Section 40.389 - What factors may the Director consider?This section lists examples of the kind of mitigating and aggravating factors that the Director may consider in determining whether to issue a PIE concerning you, as well as the scope and duration of a PIE. This list is not exhaustive or exclusive. The Director may consider other factors if appropriate in the circumstances of a particular case. The list of examples follows:
(a) The actual or potential harm that results or may result from your noncompliance;(b) The frequency of incidents and/or duration of the noncompliance;(c) Whether there is a pattern or prior history of noncompliance;(d) Whether the noncompliance was pervasive within your organization, including such factors as the following: (1) Whether and to what extent your organization planned, initiated, or carried out the noncompliance;(2) The positions held by individuals involved in the noncompliance, and whether your principals tolerated their noncompliance; and(3) Whether you had effective standards of conduct and control systems (both with respect to your own organization and any contractors or affiliates) at the time the noncompliance occurred;(e) Whether you have demonstrated an appropriate compliance disposition, including such factors as the following: (1) Whether you have accepted responsibility for the noncompliance and recognize the seriousness of the conduct that led to the cause for issuance of the PIE;(2) Whether you have cooperated fully with the Department during the investigation. The Director may consider when the cooperation began and whether you disclosed all pertinent information known to you;(3) Whether you have fully investigated the circumstances of the noncompliance forming the basis for the PIE and, if so, have made the result of the investigation available to the Director;(4) Whether you have taken appropriate disciplinary action against the individuals responsible for the activity that constitutes the grounds for issuance of the PIE; and(5) Whether your organization has taken appropriate corrective actions or remedial measures, including implementing actions to prevent recurrence;(f) With respect to noncompliance with a DOT agency regulation, the degree to which the noncompliance affects matters common to the DOT drug and alcohol testing program;(g) Other factors appropriate to the circumstances of the case.