Licensed Breeders Penalty Matrix DRAFT

The Licensed Breeder Advisory Board met on August 21, 2012 and agreed to release a draft of the Licensed Breeder penalty matrix to the public for comment and feedback. The comment period is now closed.

View the penalty matrix draft

The purpose of the penalty matrix is to establish a structure to be used by TDLR’s prosecuting attorneys when making decisions about the relief sought in enforcement cases. They are expected to seek penalties and sanctions that are within the ranges in the matrix. Pursuit of a penalty or sanction outside the stated range is permitted only with the approval of TDLR’s Director of Enforcement when exceptional circumstances warrant.

Factors TDLR considers when developing the matrix:

The severity or seriousness of the violation.
Whether the violation was willful or intentional.
Whether the Respondent acted in good faith to avoid or mitigate the violation or to correct the violation after it became apparent.
Whether the Respondent has engaged in similar violations in the past.
The level of penalty or sanction necessary to deter future violations.
Any other matter that justice may require.

Helpful links:

Licensed Breeders Penalty Matrix DRAFT

Class A

1st Violation: $500
2nd Violation: $700 – $900
3rd Violation: $1,100 – $1,300

POSTING AND PUBLIC INFORMATION VIOLATIONS

Failure to prominently display a copy of the breeders license in the facility in an area easily accessible to the public — 802.151(1), 91.72
Failure to maintain a current copy of the Licensed Breeders law and rules in a manner prescribed by the Department — 802.151(2), 91.73
Failure to include the license number in a contract for animal transfer or sale — 802.151(4)(A), 91.74(a)(1)
Failure to include the Department’s information in a contract for animal transfer or sale — 802.151(4)(B), 91.74(a)(2)
Failure to include the facility license number in an advertisement in the proper font — 91.71(b)

ADMINISTRATIVE VIOLATIONS

Failure to notify the Department in the required manner by the 10th day following a change in address, name, management, or controlling person — 802.152, 91.75
Submitted the required accounting to the Department of animals but failed to use the required form or failed to submit the accounting by February 1st — 802.153(a), 91.76(a), 91.76(c)(2)

Class B

1st Violation: $750
2nd Violation: $1,000 – $1,250
3rd Violation: $1,500 – $1,750

OPERATING WITHOUT PROPER LICENSE

Engaged in breeding activities while license was expired — 802.106(b), 91.24(b)

ADVERTISING VIOLATIONS

Failure to include license number in an advertisement — 802.151(3)
Engaged in false, misleading, or deceptive advertising — 91.71(a)

MATERIALS/CONSTRUCTION – FACILITIES

Housing facility not structurally sound, kept in good repair, protecting and containing the dogs or cats, or restricting other animals from entering — 91.100(1)
Housing facility not physically separated from another business — 91.100(2)
Housing facility surfaces not constructed in a manner or made of materials that allow them to be readily cleaned and sanitized, or removed or replaced when worn or soiled — 91.100(3)(A)
Housing facility surfaces not free of excessive rust, jagged edges or sharp points — 91.100(3)(A)(i), 91.100(3)(A)(ii)
Failure to maintain surfaces of a facility on a regular basis, or replace surfaces that cannot be readily cleaned and sanitized when required — 91.100(3)(B), 91.103(c)
Failure to have reliable, adequate power or adequate running potable water for a housing facility — 91.100(4)
Housing facility not equipped with disposal facilities and drainage systems in the required manner or location — 91.100(6)
Failure to provide readily accessible washing facilities in a housing facility for animal caretakers — 91.100(7)
All required surfaces of a housing facility not impervious to moisture or replaceable — 91.101(d), 91.102(e)(1), 91.103(c)
Shelter structure in outdoor facility did not contain a roof, four sides and a floor — 91.103(b)
Failure to have at least one shelter structure of the required size and accessible to each animal in an outdoor facility — 91.103(b)
Prohibited items or material used as shelter structures in an outdoor facility — 91.103(c)
Failure to replace flooring in an outdoor facility when required — 91.103(c)

