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ICAA Complaint Response Process Presentation

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ICAA Complaint Response Process Presentation Powered By Docstoc
					Oregon’s Indoor
 Clean Air Act

  The Complaint Response
         Process


     Updated Feb. 1, 2012
Initial Complaint
   333-015-0075 Complaint Response
(1) Initial Complaint:
  (a) OHA or the LPHA shall assess
       whether the site in question is required
       to be smokefree under the provisions
       of ORS 433.835 through 433.850.
Responding to Initial Complaints

 If the complaint was entered online, county
  staff will receive an email notification from
  WEMS that a new complaint needs to be
  processed.
 County TPEP staff may not enter complaints
  of violation from the public into WEMS. Refer
  complainants to the online complaint form at
  www.healthoregon.org/smokefree, or to the
  ICAA phone line 1-866-621-6107.
Verify the complaint in WEMS

   Determine if the business is required to
    be smokefree
    – Is the business exempt? (check the list of
      smoke shops and cigar bars in WEMS)
   Determine if the complaint is actionable
    – Is the complaint valid?
    – Is the business in the grace period?
Initial Complaint
  333-015-0075 Complaint Response
(1) Initial Complaint:
   (b) If OHA or the LPHA determines that the place of
         employment (or some portion) or public place is
         required to be smokefree, OHA or the LPHA shall
         send a letter ("initial response letter") to the place of
         employment or public place named in the complaint
       within 10 business days after receipt of the
       complaint of violation. The letter shall contain
       notification that the employer or public place has
       been reported as being in violation of the Act or
       these rules, educational materials about how to
       comply with the Act and these rules, and
       information on whom to contact for further
       information and assistance in compliance.”
Responding to Initial Complaints

   If the site in question is required to be
    smokefree and the complaint is
    actionable:
    – Send an Initial Response Letter (IRL)
      within 10 business days of the complaint
    – The IRL must be generated and saved in
      WEMS. A hardcopy must be kept in the
      business file.
Complainant Response
   333-015-0075 Complaint Response
(1) Initial Complaint:
  (c) OHA or the LPHA shall send a form letter
       to the complainant, if the complainant has
       supplied their name and contact
       information, notifying them that the
       complaint has been received and is being
       investigated, or that the workplace is not
       required to be smokefree under ORS
       433.835 through 433.850.
Complainant Response

   If the complainant supplied his or her
    contact information:
    – Send a Complainant Letter stating the complaint
      was received and either (a) the complaint is being
      investigated or (b) the business is not required to
      be smokefree or (c) the business is not in violation
      of the law
    – The Complainant Letter must be generated and
      saved in WEMS. A hardcopy must be kept in the
      business file.
Second or Subsequent Complaint
   333-015-0075 Complaint Response
(2) Second or subsequent complaint:
  (a) If OHA or the LPHA receives additional
      complaint(s) about the site within five
      business days after the "initial response
      letter" was sent, OHA or the LPHA shall
      send a form letter to the complainant, if
      the complainant has supplied their name
      and contact information, telling them that
      the complaint has been received and the
      investigation process begun.
Responding to Second
Complaints
   If a new complaint is registered within 5
    business days of the IRL being mailed:
    – The business is in the grace period
    – Send a Complainant Letter if the complaint
      was not left anonymously
       • Indicate in the letter that an investigation has
         begun
       • The Complainant Letter must be generated and
         saved in WEMS. A hardcopy must be kept in
         the business file.
Second or Subsequent Complaint
   333-015-0075 Complaint Response
(2) Second or subsequent complaint:
  (b) If OHA or the LPHA receives a second or
      subsequent complaint about the site more
      than five business days after the "initial
      response letter" was sent, a
      representative of OHA or the LPHA shall
      make an unannounced site visit within 30
      days of complaint receipt, to determine
      whether the employer or public place is in
      violation of the Act or these rules.
Site Visit Timeline

   If a complainant registers a new
    complaint after 5 days of the IRL being
    mailed:
    – Prepare to make an unannounced site visit
      within 30 days of receipt of the complaint
Preparing for the Site Visit

   What to take to the site visit:
    – Initial Site Visit and Remediation Plan
      (Form 1)
    – A copy of the OARs
    – A copy of the IRL sent to the business
    – No smoking signs
    – Brochures and posters
    – Recommended: Tape measure; camera for
      documentation if needed
Preparing for the Site Visit
(cont.)
   Starting April 2012, when investigating
    complaints for a cigar bar or smoke shop, use
    new cigar bar or smoke shop complaint
    response site visit forms.
What Constitutes a Violation of
Indoor Smoking Rules?
    333-015-0075 Complaint Response
     (3) Finding of violation: (a) A violation of indoor
     smoking prohibitions is deemed to have occurred if
     during a site visit pursuant to a second or subsequent
     complaint, the OHA or LPHA representative:

