative penalty even if an administrative review is requested on the violation identified in the penalty.

Procedure

In order to approve the recommendation to impose an administrative penalty, the supervisor reviews the recommendation to determine:

  1. whether an administrative penalty is warranted for the identified violation;
  2. that the maximum daily amount to be imposed for the violation is consistent with policy;
  3. that the number of days the penalty is imposed is correct; and
  4. whether the appropriate technical assistance was provided at the time of the original citation.

If the administrative penalty totals more than $500, the supervisor must submit the recommendation for approval to the Director or designee of Child Day Care or Residential Child Care.

Also see:

4161.2 Documenting Inspection Results on CLASS Form 2936

7533.1 Supervisor Agrees and Sends Notification of the Recommendation to Impose an Administrative Penalty

March 2020

Licensing has six days to notify the operation or controlling person of the recommendation from the date the supervisor approves the recommendation to impose an administrative penalty.

Procedure

If the supervisor agrees with the recommendation, the supervisor:

  1. makes any necessary edits to the initial recommendation, or requests the inspector make the edits;
  2. selects the Supervisor Approved check box on the Administrative Penalty Details page;
  3. finalizes the Notice of Recommendation for Administrative Penalty; and
  4. sends the notice via regular and certified mail, and includes copies of relevant inspection and investigation forms supporting the decision, to the licensed operation, registered or listed home, or controlling person.

7533.2 Supervisor Disagrees with the Recommendation to Impose a Penalty

March 2020

Procedure

If the supervisor determines that an administrative penalty is not necessary, the supervisor completes the Administrative Penalty Final Result section on the Administrative Penalty Details page in CLASS by:

  • selecting Stopped from the Final Result field; and
  • documenting the reason the penalty was not approved in the Final Result Narrative field.

7533.3 Supervisor Disagrees with the Minimum Standard or Rule Cited for the Penalty

March 2020

Procedure

If the supervisor determines that Licensing staff selected the incorrect minimum standard or rule for the administrative penalty, the supervisor advises Licensing staff to correct the deficiency on the inspection's Inspection Summary page using the procedures outlined in Job Aid – Workaround for Incorrect Standard Cited on AP Recommendation located on the CCL SharePoint site.

7534 Contents of the Notice of Recommendation for Administrative Penalty

March 2020

The Notice of Recommendation for Administrative Penalty contains:

  1. a statement that CCL is recommending an administrative penalty for the operation and the amount of that penalty;
  2. the basis for the recommendation;
  3. actions taken prior to the recommendation;
  4. any additional comments from licensing staff not included previously;
  5. information regarding how the operation can accept or dispute the penalty; and
  6. an invoice, including the administrative penalty amount and payment instructions, should the operation choose to accept and pay the penalty upon receipt of the notification.

7535 Reviewing the Status of Administrative Reviews for Minimum Standard or Rule Violation Identified in the Administrative Penalty

March 2020

The supervisor reviews the administrative review status for the violation identified in the administrative penalty to determine if the penalty should be stopped.

The supervisor may take this action regardless of whether Licensing has sent the Notice of Recommendation for Administrative Penalty to the operation, so long as due process related to the penalty has not been exhausted or waived.

Procedure

If the Administrative Review status for the violation identified in the administrative penalty is set to Overturned, the supervisor:

  1. selects Stopped from the Final Result field on the Administrative Details page in CLASS and enters a reason for the penalty being stopped;
  2. sends notification to the operation or controlling person that the decision to recommend an administrative penalty was stopped by sending notice using HHSC Letterhead, if the Notice of Recommendation for Administrative Penalty has already been sent to the operation; and
  3. initiates a refund according to 5270 Fee Refund Guidelines, if the operation or controlling person has already paid the administrative penalty.

7540 Steps to Take after Sending the Notice of Recommendation for Administrative Penalty

March 2020

After receiving the Notice of Recommendation for Administrative Penalty, the operation or controlling person has 30 days to:

  1. pay the administrative penalty;
  2. accept the administrative penalty; or
  3. dispute the penalty by requesting a due process hearing.

The operation or controlling person may request a due process hearing even if the operation or controlling person has paid the administrative penalty fee.

