Current through Register Vol. 51, No. 19, September 20, 2024
A. Depending on the facts and circumstances
of each case, and to the extent that the facts and circumstances apply, the
Board may consider aggravating and mitigating factors in determining whether
the sanction in a particular case should fall outside the range of sanctions
established by the sanctioning guidelines set forth in Regulation .07 of this
chapter.
B. Aggravating factors
include, but are not limited to:
(1) A prior
criminal or administrative discipline history;
(2) Whether the violation was committed:
(a) Deliberately
(b) With gross negligence; or
(c) Recklessly;
(3) Whether the violation has the potential
for, or caused, serious harm;
(4)
Whether the violation was a part of a pattern of unacceptable
conduct;
(5) Whether the licensee
or certificate holder pursued their own financial gain over another
individual's welfare;
(6) Whether
the individual affected by the violation was vulnerable;
(7) Whether the licensee or certificate
holder attempted to hide the error or misconduct from clients or
others;
(8) Whether the licensee or
certificate holder:
(a) Concealed, falsified,
or destroyed evidence; or
(b)
Presented false testimony or evidence;
(9) Whether the licensee or certificate
holder failed to cooperate with a lawful investigation conducted by the Board;
and
(10) Whether previous attempts
to rehabilitate the licensee or certificate holder were unsuccessful.
C. Mitigating Factors include, but
are not limited to:
(1) Absence of a prior
disciplinary record;
(2) The length
of time since any prior violation;
(3) Whether the licensee or certificate
holder self-reported to the Board;
(4) Voluntary admission of misconduct with
full disclosure to the Board and cooperation with the Board's
investigation;
(5) Implementation
of remedial measures to correct or mitigate harm arising from the
misconduct;
(6) Timely good-faith
efforts to make restitution or to rectify consequences of misconduct;
(7) Evidence of rehabilitation or
rehabilitative potential;
(8)
Absence of actual or potential harm;
(9) Absence of adverse impact; and
(10) Whether the violation was an isolated
incident and not likely to recur.
D. The existence of one or more aggravating
or mitigating factors does not impose any requirement on the Board to make
findings of fact or to articulate its reason for not exercising its discretion
to impose a sanction outside of the range of sanctions set forth in Regulation
.07 of this chapter.
E. Nothing in
this regulation requires the Board to make findings of fact with respect to the
existence or nature of any aggravating or mitigating factor.