    (A) Observes any person smoking or carrying a lighted
        smoking instrument in an area where smoking is
        prohibited;
    (B) Observes cigar or cigarette butts in an area where
        smoking is prohibited;
    (C) Observes ashtrays intended for use in an area where
        smoking is prohibited;
    (D) Observes the absence or insufficiency of signs that
        are required under these rules;
What Constitutes a Violation of
Indoor Smoking Rules? (cont.)
 (E) Determines that a cigar bar does not have proper
      certification from OHA;
 (F) Determines that a business operating as a smoke
      shop does not have proper certification from OHA;
 (G) Observes the smoking of non-cigar tobacco products
      in a cigar bar;
 (H) Observes smoking instruments intended for use in an
      area where smoking is prohibited; or
 (I) Obtains signed written statements from at least two
      individuals who have personally witnessed smoking,
      the carrying of a lighted smoking instrument, or the
      smoking of a prohibited tobacco product at a time and
      in an area where smoking is prohibited; or
  (I) Observes noncompliance with any of the cigar bar or
      smoke shop certification requirements set forth in the
      Act or these rules.
What Constitutes a Violation of
Outdoor Smoking Rules?
    333-015-0075 Complaint Response
     (3) Finding of violation: (b) A violation of outdoor
     smoking prohibitions is deemed to have occurred if
     during a site visit pursuant to a second or
     subsequent complaint, OHA or the LPHA
     representative:

    (A) Observes any person smoking or carrying a
        lighted smoking instrument within 10 feet of
        entrances, exits, windows that open, ventilation
        intakes that serve an enclosed area of any
        public place or workplace, or any portion of
        accessibility ramp;
What Constitutes a Violation of
Outdoor Smoking Rules? (cont.)
 (B) Observes ashtrays intended to be used for
     smoking within 10 feet of entrances, exits,
     windows that open, or ventilation intakes that
     serve an enclosed area of any public place or
     workplace, or any portion of an accessibility
     ramp; or
 (C) Observes tables or outdoor seating or dining
     areas that are not clearly marked as
     nonsmoking, and that are within 10 feet of
     entrances, exits, windows that open, ventilation
     intakes that serve an enclosed area of any public
     place or workplace, or any portion of an
     accessibility ramp.
Results of the Site Visit
   If no violation is found:
     – Enter the site visit result in WEMS
     – Keep a hardcopy of the site visit form in the
        business file stating that the business was not in
        violation of the law

   If the business is in violation:
     – Proceed with a remediation plan
Remediation Plan Process
   333-015-0075 Complaint Response

    (4) Remediation plan:

    (a) After a finding of violation, OHA or the LPHA
        representative and the employer or entity in charge
        (EIC) will jointly develop a remediation plan. All
        remediation plans must be completed within 15
        days of the site visit.

    (b) In special circumstances, an employer or EIC may
        request in writing an extension of time in which to
        complete the remediation plan. An extension may
        be granted only by the Public Health Director or
        designee.
Remediation Plan Process
(cont’d)
   Complete the plan for remediation on the Initial Site
    Visit form with the employer
     – Specific problem(s) found on site
     – Correction(s) required
     – Required remediation date (15 days after the site
       visit date)
Remediation Plan Process
(cont’d)
   Sign the Initial Site Visit form
     – Employer/person in charge must sign
     – Investigator must sign

   Inform the employer/person in charge that a follow-up
    visit will be made within 30 days of the remediation
    plan completion date

   Leave the pink copy with the business

   Enter the results of the site visit in WEMS
Remediation Plan Process
(cont’d)
   333-015-0075 Complaint Response
(4) Remediation plan:
   (c) A representative of OHA or LPHA shall make a
       follow-up visit within 30 days of the remediation
       plan completion date to confirm completion.

    (d) If an employer or EIC does not cooperate in
        developing a remediation plan, OHA or the LPHA
        shall notify the Public Health Director or designee
        for further enforcement activity.
Follow-up Visit
   The follow-up visit must be conducted within 30 days
    of the remediation plan completion date
   Before the visit, transfer the Remediation Plan from
    Form 1 onto the “Remediation Plan from Initial Site
    Visit” portion of the Follow-up Visit Form 2
   Bring Form 1 for reference as well as Form 2 to the
    Follow-up Visit
What Constitutes a Failed
Remediation Plan?
   333-015-0075 Complaint Response
(5) Notice of violation:
   (a) If, during the follow-up visit or the post-
   remediation-plan visit, OHA or the LPHA
   representative finds that the remediation plan has not
   been implemented or finds additional evidence of
   violations, OHA or the LPHA shall notify the Public
   Health Director or designee for further enforcement
   activity.
Failed Remediation

 Complete the “Observed Violations at Follow-
  up Visit” and “Follow-up Visit Result” sections
  of Form 2
 Leave the pink copy with the business
 Enter the follow-up visit information in WEMS
 Send the entire case file to the State for
  further enforcement activity (refer to County
  Citation Checklist on HPCDP Connection).
Post-Remediation-Plan Complaint
Response
   333-015-0075
(4) Remediation Plan
    (e) If an additional complaint is received within three
   years after the date OHA or the LPHA confirmed
   completion of the remediation plan or resolution of
   the matter under subsection (4)(d) of this rule, a
   representative of OHA or the LPHA shall make an
   unannounced post-remediation-plan visit within 21
   days of complaint receipt to determine whether the
   employer or entity in charge is in violation of the Act
   or these rules. If a violation is found, the matter will
   be referred for enforcement under section (5) of this
   rule.
Post-Remediation-PlanVisit
   Conduct unannounced post-remediation-plan visit
    within 21 days of complaint receipt
   Complete Form 3: Post-Remediation-Plan Visit,
    noting any Observed Violations and Visit Result
   Leave the pink copy with the business
   Contact your liaison to document results of post-
    remediation-plan visit in WEMS
   If a violation is observed, forward the file to the state
    for possible citation.

				
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