Procedure

45 days after sending the notice of recommendation to the operation or controlling person, Licensing staff determines:

  1. whether the operation or controlling person paid the administrative penalty fee by verifying the Invoice Status for the administrative penalty on the operation's Invoice and Payment Summary page in CLASS (see 5240 Verification of Fee Payments);
  2. the status of the operation's due process rights for the violation identified in the administrative penalty and takes the appropriate actions as outlined in 7535 Reviewing the Status of Administrative Review for Minimum Standard or Rule Violation Identified in the Administrative Penalty; and
  3. whether the operation or controlling person:
    1. waived the right to a due process hearing; or
    2. submitted a timely request for a due process hearing as outlined in 7561 Determining Whether a Request for a Due Process Hearing Meets the Due Date.

Depending on the outcome of the Licensing staff's review, Licensing staff take the following steps, as outlined below, when the violation identified in the administrative penalty is upheld or waived:

Is the Administrative Penalty Paid in Full? Due Process Hearing Requested? Penalty Accepted or Hearing Waived? Action Licensing Staff Must Take
Yes No Yes No further action.
Yes Yes No Follows process for due process outlined in 7560 Due Process Rights for Administrative Penalties.
No No Yes Sends the Administrative Penalty Order as outlined in 7550 Issuing Order to Pay an Administrative Penalty.
No Yes No Follows process for due process outlined in 7560 Due Process Rights for Administrative Penalties.

If the violation identified in the administrative penalty is overturned, Licensing staff take steps to stop the administrative penalty, as outlined in 7535 Reviewing the Status of Administrative Reviews for Minimum Standard or Rule Violations Identified in the Administrative Penalty.

7550 Issuing the Order to Pay an Administrative Penalty

March 2020

7551 When to Send the Order to Pay the Administrative Penalty

March 2020

Procedure

The supervisor waits 30 days after the operation or controlling person receives the Notice of Recommendation for Administrative Penalty to issue an order to pay an administrative penalty.

If the operation or controlling person has not paid the administrative penalty, the supervisor sends the order to the operation only after:

  1. the due process for the violation identified in the administrative penalty is complete;
  2. the Administrative Review status for the violation is set to Waived or Upheld; and
  3. the operation or controlling person:
    1. provides written notice accepting the penalty; or
    2. fails to respond with written notice within the specified time frame after receiving the recommendation to impose a penalty.

The supervisor does not send the Administrative Penalty Order if:

  • the operation or controlling person has paid the full amount of the administrative penalty; or
  • the legal division has negotiated a settlement for a reduced penalty amount with the operation. See 7562 Processing a Legal Reduction of an Administrative Penalty.

The Legal division will notify Licensing staff if the operation has agreed to pay a reduced penalty amount. See 7563 Processing the Outcome of a Due Process Hearing for an Administrative Penalty.

7552 Processing the Order to Pay the Administrative Penalty

March 2020

Procedure

To issue the order to pay an administrative penalty, the supervisor updates the Administrative Penalty Details page in CLASS by:

  1. changing the Due Process Hearing status to Waived and entering the Acceptance Letter Received date, if the operation or controlling person sent written notice accepting the penalty;
  2. creating and finalizing the Administrative Penalty Order; and
  3. sending the Administrative Penalty Order to the operation or controlling person.

If the operation or controlling person fails to respond within 30 days of receiving the Notice of Recommendation for Administrative Penalty, the supervisor leaves the Acceptance Date field blank. A date is only entered in the Acceptance Date field if the operation or controlling person sent written notice formally accepting the penalty.

The supervisor monitors for payment of the administrative penalty in CLASS.

Also see:

5240 Verification of Fee Payments

7535 Reviewing the Status of Administrative Reviews for Minimum Standard or Rule Violations Identified in the Administrative Penalty

7570 Payment and Nonpayment of Administrative Penalties

7560 Due Process Rights for Administrative Penalties

March 2020

Licensing must receive a request for a due process hearing in writing, including by email or fax, within 30 days of the date that the operation or controlling person received the Notice of Recommendation for Administrative Penalty.

When determining the due date for a request for a due process hearing, Licensing allows time for the operation or controlling person to receive notice about the recommendation through the mail.

The operation or controlling person waives the right to a due process hearing and the supervisor may process the order to impose the penalty if the operation or controlling person:

  • does not accept the penalty or request a due process hearing for the administrative penalty within 30 days of receiving the notice; or
  • sends the request for a hearing late enough that it is received after the due date.

