Or. Admin. Code § 845-025-8550 - History of Lack of Institutional Control
(1) The Commission may cancel, suspend,
restrict or require mandatory training for any license issued under 475C.005 to
475C.525, or impose a civil penalty in lieu of or in addition to a suspension,
if the commission finds or has reasonable grounds to believe there is a history
of a lack of institutional control involving the operation or premises for
which a license has been issued, or the employees, agents or representatives of
the licensee, or the CTS account of the licensee.
(2) A history of lack of institutional
control:
(a) Means violations of Commission
statutes or rules have been observed at the premises and the licensee failed to
show adequate compliance measures, education of employees, agents, or licensee
representatives on those compliance measures, and prompt action upon learning
of deficiencies in compliance measures; and
(b) Is based on the nature, number and
circumstances of the incidents, and can include incidents at the licensed
premises that were not themselves the subject of violation charges.
(3) Behavior that is grounds for a
sanction includes but is not limited to noncompliance with requirements
relating to license privileges, security, tracking, testing, transportation,
packaging and labeling, as well as prohibited and dishonest conduct.
(4) The Commission gives significant weight
to serious incidents, such as those involving a danger to public health and
safety, unlawful or dishonest conduct, or conduct indicating that licensee may
be engaging in diversion of marijuana.
(5) Violation of this rule is a Category I
violation. A licensee may mitigate the history by showing that the problems are
not serious or persistent, or by demonstrating its willingness and ability to
control the problems that gave rise to the history of lack of institutional
control.
(6) Enforceable Compliance
Plans.
(a) If the Commission elects to issue a
written Notice of Warning in lieu of a violation to a licensee for a history of
a lack of institutional control, the Commission may require the licensee to
submit a written compliance plan setting out the specific actions that the
licensee will take to address the problems.
(b) A draft compliance plan required under
this rule must be submitted to the Commission within 30 days of the licensee
receiving notice of the requirement. The Commission will provide written
feedback regarding the licensee's draft plan within 20 days of receipt. A final
acceptable compliance plan must be submitted no later than 60 days from the
date the licensee received initial notice of the requirement, or 10 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 90 days.
(c) 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.
(d) Approval of a compliance plan under this
rule does not prevent the Commission from taking any other compliance
action.
(e) Failure to submit an
acceptable compliance plan as required or to follow an approved compliance plan
is a Category III violation.
(f)
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.
Notes
Statutory/Other Authority: ORS 475C.017, 475C.065, 475C.085, 475C.093 & 475C.097
Statutes/Other Implemented: 475C.265
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