OAR 845-006-0497: Enforceable Compliance Plans

(1) When the Commission issues a written Notice of Warning to a licensee for a history of serious and persistent problems under ORS 471.315(1)(c), the Commission shall require the licensee to submit a written compliance plan setting out the specific actions that the licensee will take to address the problems. (2) A draft compliance plan required under this rule must be submitted to the Commission within 15 days of the licensee receiving notice of the requirement. The Commission will provide written feedback regarding the licensee’s draft plan within 10 days of receipt. A final acceptable compliance plan must be submitted no later than 30 days from the date the licensee received initial notice of the requirement, or 5 days from the date the licensee received written feedback on their draft plan, whichever is later. The Commission will give written approval of a compliance plan as acceptable if it determines that implementation of the plan is reasonably likely to reduce or prevent the identified compliance problems. Under no circumstances will the time period between initial Commission notice of the requirement and Commission approval of a final acceptable compliance plan exceed 45 days. (3) Once a compliance plan is approved, the licensee must follow the plan. The licensee may request Commission approval to discontinue a compliance plan no sooner than one year from the approval date. The licensee may request Commission approval to modify a compliance plan no sooner than six months from the approval date. The Commission will grant the request if it finds there is no longer a significant risk at the premises of future compliance problems pertaining to the elements of the plan contained in the licensee’s request. (4) Approval of a compliance plan under this rule does not prevent the Commission from taking any other compliance action. (5) Failure to submit an acceptable compliance plan as required or to follow an approved compliance plan is a Category III violation. (6) The licensee must keep the compliance plan on the licensed premises and make the compliance plan available at any time for immediate inspection by any Commission employee or any peace officer. Failure to comply with this requirement is a Category IV violation.