Ala. Admin. Code r. 892-X-1-.14

Current through Register Vol. 43, No. 1, October 31, 2024

Section 892-X-1-.14 - Administrative Penalties QPD

The following administrative penalties may be enforced upon a QPD in lieu of suspension or involuntary withdrawal for violation of any action listed in Section 892-X-1-.13:

(1) Notice of SAFE Violation.

(a) The Notice of SAFE Violation shall have the following form:

1. Issued within 5 banking days of detection of infraction;

2. In written form, providing details of the violation;

3. Providing that fines will be incurred if the violation is not corrected, or if it is repeated within one year of QPD's written response;

4. Requiring a written response from the QPD within 10 banking days of the date of Notice;

5. Delivered by fax notice to the QPD with the original mailed.

(b) The QPD shall prepare a written Response to Notice of SAFE Violation that will:

1. Provide a corrective action plan with a timeframe for completion within 30 calendar days; or

2. Provide a statement and substantiating documentation that the infraction has not occurred.

3. Delivered by fax notice to SAFE with original to be mailed.

(c) Written confirmation of receipt will be provided to the QPD by SAFE.

(d) Any occurrences of the same violation by the QPD subsequent to the initial Notice but prior to the Resolution Date will not result in additional action by SAFE.

(2) Notice of SAFE Fine.

(a) A Notice of SAFE Fine shall be issued under one or more of the following conditions:

1. The Recurrence of a previous infraction cited by a Notice of SAFE Violation.

2. No response is received from the QPD to either the Notice of SAFE Violation or the Notice of SAFE Fine;

3. The QPD refuses to correct a violation;

4. The violation significantly harms the SAFE Program.

(b) The Notice of SAFE Fine shall be generated as follows:

1. Within 5 banking days of the detection of one of the conditions stated in (a) above;

2. In written form, providing details of the violation;

3. Providing the amount of the fine to be incurred by the QPD;

4. Requiring a written response from the QPD within 10 banking days of the date of the Notice;

5. Delivered by fax notice to the QPD with the original mailed.

(c) The QPD shall prepare a written response to the Notice of SAFE Fine that will:

1. Provide a corrective action plan with a timeframe for completion within 30 calendar days; and

2. Include payment by check as stated in the Notice; or

3. Provide a statement and substantiating documentation that the infraction has not occurred; and

4. Delivered by fax notice to SAFE with the original to be mailed.

(d) Written confirmation of receipt will be provided to the QPD by SAFE.

(3) The amount of the fine imposed will be determined as follows:

(a) Violations considered Non-Willful will be:

1. The first, second, and third Recurrence; and,

2. Fined in the amount of $250 per violation

(b) Violations considered Willful will be:

1. The QPD has not responded to either the Notice of SAFE Violation or the Notice of SAFE Fine; or

2. The QPD responds to either notice that it does not intend to correct the violation; or

3. The fourth Recurrence of the same violation; or

4. The violation is of such nature that it would cause significant harm to the SAFE Program; and,

5. Fined in the amount of $2,500 for each violation

Author: Daria S. Story, Assistant State Treasurer, Office of State Treasurer

Ala. Admin. Code r. 892-X-1-.14

New Rule: Filed January 23, 2004; effective February 27, 2004. Amended: Filed January 19, 2006; effective February 23, 2006.

Rule 892-X-1-.13 was renumbered to Rule 892-X-1-.14 as per certification filed January 19, 2006; effective February 23, 2006.

Statutory Authority:Code of Ala. 1975, as amended, §§ 411-4A-7, 411-4A-13.