Current through Register Vol. 63, No. 9, September 1, 2024
(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
