OAR 259-060-0450: Compliance

(1) The Department may cause administrative proceedings or court action to be initiated to enforce compliance with the PSSPA and these rules. (2) Violations. The Department may find violation and recommend assessment of civil penalties upon finding that a private security provider, individual, or employer has previously engaged in or is currently engaging in any of the following acts: (a) Providing private security services without a valid certification, license or temporary work permit; (b) Failure to submit properly completed forms or documentation in a time frame as designated by the Department; (c) The falsification of any documents submitted to the Department; (d) Failure to cease providing private security services upon expiration of certification or licensure, notice of termination, suspension, denial or revocation; (e) Failure to complete required training as prescribed in OAR 259-060-0120, 259-060-0130, and 259-060-0135; (f) Failure to report criminal charges as required in ORS 181A.885; (g) Failure of a private security instructor to perform the duties of a certified instructor as defined in OAR 259-060-0136; (h) Failure to terminate employment as a private security provider of an individual whose application has been terminated, or whose certification or licensure has been suspended, denied or revoked, upon notice from the Department to do so; (i) Employing private security providers who have not completed the training and application process required under the PSSPA and these rules; (j) Failure to designate a licensed executive manager; (k) Failure to provide technological communication or visibility of a certified security professional to crowd management or guest services staff; (l) Failure to provide documentation of one certified security professional to ten crowd management or guest services staff; (m) Expecting crowd management or guest services staff to perform security services duties other than the duties incidental to crowd management or guest services; (n) Using a name that violates ORS 181A.893 and OAR 259-060-0201; (o) Possessing or using in the scope of employment prohibited equipment, vehicles, uniforms or titles as defined in OAR 259-060-0012; or (p) Any other violation of requirements of the PSSPA 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 private security provider or employer. Records inspected may include any document relating to the requirements of the PSSPA and these rules. (b) Failure to cooperate or respond to any investigative inquiries or DEBR may result in issuance of a civil penalty as described in this rule and the revocation or denial of certification or licensure as described in OAR 259-060-0300, OAR 259-060-0310 and OAR 259-060-0320. (4) Complaints and Allegations of Violations. (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 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 complaint or allegation, the Department may open and conduct an investigation and gather relevant information. (B) Private security providers, applicants, or other involved parties will respond to any questions or requests with 20 days after a request is mailed by the Department, unless an extension is requested and approved by the Department. (5) Procedures for Proposing a Civil Penalty. (a) The Department may issue an Allegation of Non-Compliance when there is a 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 or employer 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 or employer 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 a Civil Penalty upon the failure to remedy a violation or request an extension within 10 days of the mailing of the Notice of Violation. (6) Hearing Request. (a) If the Department issues a Notice of Intent to Propose Civil Penalty, an individual, business or entity 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 or employer. (7) Default Order. If a timely request for a hearing is not received, the Notice of Intent to Impose a Civil Penalty will become a Final Order Imposing Civil Penalty. (8) Resolution by Stipulation. The Department is authorized to seek resolution by stipulation, subject to acceptance and approval by the Board or 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. (9) Civil Penalty Amounts. (a) Alarm monitor, unarmed and event and entertainment private security professionals will be charged a penalty of not less than $250 for the first violation and a maximum of $1,500 for each flagrant violation. (b) Armed private security professionals will be charged a penalty of not less than $500 for the first violation and a maximum of $1,500 for each flagrant violation. (c) Private security instructors will be charged a penalty of not less than $750 for the first violation and a maximum of $1,500 for each flagrant violation. (d) Private security managers, contract executive managers and employers who employ individuals to provide private security services will be charged a penalty of not less than $1,000 for the first violation and a maximum of $1,500 for each flagrant violation. (e) For the purposes of imposing civil penalties, each 30 day period in violation of the same statute or rule may be considered a separate violation by the Department. (10) 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. (11) Staff will recommend the full civil penalty amount for individuals, businesses or entities that fail to satisfy the terms as stipulated. The recommendation will be reviewed by the Policy Committee and Board.