MATERIALS/CONSTRUCTION – PRIMARY ENCLOSURES

Primary enclosure not designed or constructed of suitable materials or not kept in good repair — 91.104(1)(A)
Primary enclosure had sharp points or edges which could injure a dog or cat, or enclosure failed to protect a dog or cat from injury — 91.104(1)(B)(i), 91.104(1)(B)(ii)
Failure of a primary enclosure to contain a dog or cat securely or failure to keep other animals from entering — 91.104(1)(B)(iii), 91.104(1)(B)(iv)
All surfaces of a primary enclosure in contact with dogs or cats could not be readily cleaned and sanitized or replaced when required — 91.104(1)(B)(ix)
Failure to have primary enclosure floors constructed in the required manner to protect dogs and cats’ feet from injury or pass through openings in the floor — 91.104(1)(B)(x)
Failure to have suspended floor in a primary enclosure meet requirements — 91.104(1)(B)(xii)
Resting surface did not meet all size and material requirements — 91.104(2)(I)

PRIMARY ENCLOSURES -- TRANSPORTATION STANDARDS

Failure to contain a dog or cat in acceptable primary enclosure for transport or delivery for transport in commerce — 91.202(1)
Primary enclosure not strong enough to contain dogs and cats as required — 91.202(1)(A)
Primary enclosure had sharp points, edges, or protrusions which could injure the animal contained in it — 91.202(1)(B)
Primary enclosure did not securely contain dog or cat at all times within the enclosure, or prevent any part of the body from being put outside the enclosure — 91.202(1)(C)
Primary enclosure did not allow a dog or cat to be easily or quickly removed from the enclosure in an emergency — 91.202(1)(D)
Primary enclosure did not provide adequate devices on its exterior when not permanently affixed to conveyance to enable the enclosure to be lifted without tilting, or prevent anyone handling the enclosure from coming into contact with the contained animal 91.202(1)(E)
Primary enclosure was not clearly marked with the words “Live Animals” in the required places, lettering, and markings when not permanently affixed to conveyance — 91.202(1)(F)
Primary enclosure used a substance in or on the enclosure that was toxic to the animal or harmful to its health or well-being — 91.202(1)(G)
Primary enclosure did not have a solid, leak-proof bottom or a removable leak-proof collection tray under a slatted or mesh-floor — 91.202(1)(I)
Primary enclosure removable floor not designed and constructed so that an animal could not put any part of its body between the slats or through the holes — 91.202(1)(I)

PERSONNEL

Failure to have enough employees onsite to carry out the required level of husbandry practices and care — 91.110(a)
Failure to have employees who provide for husbandry and care, or handle animals, supervised by the appropriate person — 91.110(a)
Failure to have training documented for employees who handle or care for a dog or cat — 91.110(b)
Employed an individual who did not have the appropriate training — 91.110(b)

Class C

1st Violation: $1,000
2nd Violation: $1,250 – $1,500
3rd Violation: $1,750 – $2,000 and/or up to 6-month probated suspension

ADMINISTRATIVE VIOLATIONS

Failure to assist upon request an inspector in performing an inspection — 802.062(c), 91.52(c), 91.78
Failure to submit to the Department an accounting of all animals held in each facility any time during the preceding calendar year — 802.153(a), 91.76(a), 91.76(c)(2)
Failure to make copy of annual inventory form available upon request from the Department or third-party inspector — 802.153(b), 91.52(h), 91.53(e), 91.76(b)
Failure to provide relevant documents or records during an inspection — 91.52(h), 91.53(e)
Failure to make an animal’s care record available to an inspector upon request — 802.154(b), 91.77(a)(3), 91.106(d)(2)
Failure to pay the fee for an out-of-cycle inspection — 91.53(c)
Failure to comply with any corrective action required under an inspection report in the time provided by the report — 802.107(c)(5), 91.54(a)(2), 91.92(b)(5)
Failure to provide written verification of corrective actions to the Department when required — 91.54(a)(2)

UNLICENSED ACTIVITY

Acted, offered to act, or represented to be a dog or cat breeder without holding a license — 802.101(a)
Failure to have a breeders license for each facility owned or operated — 802.101(a), 91.22(a)

