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Penalty Policy

These documents describe our policy on computing and assessing administrative penalties. They do not address when an enforcement action is initiated, but rather how we evaluate violations for the purpose of calculating administrative penalties.

Penalty Policy Documents

Penalty Policy, Jan. 28, 2021 Adobe Acrobat PDF Document
The effective date for the Fifth Revision of the Penalty Policy is January 28, 2021. Violations documented in investigations commencing on or after January 28, 2021 are subject to the new policy. If the violation occurred before September 1, 2011, then the Second Revision of the Penalty is applicable.
Penalty Policy, April 1, 2014 Adobe Acrobat PDF Document
Penalty Policy, Sept. 1, 2011 Adobe Acrobat PDF Document
Penalty Policy, Sept. 1, 2002 Adobe Acrobat PDF Document

Why did we revise the penalty policy?

The Penalty Policy was last revised on April 1, 2014. The changes brought the document up-to-date with practices that were already effective, including statutory changes that were made during the 82nd and 83rd legislative sessions, adding deferral criteria, reorganization to better align the policy with the penalty calculation worksheet, updating the implementation language, and other edits to improve clarification.

How are we implementing the policy?

We are implementing these documents based on the following criteria:

  • All violations that occurred before Sept. 1, 2011, are subject to the second revision of the Penalty Policy (effective Sept. 1, 2002).
  • For violations that occurred on or after Sept. 1, 2011:
    • All Enforcement Action Referrals assigned on or after April 1, 2014, are subject to the fourth revision of the Penalty Policy.
    • All EARs assigned before April 1, 2014, are subject to the revision of the Penalty Policy that was applicable at the time the EAR was assigned.