40 TAC §745.8839

7561 Determining Whether a Request for a Due Process Hearing Meets the Due Date

March 2020

Procedure

To determine whether the request for a due process hearing for the administrative penalty is received by the due date, the Legal division:

  1. determines the date that Licensing mailed a notification letter to the operation or controlling person explaining the right to a due process hearing;
  2. adds three calendar days to that mail date to estimate the date that the operation or controlling person is presumed to have received the notification letter by regular mail;
  3. adds 30 calendar days to that date of presumed receipt for the request; and
  4. identifies the first date after that time period that is not a Saturday, Sunday, or legal holiday.

If the operation or controlling person is eligible for a due process hearing, the supervisor does not send the order to pay the penalty. The supervisor makes the following edits to the Due Process section on the Administrative Penalty Details Page in CLASS:

  • changes the Hearing Status from Pending to Requested; and
  • enters the date the request was received in the Date Hearing Requested field.

7562 Processing a Legal Reduction of an Administrative Penalty

March 2020

Procedure

If an operation requests due process but negotiates a settlement with the Legal division that assists CCL with enforcement matters for a reduced penalty amount in lieu of the due process hearing, the supervisor makes the following updates to the Due Process section on the Administrative Penalty Details page in CLASS:

  1. changes the Hearing Status field from Requested to Waived;
  2. selects Yes – Legal Reduced from the Penalty Amount Reduced menu; and
  3. enters the new penalty amount in the Reduced Penalty Amount field.

CLASS automatically updates the Amount Due of the invoice record associated with the administrative penalty.

The supervisor does not send an order. Licensing staff evaluate for payment during the next monitoring inspection or the operation's next renewal period.

7563 Processing the Outcome of a Due Process Hearing for an Administrative Penalty

7563.1 Due Process Hearing Upholds the Decision to Impose the Administrative Penalty

March 2020

Procedure

If the decision to impose an administrative penalty is upheld after the due process hearing, the supervisor makes the following updates to the Due Process section on the Administrative Penalty Details page in CLASS:

  1. changes the Hearing Status field from Requested to Upheld;
  2. enters the date of the hearing; and
  3. enters the date the decision was sent to the operation or controlling person.

If the amount of the administrative penalty is reduced as a result of the due process hearing, the supervisor enters the following information on the Administrative Penalty Details page in CLASS:

  1. selects Yes – Court Reduced from the Penalty Amount Reduced menu on the Administrative Penalty Details page in CLASS; and
  2. the new penalty amount in the Reduced Penalty Amount field.

CLASS automatically updates the Amount Due of the invoice record associated with the administrative penalty.

The supervisor does not send an order. Licensing staff evaluate for payment during the next monitoring inspection or the operation's next renewal period.

Also see:

5240 Verification of Fee Payment
7540 Issuing the Order to Pay an Administrative Penalty
7564 The Right to Request a Judicial Review of an Administrative Penalty
7570 Payment and Nonpayment of Administrative Penalties

7563.2 Due Process Hearing Overturns the Decision to Impose the Administrative Penalty

March 2020

Procedure

If the decision to impose the administrative penalty is overturned after the due process hearing, the supervisor makes the following updates on the Administrative Penalty Details page in CLASS:

  1. changes the Hearing Status field in the Due Process section from Requested to Overturned; and
  2. selects Stopped option in the Final Results.

CLASS automatically cancels any invoices associated with the recommendation. If an operation has already paid the administrative penalty, Licensing staff initiates a refund according to 5270 Fee Refund Guidelines.

7564 The Right to Request a Judicial Review of an Administrative Penalty

March 2020

Following a due process hearing in which a judge upheld the administrative penalty, an operation or controlling person has 30 days from receiving the results to:

  • pay the penalty amount ordered; or
  • file a petition for a judicial review.

The operation or controlling person may also take both actions at the same time: paying the penalty amount ordered and filing a petition for a judicial review.

Texas Human Resources Code §42.078(k)(1)-(3)

7564.1 If the Right to a Judicial Review is Waived

March 2020

Procedure

If the operation or controlling person does not request a judicial review or fails to make the request within the required time frame, the supervisor updates the Petition Status field on the Administrative Penalty Details to Waived and monitors for payment, if the penalty has not yet been paid.