RECORDS

Failure to keep a copy at each facility of the annual inventory of animals — 802.153(b), 91.76(b), 91.76(c)(1)
Failure to maintain an animal’s care record in the facility at which the animal was last kept for two years from the date of the last entry in the records — 91.77(a), 91.77(a)(1), 91.77(b)
Failure to maintain a separate record of care for each animal containing the required information — 91.77(a), 91.77(a)(1)
Failure to transfer records relating to an animal with the transferred animal — 91.77(c)
Failure to have the annual examination documented by the veterinarian in the medical records of an animal — 91.112(a)
Failure to have the written health care management protocol contain all required health care records, including all authorized exemptions approved by a veterinarian — 91.112(c)(2)
Failure to transfer a copy of the written health care management protocol with a transferred or sold animal, or to retain the original records — 91.112(c)(3)
Failure to have the length of the adequate rest period between breeding cycles for each female documented in the medical records for that animal — 91.112(d)

RECORDS--TRANSPORTATION STANDARDS

Failure to have required shipping documents accompany the shipment of dogs and cats — 91.202(8)
Failure to have shipping documents held by the primary conveyance operator or attached to the outside of the primary enclosure in the required manner — 91.202(8)

CLEANING/SANITATION

Housing facilities or food and bedding storage not free of prohibited materials, kept neat, or free of clutter — 91.100(2)
Failure to spot-clean daily and sanitize hard and other surfaces, rake and spot clean designated flooring-types, or replace contaminated material — 91.100(3)(C)
Failure to store food and bedding supplies in the required manner — 91.100(5)
Stored required substance that is toxic to dogs or cats in food storage or preparation area — 91.100(5)
Failure to provide for regular and frequent collection, removal, and disposal of animal and food wastes, bedding, debris, garbage, water, other fluids and wastes, and dead animals in the required manner — 91.100(6)
Failure to drain or mop standing water in an animal enclosure — 91.100(6)
Trash containers not leak-proof or did not have tightly fitted lids at all times — 91.100(6)
Kept dead animals, animal parts or animal waste in prohibited areas — 91.100(6)
Failure to provide a receptacle containing sufficient clean litter in all primary enclosures — 91.104(2)(H)
Failure to remove excreta and food waste daily from primary enclosures — 91.109(a)
Failure to remove excreta and food waste from under primary enclosures as often as required — 91.109(a)
Failure to remove standing water from primary enclosures — 91.109(a)
Failure to clean pans under primary enclosures and raised runs with wire, mesh, or slatted floors — 91.109(a)
Used a primary enclosure for another dog, cat, or social grouping without cleaning and sanitizing as required — 91.109(b)(1)
Failure to clean and sanitize a primary enclosure as required at least once every two weeks or more often when necessary — 91.109(b)(2)
Failure to sanitize a primary enclosure with live steam under pressure, hot water and soap or detergent, or an appropriate detergent and disinfect solution — 91.109(b)(3)
Failure to remove contaminated material as required from pens, runs, and outdoor housing areas that cannot be sanitized — 91.109(b)(4)
Failure to keep housing facilities and surrounding grounds clean and in good repair — 91.109(c)
Failure to keep housing facilities and surrounding grounds free of accumulations of trash, junk, waste products, and discarded matter — 91.109(c)
Failure to control weeds, grasses, and bushes of housing facilities and surrounding grounds — 91.109(c)
Failure to establish and maintain an effective program for the control of insects, external parasites, and birds and mammals that are pests — 91.109(d)

CLEANING/SANITATION--TRANSPORTATION STANDARDS

Primary enclosure did not contain enough previously unused litter to absorb and cover excreta, or litter was not suitably absorbent, or safe and nontoxic to dogs and cats — 91.202(1)(I)
Failure to clean and sanitize primary enclosure before each use in the required method — 91.202(2)
Failure to clean primary enclosure and replace litter , or move dog or cat to another enclosure, when the animal was in transit more than 24 hours — 91.202(2)

Class D

1st Violation: $1,500
2nd Violation: $1,800 – $2,100
3rd Violation: $2,400 – $2,700 and/or up to 6-month full suspension

