| (a) The available sanctions, in order of increasing
severity, are:
(1) a reprimand;
(2) prohibition from participating in a specified agreement,
whether the agreement was previously awarded or to be awarded or whether
funds under the agreement have been paid or are to be paid;
(3) a limit on the contract amount or amount of funds
that may be awarded or paid to the entity for a period of not more
than 60 months; or
(4) debarment of the entity for a period of not more
than 60 months.
(b) Relating to an engineering, architectural, or surveying
service contract, the executive director may remove a person's or
a firm's precertification provided under §9.33 of this title
(relating to Precertification), and prohibit the person or firm from
reapplying for precertification for the period set by the executive
director, if a ground for removal of precertification under §10.101
of this chapter (relating to Required Conduct) exists.
(c) Before imposing a sanction, the executive director
will consider the following factors:
(1) the seriousness and willfulness of the act or omission;
(2) whether the entity has committed similar acts or
omissions and if so, when those acts or omissions were committed;
(3) whether the entity, or a third party on behalf
of the entity, has fully compensated the department for any damages
suffered by the department as a result of the entity's acts or omissions;
and
(4) any mitigating factors.
(d) For the purposes of subsection (c)(4) of this section,
the following are mitigating factors:
(1) the entity's adoption and enforcement of an internal
ethics and compliance program that satisfies the requirements of §10.51
of this chapter (relating to Internal Ethics and Compliance Program);
(2) the entity's cooperation with the department in
the investigation of ethical violations, including the provision of
a full and complete account of the entity's involvement; or
(3) the entity's disassociation from individuals and
firms that have been involved in the ethical violation.
(e) The removal a person's or a firm's precertification
under subsection (b) of this section does not prevent that person
or firm from participating in agreements with the department in a
capacity that does not require precertification unless the executive
director imposes a suspension under §10.253(b) of this subchapter
(relating to Notice of Sanction; Suspension).
(f) If an entity commits multiple violations arising
out of separate occurrences, the executive director may impose multiple
sanctions.
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