Fla. Admin. Code R. 5L-1.006 (2026)
Compliance and Penalties
(1) The Department shall initiate enforcement action as follows:
(a) The Department shall inspect all certified shellfish processing facilities as necessary. The deficiency(ies) cited in an inspection report shall be documented regardless of the type of inspection being conducted.
(b) At the completion of an inspection, if a deficiency is cited the Department will provide a corrective action plan. Lack of cooperation from the owner, facility supervisor or the designated representative will not affect the validity of the corrective action plan or requirement that the plan be implemented. The owner, facility supervisor, and the designated representative shall ensure that the certified shellfish processing facility is in full compliance with the corrective action plan. The owner, facility supervisor, or the designated representative’s failure to comply with the corrective action plan will lead to administrative actions, suspension, and/or revocation of the Shellfish Processing Facility Certification.
(c) If, upon inspection, the Department cites the certified shellfish processing facility for a critical, key, or other deficiency(ies), the following schedule will be used by the Department with respect to the administrative actions to be taken:
Critical deficiency(ies)
When one or more critical deficiency(ies) is cited a warning letter will be issued to the certified shellfish processing facility. The deficiency must be corrected immediately. If the deficiency cannot be corrected immediately, the shellfish processing facility certification to operate will be suspended due to the presence of a public health threat. If the certification to operate is suspended, it will remain suspended until corrections are made and verified by the Department. Product affected by the critical deficiency will be controlled to prevent contaminated or adulterated product from reaching consumers. When necessary, the Department shall detain or seize any product that may have been adulterated, initiate a recall of any distributed product and notify necessary officials of a recall.
In addition to these actions the sanction to be imposed on the certified shellfish processing facility upon the finding of any deficiency(ies), as defined in Rule 5L-1.002, F.A.C., will be as follows:
Offense | Critical | Key | Other |
1st | Operations or certification suspended until corrected and a warning letter issued | Correct deficiency pursuant to date on corrective action plan | Correct deficiency pursuant to date on corrective action plan |
1st Repeat within proceeding 180 days | Operations or certification suspended until corrected and fine of $500 per violation | Correct deficiency pursuant to date on corrective action plan and fine of $100 per violation | Correct deficiency pursuant to date on corrective action plan and fine of $50 per violation |
2nd Repeat within proceeding 180 days | Operations or certification suspended until corrected and fine of $1,000 per violation | Correct deficiency pursuant to date on corrective action plan and fine of $200 per violation | Correct deficiency pursuant to date on corrective action plan and fine of $100 per violation |
3rd Repeat within proceeding 180 days | Fine of $1,000 per violation and 7-day suspension of certification or until corrected, whichever is later | Correct deficiency pursuant to date on corrective action plan and fine of $500 per violation and 7-day suspension of certification | Correct deficiency pursuant to date on corrective action plan and fine of $200 per violation |
4th or Subsequent Repeat within proceeding 180 days | Fine of $1,000 per violation and 14-day suspension of certification | Correct deficiency pursuant to date on corrective action plan and fine of $1,000 per violation and 14-day suspension of certification | Correct deficiency pursuant to date on corrective action plan and fine of $400 per violation |
(d) A warning letter will be sent to the certified shellfish processing facility when the establishment has:
1. One or more critical item deficiencies cited in violation of Chapter 5L-1, F.A.C., or
2. More than two key item deficiencies cited in violation of Chapter 5L-1, F.A.C., or
3. Five or more item deficiencies of any type cited in violation of Chapter 5L-1, F.A.C.
(e) Violations Not All-Inclusive. This rule contains illustrative violations. It does not, and is not intended to, encompass all possible violations of statute or Department rule by a certified shellfish processing facility that may adversely affect public health, safety, or welfare or that creates a significant threat of such harm. The absence of any violation from this rule shall in no way be construed to indicate that the violation does not cause harm to the public or is not subject to a penalty. In any instance where the violation is not listed in Chapter 5L-1, F.A.C., the penalty will be determined by consideration of:
1. The closest analogous violation, if any, that is listed in this rule; and
2. The mitigating or aggravating factors listed in this rule.
(f) Willful violations shall result in the imposition of an administrative fine of $1,000 per violation, the suspension of shellfish processing facility certification, revocation of shellfish processing facility certification, or any combination thereof. The following shall constitute a willful violation by the certified shellfish processing facility:
1. The falsification of any records, tags or labels required under this chapter or Chapter 5L-3, F.A.C.
2. The sale or distribution, or offering for sale or distribution, of any shellstock under recall order pursuant to subsection 5L-1.004(8), F.A.C.
3. Introducing adulterated or misbranded shellfish products into commerce.
4. The failure to oversee the receiving of shellstock from harvesters.
5. Deterring or preventing an employee of the Department from performing any duties authorized by law.
(g) A renewal of a shellfish processing facility’s certification will not be made if there are any unpaid fines with respect to prior certification periods.
(2) The Department shall suspend the shellfish processing facility’s certification if it is determined that there is an immediate serious danger to the public health, safety, or welfare requiring such emergency action. The Department shall, at the time the emergency action is taken, initiate proceedings as provided in Section 120.60, F.S.
(3) Upon suspension or revocation of the facility’s shellfish processing certification, the facility’s business name and certification number will be removed from the Interstate Certified Shellfish Shippers List. Upon reinstatement of the certification, the facility’s business name and certification number will be reinstated on the Interstate Certified Shellfish Shippers List.
(4) When the Department finds, or has reason to believe, that any equipment which is located at a certified shellfish processing facility is in violation of this chapter so as to be dangerous or unsanitary the Department may issue and enforce a stop-sale, stop-use, removal, or hold order, which order gives notice that such equipment is, or is suspected of being, in violation and has been detained or embargoed and which order warns all persons not to remove, use, or dispose of such equipment by sale or otherwise until permission for removal, use, or disposal is given by the Department or the court. It is unlawful for any person to remove, use, or dispose of such detained or embargoed equipment by sale or otherwise without such permission.
(5) Aggravating and Mitigating Factors. The Department will consider aggravating and mitigating factors in determining penalties for violations of this rule chapter. The factors shall be applied against each single count of the listed violation.
(a) Aggravating Factors:
1. The violation caused, or has the potential to cause, harm to the public.
2. The violation endangered the public safety or welfare.
3. Previous violations for the same or a similar offense that resulted in enforcement action, including civil warning letters, notices of noncompliance or administrative complaints or any criminal action taken by law enforement agencies.
4. The certified shellfish processing facility impeded, or otherwise failed to cooperate with, the Department’s inspection and/or investigation.
5. The number and severity of other violations documented in the same proceeding.
6. The benefit to the certified shellfish processing facility.
(b) Mitigating Factors:
1. Any documented efforts by the violator at rehabilitation.
2. Whether actions of another party prevented the certified shellfish processing facility from complying with the applicable laws or rules.
3. Acts of God or nature that impaired the ability of the certified shellfish processing facility to comply with this rule chapter.
4. The violation has a low risk of, or did not result in, harm to the public health, safety, or welfare.
5. The inspection history of the certified shellfish processing facility has no documented violations in the last 2 years.
Rulemaking Authority 500.09, 597.020 FS. Law Implemented 500.09, 597.020 FS. History–New 1-4-87, Amended 8-10-88, 7-9-89, Formerly 16R-7.009, Amended 7-3-95, 2-6-97, Formerly 62R-7.009, Amended 8-9-00, 5-29-02, 3-23-17, 1-18-23, 9-7-26.
Effective: 9/7/2026.