259-061-0200 Compliance (1) The Department may cause any administrative proceeding or court action to be initiated to enforce compliance with the provisions of ORS 703.010 to 703.995 and these rules. (2) Violations. The Department may find violations and recommend assessment of civil penalties upon finding that an investigator has previously engaged in or is currently engaging in any of the following acts: (a) Providing investigative services without valid licensure; (b) The falsification of any documents submitted to the Department; (c) Failure to cease providing investigative services upon expiration of licensure, notice of termination, suspension, denial or revocation; (d) Failure to submit properly completed forms or documentation in a time frame as designated by the Department; or (e) Any other violation of the requirements of ORS 703.401 to 703.490 or these rules. (3) The Department may issue a Demand to Examine Books and Records (DEBR) to obtain any record or document related to compliance. (a) The Department may cause inspection or audits of the records of any investigator. Records inspected may include any document relating to the requirements of ORS 703.401 to 703.490 and these rules. (b) Failure to cooperate or respond to any investigative inquires or DEBR may result in the issuance of a civil penalty as described in this rule and the revocation or denial of licensure as described in OAR 259-061-0300. (4) Complaints and Allegations of Violation. (a) All complaints or allegations of violations must be submitted on a Department-approved complaint form before an investigation can be initiated, unless the Department grants an exception. The Department may consider additional credible sources of information to determine non-compliance. (b) A complainant other than the Department must file the complaint with the Department within one year of knowledge of the incident's occurrence. (c) A preliminary administrative review of the complaint or allegation will be conducted by the Department to ensure there is sufficient information to proceed. Staff may conduct a fact-finding preliminary investigation. (A) If sufficient information is determined to support the compliant or allegation, the Department may open and conduct an investigation and gather relevant information. (B) Investigators or other involved parties must respond to any questions or requests within 20 days after a request is mailed by the Department, unless an extension is requested and approved by the Department. (d) Unless otherwise prohibited by law, if the complainant is a client or former client of the respondent, the complainant must sign the waiver of confidentiality allowing the Department access to records and other materials. Refusal by a complainant to comply with these requirements may result in no investigation of the complaint. (5) All records related to alleged violations are subject to ORS 192.311to 192.478, 703.480(2)(a) and ORS 703.473(3). (6) Procedures for Proposing a Civil Penalty. (a) The Department may issue an Allegation of Non-Compliance when there is reason to believe a violation has occurred. The purpose of this document is to provide education and allow an opportunity to gain compliance within 30 days without penalty. (b) The Department will issue a Notice of Violation upon discovery of violation as described in this rule. The Notice will include a statement of found violations and proposed sanctions. An individual may be given the opportunity to remedy the violation and pay a penalty within 10 days of the mailing of the notice. (A) The Department may extend the time to remedy a violation upon a showing of good cause. (B) An individual will be given the opportunity to provide mitigation to the Department. (c) The Department, through the Policy Committee and Board, will issue a Notice of Intent to Propose Civil Penalty upon the failure to remedy a violation or request an extension within 10 days of the mailing of the Notice of Violation. (7) Hearing Request. (a) If the Department issues a Notice of Intent to Propose Civil Penalty, an individual is entitled to a contested case hearing in accordance with the applicable provisions of the Attorney General’s Model Rules of Procedure adopted under OAR 259-005-0015. (b) The Department must receive a request for hearing in writing within 20 days of the date the Notice of Intent to Propose Civil Penalty was served on the individual. (8) Default Order. If a timely request for a hearing is not received, the Notice of Intent to Impose Civil Penalty will become a Final Order Imposing Civil Penalty. (9) Resolution by Stipulation. The Department is authorized to seek resolution by stipulation, subject to acceptance and approval by the Board and Director, if: (a) The matter is resolved before entry of a Final Order assessing penalty; (b) The respondent satisfies all terms set forth by the Department within the time allowed; and (c) Any stipulated penalty amount is received by the Department. (10) Civil Penalty Amounts. (a) Investigators will be charged a penalty of not more than $500 for each violation. (b) Notwithstanding subsection (a), individuals in violation of ORS 703.405 will be charged a penalty of not more than $5,000 for each violation with maximum penalties not to exceed $10,000 per year. (c) For the purposes of imposing civil penalties, the Department will consider each violation of any section or sub-section of ORS 703. 401 to 703.490 or any section or subsection of these rules a separate violation. (11) The Department may reduce or waive civil penalties from the amounts set in this rule in situations where further mitigation is warranted or the matter is resolved by stipulation at any time prior to the entry of a Final Order. (12) Staff will recommend the full civil penalty amount for individuals that fail to satisfy the terms as stipulated. The recommendation will be reviewed by the Policy Committee and approved by the Board. (13) An individual accused of a violation will be given the opportunity to provide written mitigation to the Department for consideration by the Department, Policy Committee or the Board. Statutory/Other Authority: ORS 703.995 Statutes/Other Implemented: ORS 703.995 History: DPSST 64-2018, amend filed 10/25/2018, effective 10/25/2018 DPSST 27-2014, f. & cert. ef. 10-1-14 DPSST 7-2006, f. & cert. ef. 5-15-06