(a) Regulatory violations of listed statutory and rule
provisions will be assessed a base penalty of $250, $500, or $1,000
as shown in Figure §34.10(g). Base penalties may be augmented
or discounted based upon the number of violations and other circumstances
surrounding the violation, according to the commission Penalty Policy
in effect on the date the violation occurred or on the first date
the violation occurred, if it is a violation that is ongoing in nature.
(b) The penalty chart in Figure §34.10 is non-exclusive;
the absence of a statute or rule from the chart does not limit the
commission's statutory authority to enforce compliance with the Code
and its rules by assessing administrative penalties.
(c) For a contested case brought under subchapters
C and D of the Administrative Procedure Act or an investigation or
violation referred to the legal services division of the commission
for resolution, the sanctions and penalties in Figure §34.10
may be used as a guideline but adherence is not required.
(d) Nothing in this rule shall be construed to limit
the commission's authority to suspend or cancel a license or permit
under §§11.38, 11.61, 32.17, 61.71, 201.075, or any other
provision of the Code authorizing suspension or cancellation of a
license or permit.
(e) The number of days of license or permit suspension
offered to the respondent in lieu of the penalty shall be commensurate
with the penalty assessed under this section and calculated according
to the commission Penalty Policy in effect on the date the violation
occurred or on the first date the violation occurred, if it is a violation
that is ongoing in nature.
(f) The Penalty Policy shall be publicly available
and published on the commission's web site.
(g) The commission shall review the Penalty Policy
and update or revise it as necessary at least once every seven (7)
years.
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