Florida Regulations 69L-5.217

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§ 69L-5.217 Civil Penalties and Fines.

History:



69L-5.217 Civil Penalties and Fines.

(1) Civil Penalties for Delinquent Reports � Failure to timely file legible and complete forms, reports or documents as required by Section 440.38(2)(b), F.S., or these rules, shall subject the party required to file such form, report, or document to assessment by the Department of a civil penalty. For purposes of this rule, a form, report or document is considered timely filed if postmarked on or before the due date prescribed in this rule. Reports submitted by a Qualified Servicing Entity on behalf of the self-insurer shall be treated as if they were submitted by the self-insurer directly.

(a) Late filed forms, reports, and documents required pursuant to this rule shall be penalized as follows:

1. $100 for filings 1 to 14 days late. 2. $500 for filings 15 to 30 days late. 3. $1,000 for filings 31 to 60 days late. 4. For periods greater than sixty (60) days, $200 per day from the required filing date. Total penalties assessed under this section for a single late filed form, report, or document shall not exceed $10,000.

(b) These civil penalties are to be applied per occurrence, perform, report, or document. Payment shall be made within fifteen (15) days after receipt of the notification and submitted along with the form, report, or document. Failure to submit the required forms, reports and documents constitutes good cause for revocation of the self-insurance authorization in addition to civil penalties specified in this rule.

(c) Any self-insurer that has been assessed penalties in excess of the amounts specified in paragraph (a) herein since March 9, 2010 until the effective date of this amended rule will have its penalty amount recalculated pursuant to paragraph (a). If the self-insurer has already paid penalties to the Department, the Department shall refund the difference between the penalties paid and those recalculated under paragraph (a) to the self-insurer, unless the self-insurer owes any outstanding, unpaid penalties to the Department. Any outstanding, unpaid penalties must be paid in full prior to any refund being issued by the Department.

(2) A request for an extension of time to file a form, report or document shall be made in writing by the self-insurer or its Qualified Servicing Entity and shall be postmarked no later than fifteen (15) days prior to the due date of the form, report or document. Extensions shall be granted in writing and notice provided to the self-insurer or Qualified Servicing Entity. Such extension shall establish a new one-time due date subject to the same provision for late filing.

(a) For forms, reports, or documents, other than Actuarial Reports requested by the Association and Financial Statements, extensions shall be granted by the Division if proof is supplied by the self-insurer or Qualified Servicing Entity that circumstances entirely beyond the control of the self-insurer or its Qualified Servicing Entity have made it impossible to file in a timely manner. Such circumstances shall be limited to:

1. The destruction of the records of the self-insurer or its Qualified Servicing Entity, 2. Delays caused by Acts of God or nature; or, 3. Delays caused by other regulatory processes of the State of Florida or the United States Government.

(b) Clerical errors, personnel turnover, accidental or intentional destruction of forms and records by employees of the self-insurer or its Qualified Servicing Entity or any delays caused by the incompetence of the employees of the self-insurer or its Qualified Servicing Entity shall not be grounds for an extension.

(c) For Financial Statements, extensions shall be granted by the Division if proof is supplied by the self-insurer that circumstances entirely beyond the control of the self-insurer have made it impossible to file in a timely manner. Extensions may be granted for up to sixty (60) days if the self-insurer submits draft Financial Statements and provides evidence that the reason for the delay in submittal is entirely beyond the control of the self-insurer. For extensions beyond sixty (60) days from the original due date, circumstances shall be limited to:

1. The destruction of the records of the self-insurer, 2. Delays caused by Acts of God or nature; or, 3. Delays caused by other regulatory processes of the State of Florida or the United States Government.

(3) For consideration of extensions beyond sixty (60) days from the original Financial Statements due date, clerical errors, personnel turnover, accidental or intentional destruction of forms and records by employees of the self-insurer or any delays caused by the incompetence of the employees of the self-insurer shall not be grounds for an extension.

(4) Fines for Delinquent Payment of Assessments � Assessments payable to the Florida Self-Insurers Guaranty Association, Inc., not postmarked by the due date, shall incur a fine of $100 or 5% of the assessment due, whichever is greater, per month until paid. Total penalties under this section shall not exceed the greater of $25,000 or 50% of the total assessment amount.

(5) All civil penalty and fine payments shall be made payable to the Workers� Compensation Administration Trust Fund and mailed to the: Department of Financial Services Division of Workers� Compensation Bureau of Monitoring and Audit/Self-Insurance 200 East Gaines Street Tallahassee, FL 32399-4224

(6) Failure to submit forms, reports, documents, Financial Statements or Actuarial Reports or to remit civil penalties or fines shall be grounds for revocation of the self-insurance authorization.

Rulemaking Authority 440.38(1), (2), (3), 440.385(6), 440.525(2), 440.591 FS. Law Implemented 440.38(1), (2), (3), 440.385(1), (3), (6), 440.525 FS. History�New 3-9-10, Amended 12-29-11.