Also see:

5240 Verification of Fee Payment

7564.2 If a Judicial Review is Requested

March 2020

Procedure

If the operation or controlling person requests a judicial review within the required time frame, the supervisor changes the Petition Status from Pending to Requested on the Administrative Penalty Details page in CLASS.

The supervisor will receive an email notification from the legal docket clerk about the outcome of the judicial review.

7564.21 Documenting the Outcome of the Judicial Review

March 2020

Procedure

If a decision is upheld or if the judge orders a new penalty amount imposed, the supervisor takes the following actions on the Administrative Penalty Details page in CLASS:

  1. changes the Petition Status from Requested to Upheld;
  2. indicates if the penalty amount is reduced by selecting Yes - Court Reduced from the Penalty Amount Reduced menu and entering the reduced amount in the Reduced Penalty Amount field; and
  3. monitors for payment.

Also see:

7571 When Administrative Penalties Remain Unpaid

If the decision to impose the administrative penalty is overturned, the supervisor takes the following actions on the Administrative Penalties Details page in CLASS:

  1. changes the Petition Status in the Due Process section from Requested to Overturned;
  2. reviews the Invoice and Payment Summary page to determine whether a refund should be issued; and
  3. selects No Further Action Required from the Final Result field.

Also see:

5240 Verification of Fee Payment
5270 Fee Refund Guidelines
7571 Overpayment of an Administrative Penalty

7570 Payment and Nonpayment of Administrative Penalties

March 2020

The operation or controlling person may pay the administrative penalty as soon as receiving the Notice of Recommendation for Administrative Penalty, but must pay no later than 30 days after:

  1. the order to pay the administrative penalty is received by the operation or controlling person;
  2. Legal sends a negotiated reduction notice;
  3. an administrative law judge's order to pay the administrative penalty becomes final, unless a judicial review is requested; or
  4. a judge conducts a judicial review and upholds the decision to impose the administrative penalty.

An invoice for the administrative penalty is attached to the Notification of Recommendation for Administrative Penalty and to the Administrative Penalty Order.

See:

5222 How an Operation Submits a Payment

7571 Overpayment of an Administrative Penalty

March 2020

Procedure

If Licensing staff determines that an operation has overpaid an administrative penalty, Licensing staff initiates a refund according to 5270 Fee Refund Guidelines.

Also see:

5240 Verification of Fee Payment

7572 When Administrative Penalties Remain Unpaid

March 2020

If the operation or controlling person does not pay the penalty amount as ordered by the due date, Licensing staff may:

  • impose another enforcement action against the operation or controlling person;
  • refer the matter to the Office of Attorney General for collection, if the amount owed is greater than or equal to $2500; or
  • refuse to renew the operation's permit during the operation's next renewal period.

26 TAC §§745.477; 745.8605

See:

3924.3 Verifying Fee and Administrative Penalty Payments

7572.1 Nonpayment Due to Non-Sufficient Funds

March 2020

Procedure

If a payment is returned due to non-sufficient funds, the supervisor or inspector must follow up with the operation when reviewing fees to prepare for the next monitoring inspection or permit renewal.

Also see:

5251 Payment Returned as Non-Sufficient Funds (NSF)

7573 Documenting the Final Result of an Administrative Penalty

March 2020

The supervisor enters a Final Result for every administrative penalty recommended for an operation, except if an operation paid the administrative penalty in full before receiving the Administrative Penalty Order CLASS Form 2995.

Procedure

Depending on whether the operation paid the administrative penalty and other factors outlined below, the supervisor selects one of the following options in the Final Result section on the Administrative Penalty Details page in CLASS.

Final Result Options When to Select
Corrective or Adverse Action Recommended Consultation with Legal determined corrective or adverse action was appropriate.
No Further Action Required The operation paid the penalty in full after receiving the order.
Operation Closed The operation closed before the operation paid the administrative penalty fee.
Referred to Office of the Attorney General The operation failed to pay a penalty greater than or equal to $2,500.
Stopped

The penalty was:

  • deemed unnecessary by the supervisor before sending the Notice of Recommendation; or
  • overturned during due process.