ENVIRONMENT / TEMPERATURE / ELEMENTS

Failure to sufficiently heat and cool an indoor or sheltered housing facility as necessary, or allowed ambient temperature to go above or below listed temperatures for more than two consecutive hours — 91.101(a), 91.102(a)
Failure to provide dry bedding, solid resting boards, or other method of conserving body heat when required in an indoor or sheltered facility — 91.101(a), 91.102(a)
Failure to maintain relative humidity at the required level as documented in the medical records for each animal — 91.101(b)
Failure to sufficiently ventilate an indoor housing facility or sheltered part of sheltered housing facility when dogs or cats are present — 91.101(b), 91.102(b)
Failure to adequately light an indoor or sheltered housing facility as required — 91.101(c), 91.102(c)
Failure to place primary enclosure so as to protect dogs or cats from excessive light — 91.101(c), 91.102(c)
Failure to provide dogs or cats with adequate shelter from the elements at all times — 91.102(d)
Failure to provide at least one outdoor area of shade large enough to contain all animals at once — 91.103(b)
Failure to provide dogs or cats in an outdoor facility with adequate protection and shelter from cold and heat — 91.103(b)(1)
Failure to provide dogs or cats in an outdoor facility with protection from direct rays of the sun and direct effect of wind, rain, or snow — 91.103(b)(2)
Failure of an outdoor facility to contain a wind break and rain break at the entrance — 91.103(b)(3)
Failure to contain the proper amount of clean, dry, bedding material in an outdoor facility when ambient temperature dropped below listed temperatures — 91.103(b)(4)
Primary enclosure did not enable the dog or cat to remain clean and dry, or did not provide shelter and protection for extreme temperatures and weather — 91.104(1)(B)(v), 91.104(1)(B)(vi)
Primary enclosure failed to provide sufficient shade to shelter all dogs or cats housed in the primary enclosure at one time — 91.104(1)(B)(vii)

ENVIRONMENT / TEMPERATURE / ELEMENTS – TRANSPORTATION STANDARDS

Failure to sufficiently heat and cool a mobile or traveling housing facility as necessary, or allowed ambient temperature to go above or below listed temperatures for more than two consecutive hours — 91.201(a)
Failure to provide dry bedding, solid resting boards, or other method of conserving body heat when required — 91.201(a)
Failure to sufficiently ventilate a mobile or traveling housing facility at all times when dogs or cats are present — 91.201(b)
Failure to adequately light a mobile or traveling housing facility as required — 91.201(c)
Primary enclosure did not provide proper ventilation — 91.202(1)(H)
Non-permanently affixed primary enclosure did not have ventilation openings or openings did not meet location and size requirements — 91.202(3)(A)
Non-permanently affixed primary enclosure did not have projecting rims or similar devices of the required size to prevent obstruction of ventilation openings — 91.202(3)(B)
Permanently affixed primary enclosure did not have a front ventilation opening or opening did not meet size and construction requirements — 91.202(3)(C)
Permanently affixed primary enclosure not affixed in such a way that the front ventilation opening opened directly to an unobstructed aisle or passageway and the opening could not be blocked — 91.202(3)(C)
Positioned a primary enclosure in a primary conveyance where it was not provided protection from the elements — 91.202(5)(B)

PLACEMENT/GROUPING

Kept a prohibited category of dog or cat in an outdoor facility — 91.103(a)(1)
Kept dog or cat in an outdoor facility when its acclimation status was unknown — 91.103(a)(2)
Placed a primary enclosure without an impervious barrier on top of another primary enclosure — 91.104(1)(A)
Failure to meet primary enclosure compatibility requirements, specifically: — 91.104(2)(G), 91.105
Housed non-compatible cats/dogs, or more than 12 non-conditioned adults, in the same enclosure — 91.104(2)(G), 91.104(3)(B), 91.105
Housed females in heat with sexually mature males when not breeding — 91.104(2)(G), 91.104(3)(B), 91.105(1)
Housed females with litters, or kittens/puppies under six months, with other adults — 91.104(2)(G), 91.104(3)(B), 91.105(3)
Failure to house cats/dogs with a vicious or aggressive disposition separately — 91.104(2)(G), 91.104(3)(B), 91.105(2)
Used permanent tethering as a primary enclosure — 91.104(3)(C)
Stacked primary enclosures above three vertical levels — 91.104(3)(D)
Housed dogs or cats in same primary enclosure with another species of animal that is incompatible — 91.105(4)
Failure to isolate a dog or cat that had or was suspected of having a contagious disease, as directed by a veterinarian — 91.105(5)
Kept a dog or dogs in a group when a veterinarian determined it would affect health or well-being, or any dog exhibited aggressive or vicious behavior — 91.106(b)(1), 91.106(b)(2)
Failure to remove dogs and cats from a primary enclosure during steam or water cleaning when required — 91.109(a)
Failure to protect animals in other primary enclosures from being contaminated with water and other wastes during cleaning — 91.109(a)

