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. (1) Notice of SAFE Violation.

   1. (a) The written notice of SAFE Violation will be issued detailing the violation and 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;
   2. (b) The QPD shall prepare a written Response to notice of SAFE Violation within 10 banking days that provides a corrective action plan with a timeframe for completion within 30 calendar days; or a statement and substantiating documentation that the infraction has not occurred.
   3. (c) 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. (2) Notice of SAFE Fine.

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

      1. 1. The Recurrence of a previous infraction cited by a notice of SAFE Violation.
      2. 2. No response is received from the QPD to either the notice of SAFE Violation or the notice of SAFE Fine;
      3. 3. The QPD refuses to correct a violation;
      4. 4. The violation significantly harms the SAFE Program.
   2. (b) The written notice of SAFE Fine shall provide details of the violation and provide the amount of the fine to be incurred by the QPD.
   3. (c) The QPD shall prepare a written response to the notice of SAFE Fine within 10 banking days that provides a corrective action plan with a time frame for completion within 30 calendar days and includes payment by check as stated in the notice, or provides a statement and substantiating documentation that the infraction has not occurred.

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

   1. (a) Violations considered Non-Willful will be:

      1. 1. The first, second, and third Recurrence; and,
      2. 2. Fined in the amount of $250 per violation

   2. (b) Violations considered Willful will be:

      1. 1. The QPD has not responded to either the notice of SAFE Violation or the notice of SAFE Fine; or
      2. 2. The QPD responds to either notice that it does not intend to correct the violation; or
      3. 3. The fourth Recurrence of the same violation; or
      4. 4. The violation is of such nature that it would cause significant harm to the SAFE Program; and,
      5. 5. Fined in the amount of $2,500 for each violation

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

Statutory Authority: Code of Ala. 1975, as amended, §§41-14A-7, 41-14A-13.

Editor’s Note: Rule 892-X-1-.13 was renumbered to Rule 892—X-1-.14 as per certification filed January 19, 2006; effective February 23, 2006.

History: New Rule: Filed January 23, 2004; effective February 27, 2004. Amended: Filed January 19, 2006; effective February 23, 2006. Amended: Filed October 3, 2011; effective November 7, 2011.