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Compliance Sanctioning Guidelines 01-2019

01-2019

Issued on: 02/20/2019

I. Objective and Application

In addition to a state being required to complete remedial training or technical assistance (which may include a corrective action plan), alternative dispute resolution, or suspension/termination of membership in the compact, monetary penalties may also be assessed in accordance with ICAOS Statute (Article XII, Section B). The Compliance Committee shall review matters of non-compliance and make recommendations to the Executive Committee who makes the final determination regarding penalties assessed to a non-compliant state.

II. Monetary Penalties

Rule or Statutory
Violations
1ST OFFENSE 2ND OFFENSE 3RD OR SUBSEQUENT
OFFENSE
Fine $0- $10,000 Up to $50,000 Up to $100,000

Fees and/or costs, including court costs and interest fees, may also be assessed against violating states.

III. Determining Factors

The following factors will be considered when determining appropriate sanction within range:

  • Whether the violation(s) was a public safety issue or policy issue
  • Whether the violation(s) resulted in serious physical injury or death
  • The state’s relevant disciplinary history and whether they have ongoing patterns of noncompliance
  • Whether the state accepted responsibility for and acknowledged the violation(s) prior to detection and intervention
  • Whether the state voluntarily employed subsequent corrective measures, prior to detection or intervention to revise general and/or specific procedures to avoid recurrence of violation(s)
  • Whether the state was cooperative with ICAOS in its examination and/or investigation of the underlying misconduct
  • Whether the state engaged in the violation(s) over an extended period of time
  • Whether the state engaged in numerous acts and/or a pattern of misconduct
  • Whether the state’s violation(s) was the result of an intentional act