1. (a) Purpose and construction. Section 264.0115 of the Act authorizes the board to assess administrative penalties against persons licensed or regulated under the Act for violations of the Act that do not involve the provision of direct patient care. Section 264.0115 of the Act authorizes the board to establish procedures for the alternative informal assessment of administrative penalties. Violations that are subject to an alternative informal assessment of administrative penalty are identified in §107.202(b) of this title (related to Alternative Informal Assessment of Administrative Penalty Schedule). The penalty amounts applicable to violations subject to an alternative informal assessment of administrative penalty are identified in §107.202(b) of this title (related to Alternative Informal Assessment of Administrative Penalty Schedule).

2. (b) Administrative Penalty Citation.

   1. (1) If the board identifies a violation that is subject to an alternative informal assessment of administrative penalty, it may issue an administrative penalty citation (citation) to the licensee/registrant who is alleged to have committed the violation.
   2. (2) The citation shall be served in-person or by certified mail upon the licensee/registrant who is alleged to have committed the violation.

   3. (3) The citation shall include the following:

      1. (A) a clear statement of the violation, including a citation to the relevant section of the board's rules and the Act;
      2. (B) the amount of the penalty assessed for each violation; and
      3. (C) a statement that the cited licensee/registrant may either pay the penalty or appeal the penalty in writing.
   4. (4) The licensee/registrant must respond to the citation within thirty calendar days of in-person service of the citation or within thirty calendar days of the date the citation is mailed, by certified mail, to the licensee/registrant.

3. (c) Response to Administrative Penalty Citation. The licensee/registrant may respond to the citation by:

   1. (1) paying the penalty; or
   2. (2) appealing the citation in writing by requesting a hearing under Chapter 2001 of the Texas Government Code.
4. (d) The licensee/registrant is entitled to a hearing under Chapter 2001 of the Texas Government Code. If the licensee/registrant timely submits a written appeal of the penalty, board staff shall set a hearing at the State Office of Administrative Hearings to be held no later than 30 days from the date the board receives the written appeal/request for hearing.

5. (e) Reports of Administrative Penalty Citations.

   1. (1) A citation shall be a public record.
   2. (2) A citation shall not be considered a restriction or limitation on the license or registration of the licensee/registrant and shall not be reported to the National Practitioner Data Bank.
   3. (3) The investigative file and other records related to the citation shall remain confidential, in accordance with §254.006 of the Act.
   4. (4) A report of the citations issued and payments received, pursuant to this rule and §264.0115 of the Act shall be made to the board at each regularly scheduled meeting.
6. (f) Failure to respond. If a licensee/registrant fails to respond to a citation by the due date, staff shall set the citation for a hearing under Chapter 2001 of the Texas Government Code. Board staff may seek a penalty for failure to respond to the citation in addition to the penalty in the original citation.
7. (g) Nothing in this rule shall be construed to prohibit board staff from seeking disciplinary action or a remedial plan in lieu of an administrative penalty citation.
8. (h) A citation may be issued to address some violations identified in board staff's investigation of a complaint. Nothing in this rule shall be construed to prohibit board staff from seeking disciplinary action or a remedial plan to address remaining violations that were not resolved by the issuance of a citation.
9. (i) A citation may be issued to address all violations identified in board staff's investigation of a complaint. If a complaint is fully resolved by the issuance and payment of an administrative penalty citation, the complaint is closed with the disposition "CAP - Closed by Administrative Penalty."

Source Note:The provisions of this §107.201 adopted to be effective July 11, 2016, 41 TexReg 5051.