PLACEMENT/GROUPING– TRANSPORTATION STANDARDS

Failure to safeguard a dog or cat from injury or prevent escape when cleaning or changing primary enclosures — 91.202(2)
Transported dogs or cats of different species or an incompatible group in the same primary enclosure — 91.202(4)(A)
Transported puppies or kittens six months of age or less in the same primary enclosure with adult dogs or cats not their dams — 91.202(4)(B)
Failure to individually transport a dog or cat that was overly aggressive or exhibited a vicious disposition — 91.202(4)(C)
Transported a female dog or cat in heat in the same primary enclosure with an adult male dog or cat — 91.202(4)(D)
Transported more than one dog or cat by air in the same primary carrier when not allowed — 91.202(6)(A)
Transported more than one puppy by air in the same primary enclosure when not allowed — 91.202(6)(B)
Transported more than two puppies or kittens by air in the same primary enclosure when not allowed — 91.202(6)(C)
Transported unweaned puppies or kittens less than eight weeks old to a research facility without their dam — 91.202(6)(D), 91.202(7)(B)
Transported more than four dogs or cats by surface vehicle or privately owned aircraft in the same primary carrier when not allowed — 91.202(7)(A)

Class E

1st Violation: $2,000
2nd Violation: $2,500 – $3,000 and/or up to 1-year full suspension
3rd Violation: $3,500 – $4,000 plus up to 1-year full suspension

EXERCISE

Failure to develop, document, or follow a plan with written standard procedures to provide dogs with the opportunity for daily exercise — 91.106(a)
Failure to have a daily exercise plan approved and documented in each dog’s medical records by a veterinarian — 91.106(a)
Failure to give dogs in a group additional opportunity for daily exercise when the dogs’ ages or the group’s space did not meet minimum requirements — 91.106(b)
Failure to give a dog 12 weeks of age or older the required frequency, method, and duration of the opportunity for exercise — 91.106(c)(1)
Failure to provide a dog with the minimum required positive physical contact with humans — 91.106(c)(2)
Used a forced exercise method or device to meet exercise requirement — 91.106(c)(4)
Exempted dog from meeting exercise requirement without documentation from veterinarian at least every 30 days — 91.106(d)(1)

HEALTH CARE

Failure to provide basic grooming to each animal as required — 91.111
Failure to have each animal used for breeding examined by a veterinarian at least once every 12-month period — 91.112(a)
Euthanized an animal or performed a surgical birth when not a veterinarian — 91.112(b)
Allowed someone who was not a veterinarian to euthanize an animal or perform a surgical birth — 91.112(b)
Failure to develop for each animal and maintain at each facility a written health care management protocol approved by a veterinarian — 91.112(c)
Failure to ensure the written health care management protocol was followed and routine and preventative healthcare was provided to each animal — 91.112(c)(1)
Failure to ensure the written health care management protocol was followed and each animal received appropriate care and treatment for any injury, disease, or illness that may have affected the animal’s health or well-being — 91.112(c)(1)
Failure to provide breeding females with adequate rest between breeding cycles — 91.112(d)
Sold, traded, or gave away an animal less than eight weeks of age — 91.113

Class F

1st Violation: $3,000
2nd Violation: $3,500 – $4,000 plus 1-year full suspension
3rd Violation: $4,500 – $5,000 plus 1-year full suspension up to revocation

SPACE

Failure to provide sufficient space in a primary enclosure for a dog or cat to turn about freely, to stand, sit, lie, and to walk in a normal manner — 91.104(1)(B)(xi)
Failure to provide a cat in a primary enclosure with minimum required floor space — 91.104(2)(A), (C), (D) & (F)
Failure of a primary enclosure for a cat to be at least 24 inches high — 91.104(2)(B)
Failure to meet floor space requirements for a queen with nursing kittens — 91.104(2)(E), 91.104(2)(F)
Failure to provide a dog in a primary enclosure with minimum required floor space — 91.104(3)(A)(i)
Failure to meet floor space requirements for a bitch with nursing puppies — 91.104(3)(A)(ii)
Interior height of a primary enclosure for dogs did not meet minimum requirements — 91.104(3)(A)(iii)

SPACE– TRANSPORTATION STANDARDS

Primary enclosure was not large enough to ensure the animal contained could move, stand, sit, and lie as required — 91.202(5)(A)

FOOD/WATER

Failure to provide all dogs or cats with easy and convenient access to clean food and water — 91.104(1)(B)(viii)
Failure to feed dogs and cats at least once each day or as otherwise required — 91.107(a)
Fed a dog or cat contaminated, unwholesome, or unpalatable food, or of insufficient quantity and nutritive value to maintain the normal condition and weight of the animal — 91.107(a)
Dog or cat’s diet was inappropriate for its age or condition — 91.107(a)
Failure to use food receptacles or receptacles were not readily accessible — 91.107(b)
Failure to locate food receptacles so as to minimize contamination or to protect them from rain, sleet, or snow — 91.107(b)
Used non –disposable food receptacles that were not made of required material — 91.107(b)
Used self-feeders for wet food — 91.107(b)
Failure to ensure feed had no molding, deterioration, or caking — 91.107(b)
Failure to offer potable water to dogs and cats at least twice daily for at least one hour each time — 91.108

FOOD/WATER – CLEANING/SANITATION

Failure to keep food receptacles or self-feeders clean and sanitize them as required — 91.107(b)
Failure to discard disposable food receptacles after one use — 91.107(b)
Failure to keep water receptacles clean and sanitized — 91.108
Failure to clean and sanitize water receptacles before being used by a different dog, cat, or social grouping — 91.108
Used a food or water receptacle for another dog, cat, or social grouping without cleaning and sanitizing as required — 91.109(b)(1)
Failure to clean and sanitize a food or water receptacle as required at least once every two weeks or more often when necessary — 91.109(b)(2)
Failure to sanitize a food or water receptacle with live steam under pressure, hot water and soap or detergent, or an appropriate detergent and disinfect solution — 91.109(b)(3)

FOOD/WATER – TRANSPORTATION STANDARDS

Failure to offer a dog or cat at least 16 weeks of age food once every 24 hours — 91.200(a)
Failure to offer a dog or cat less than 16 weeks of age food once every 12 hours — 91.200(a)
Failure to offer a dog or cat potable water once every 12 hours — 91.200(a)
Failure to offer a dog or cat potable water within four hours of being transported in commerce — 91.200(a)
Failure to securely attach to the outside of the primary enclosure of an animal transported in commerce the written instructions for in-transit food and water requirements when required — 91.200(b)
Failure to attach the in-transit food and water requirements in the required manner — 91.200(b)
Failure to attach to inside of a primary enclosure food and water receptacles in the required manner — 91.200(c)
Failure to have instructions for food, water, administration of drugs or medication, and other special care attached to the outside of the primary enclosure in the required manner — 91.202(8)

Class G

1st Violation: Revocation and/or $3,000 to $5,000
2nd Violation: Revocation and/or $5,000
3rd Violation: Revocation and/or $5,000

Failure to comply with previous order of Commission/Executive Director 51.353(a), — 91.90
Obtained a license by fraud or false representation — 802.107(c)(3), 60.23(a)(1), 91.92(b)(3)
Submitted falsified required documents as part of the initial or renewal application packet — 802.107(c)(3), 60.23(a)(2), 91.92(b)(3)
Failure to pay the Department for a dishonored check — 60.82

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